Helpful tools for implementation and FAQ
Here you will find tools to facilitate discussion and implementation of the delegation provisions in your area.
Among other things, we’ve provided a general outline of the procedure we recommend you follow when implementing the provisions, as well as the different roles involved. You’ll also find an FAQ containing answers to a variety of questions that emerged in connection with the drafting of the provisions and during the consultation phase.
On the page that covers levels of management, you can select a specific job title and get a description of the decision-making powers associated with that position, in addition to what kinds of decision-making authority can be delegated.
On the delegation letters page, you’ll find a guide to filling out the delegation letter templates as well as the templates themselves.
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Can a head of section be an associate professor and manager of a professor?
Yes, operational people management.
Why don't the delegation provisions include anything about degree programme management?
Because the delegation provisions describe the delegation of leadership authority within the chain of command (line management), and a director of studies is not always part of the chain of command, although a director of studies can be if the person is also a deputy head of department/school (viceinstitutleder). Degree programme management is also described in the by-laws.
What do ‘briefing, coordination and communication’ mean?
In practical terms, it's a matter of keeping each other informed about the most important issues across management levels. For example, there could be regular meetings between a subordinate manager and their manager manager with a set agenda to discuss current status, important updates and any challenges in terms of staffing, core task (research, education, administrative tasks etc.), finances etc.
If I'm a professor/associate professor, how can I see what powers I have?
It depends on whether you also have a role in line management, such as deputy head of department/school (viceinstitutleder), head of section, head of department (afdelingsleder) or research group leader with financial and/or people management responsibility. If you have such a role, you must have a delegation letter that specifies your decision-making authority, with descriptions of the decision-making authority associated with the role and what other powers can be delegated to the role.
How do the delegation provisions help clarify who the head of department/school (institutederen) should delegate to in the event of their absence?
This can be included in the delegation letter, and if it is not included, the decision-making authority will go up one level in the organisation for longer absences, cf. item 1.6 in the general provisions.
How do you document that the head of department/school (institutleder) has approved a delegation letter?
The head of department/school is the signatory of the delegation letter and thus approves it by signing. If it has been decided locally that one role always has a particular type of decision-making authority, then it will be determined locally how it should be documented that the head of department/school has approved this for multiple people in the same type of role.
Who should make sure that managers have a delegation letter?
The department/school or the relevant administrative units are responsible for ensuring that all managers have a delegation letter and that the content of the letter is accurate. Archiving of letters takes place in collaboration with HR and the workflow is decided locally at faculty level.
Who decides which discretionary provisions are to be implemented and where?
Faculty leadership teams and the administration’s leadership teams decide whether there are any discretionary provisions that must or must not be applied within the area in question. Based on the decision at that level, the management team or the team manager decides which of the discretionary provisions are to be applied. And whether there should be additional/other formal delegation of leadership decision-making authority to managers on levels four, five or six in the area in question.
Can you revoke a delegation and if so, how?
Yes, the delegator can revoke delegated decision-making or signing authority at any time. This is stated in the last paragraph of the general provisions, item 1.4, final paragraph. There are no formal requirements, so the revocation can also be verbal. However, we recommend that a revocation be made in writing and archived in the same way as the original delegation.
What is the difference between discretionary and mandatory provisions?
The discretionary provisions allow for a degree of discretion or flexibility for the units in deciding whether to delegate from one level to the next. For other provisions (mandatory provisions), the delegation is stipulated in advance, so it is not possible to deviate from these provisions.
Can there be employment consequences for non-compliance with the provisions?
Yes. This is assessed on a case-by-case basis. It is mandatory for all managers to know and take responsibility for their own delegations, and these are documented in the delegation letter.
What about delegations the provisions don't say anything about?
In addition to the by-laws, the rector has already delegated decision-making and signing authority to the deans and to the chairperson of the Election Committee, cf. the following internal rules:
- Rules for obtaining a doctoral degree at Aarhus University
- Rules regarding PhD education at Aarhus University
- Rules for prize essays at Aarhus University
- AU’s rules on disciplinary measures for students
- Election rules of Aarhus University
Therefore, these areas are not described in the delegation provisions.
As a level-two manager, must you be informed about all dismissals and disciplinary action in your area?
It depends on the nature of the dismissal or disciplinary action. Level-two managers should agree with their subordinate managers which of these types of cases it is relevant for them to be informed about.
What does being authorised mean in relation to being a delegate?
The concepts of delegation and authorisation basically mean the same thing. The University Act and the by-laws use the term authorisation, and here the term delegation is used. Both can cover a transfer of both decision-making and signing authority. In the delegation provisions, Selected authorised employees are persons who are not part of the management but who receive decision-making/signing authority with a limited scope.
At AU, the term 'authorised' is also used for staff who act to carry out a manager’s decisions, for example in an IT system in connection with recruitment processes. If in doubt, ask about how the term is interpreted locally.
What does ‘within budget’ mean?
You can only authorise transactions within the budget you are responsible for. For example, if you have a budget of DKK 10 million, the amount of your total transactions must not exceed your budget of DKK 10 mill. Keeping within budget also means it is important to ensure that only goods/services that fall under the designated purpose of the budget.
Why does AU have fixed approval limits?
All managers with budget responsibility at AU are responsible for ensuring that the funds within their area are spent responsibly and in accordance with applicable policies and guidelines. Formal responsibility for AU's overall budget lies with the rector. The rector has chosen to delegate responsibility for parts of the budget to the deans, the director of Enterprise and Innovation and the university director, who in turn have delegated parts of their budgets. Even if a budget is delegated to other managers, it is still the responsibility of the senior manager to ensure adherence to the overall budget and compliance with legislation etc. Procurement limits (approval limits), whereby a senior manager must approve particularly large transactions, help managers fulfil their budget responsibility.
How do travel expense reports and approval limits relate to each other?
The approval limits for individual financial transactions relate to approval that a specific business trip can be made within the agreed amount/budget for that trip. Once the trip has been completed, the travel expense report itself must be checked and approved in the usual way.
What does 'transactions involving non-current assets’ mean?
In case of purchases (transactions) involving an item that will be categorised as a non-current asset, remember that the purchase will affect budgets several years into the future. This is because a non-current asset must be depreciated over several years. For example, if you decide to buy a company car, this will result in an expense in budgets for the next five years, as a car must be depreciated over five years.
What is a minimum threshold?
Who can set them, and does they apply to all employees?
Level-three managers can set a de minimus threshold for one-time transactions of up to DKK 2,000 for all employees or a group of selected employees at their own department/school/area. The de minimus threshold means that no delegation letter or prior written approval from a budget manager is required for purchases under DKK 2,000.
Why do grant holders need approval to spend more than DKK 300,000 within their grant?
An approved grant will usually be part of a larger, overall budget. Every time a purchase is made, you must ensure that it aligns with the purpose of the grant and that it will not result in total purchases exceeding the grant amount, in order to ensure that the total overall budget is not exceeded. Therefore, it is important that the manager responsible for the overall budget is informed about any major purchases that could potentially contribute to a budget overrun.
What is meant by ‘one-time transactions’?
One-time transactions are purchases of goods and services that only affect one financial year. Examples include purchases of laptops, IT monitors, books, consumables, furniture, car and building maintenance and much more.
Why do you need to approve one-time transactions within a project that has been approved?
An approved project will typically be part of a larger, overall budget. Every time a purchase is made, you must ensure that it aligns with the purpose of the project and that it will not result in total purchases exceeding the grant amount, in order to ensure that the total overall budget is not exceeded. Therefore, it is important that the manager responsible for the overall budget is informed about any major purchases that could potentially contribute to a budget overrun.
Do approval limits apply in all cases?
Approval limits apply to managers with budget responsibility. If a manager is not responsible for their ‘own’ budget, the manager will always need authorisation from the budget manager before making a purchase.
How are the approval limits applied in practice?
The approval limits apply per purchase. This means that if a level-five manager wants to purchase goods or services that cost more than DKK 100,000 in total, the purchase must be approved by the level-four manager responsible for the budget. If the goods/services cost more than DKK 750,000, the purchase must be approved by the level-three manager responsible for the budget.
How does credit card spending relate to Appendix 1?
If you have an AU credit card, it will have been set up with a fixed credit limit approved by an authorised person. Therefore, a delegation letter is not required for AU credit card holders.
Do purchases of office supplies and lab supplies require a delegation letter?
This type of item will generally need to be ordered via the purchasing module in IndFak. Purchases such as office supplies made via the IndFak purchasing module do not require a delegation letter because the approval limit is set by the system, and authorisation will have been given when rights were granted in IndFak. If the purchase is made outside IndFak, a delegation letter will be required if the purchase exceeds DKK 2,000.
I need to make a purchase for an amount greater than the approval limit. What do I do?
If you need to make a purchase for an amount greater than the approval limit, you will need your manager's approval for the purchase. This can take the form of an email from your manager approving the purchase, for example.
What's the difference between overall people management responsibility and operational people management responsibility?
This is described in the appendix on people management.
Overall people management includes
- operational people management
- decision-making authority with regard to hiring, dismissal and disciplinary action
- conducting salary negotiations (within the framework set by the delegator).
Operational people management includes:
- taking responsibility for and ensuring the quality of the unit’s working conditions and staffing, including operational management, unit-level workforce planning and the future competency development and recruitment needs of the unit.
- providing a framework and direction for the work performed, including prioritisation, quality assurance, regular feedback and coordination with relevant parties.
- taking overall responsibility for employee work satisfaction and occupational health and safety processes in the unit, including loyalty/retention.
In addition, operational people management includes salary negotiation recommendations, conducting SDD dialogues and career dialogues, as well as sickness absence meetings, but not any related employment law consequences. SDDs can be delegated to employees without people management responsibility in cases in which such delegation makes sense for both parties, both operationally and organisationally, and leads to a more meaningful SDD experience.
What is a TAP (technical/administrative) manager?
This is a manager who is employed as a member of technical or administrative staff, e.g. a head of department/school, deputy director, line manager, etc.
What is a VIP (academic) manager?
This is a manager employed within the academic job structure and whose main tasks are teaching, research and development and public sector consultancy, with only limited management tasks.
Can a level-four manager, such as a deputy head of department/school (institutleder), head of section or head of department (afdelingsleder), dismiss a permanent/senior VIP?
No, a level-four manager can have operational people management responsibility for all categories of employees, but may never have hiring and firing decision-making authority over permanent academic staff members.
Why don't the delegation provisions include anything about managing PhDs?
Employed PhD students are not part of the chain of command, but are covered by the word 'staff' in the delegation provisions. The PhD programme itself is regulated by the PhD Order and is handled under the auspices of the graduate schools. Therefore it falls outside the delegation provisions.
Who can and must conduct SDDs with employees?
SDDs can be delegated to employees without people management responsibility in cases in which such delegation makes sense for both parties, both operationally and organisationally, and leads to a more meaningful SDD experience.
Can a VIP manager have TAP employees and vice versa?
Yes, the VIP and TAP descriptors only refer to the employment conditions of the managers themselves. There are no limits to management responsibilities for TAP managers. There are limits for VIP managers who are employed under the academic job structure on how much time they may spend on tasks that take time away from independent research.
Why can't a VIP manager have people management responsibility for everyone in their own unit?
Because the main tasks in VIP positions are teaching, research and development and public sector consultancy, with only limited administrative and managerial responsibilities. The senior management team has therefore decided that a VIP manager can only have overall people management responsibility for postdocs, research assistants and comparable functions.
What does 'and comparable functions' mean in Appendix 3, which states that VIP managers can have people management responsibility for postdocs, research assistants and comparable functions?
It refers to positions that are not permanent positions of an immediate strategic nature, for example consultants and project officers.