Authority management concepts - syed sajid (good books to read for women .TXT) 📗

have explicitly delegated their powers, and subject always to such conditions as they may from time to time have imposed.

Serial
(a) Activity
(b) Value ( )
(c) Responsible Officer (d) Signatories for the College ( ) (e) Remarks
(f)

FINANCIAL APPROVALS
1 Procurement and tendering etc: requirement to adhere to competitive tendering process Head of Purchasing The appropriate support services director or HoD and the Head of Purchasing
(In the absence of the Head of Purchasing, the Director of Finance may act.) Process to be in accordance with Purchasing Regulation 13 and EU Regulations where appropriate
The appropriate support services director or HoD.
(In the absence of the Head of Purchasing, the Director of Finance may act.) Purchasing Department will undertake a formal tender process
May be delegated by the appropriate support services director or HoD At least 4 tenders must be invited, and reasons for the selection recorded on file
May be delegated by the appropriate support services director or HoD At least 4 tenders must be invited
May be delegated by the appropriate support services director or HoD At least two quotations must be obtained
Competitive quotations are not required
2 (a) Purchase contracts (including service level agreements, purchase or maintenance agreements for computer hardware, site licences for computer software, etc.);
(b) Orders for goods and services
(b) Payment authorisation forms where no purchase order has been issued; and
(c) Agreement to any significant variations to the College’s standard purchase terms and conditions. Director of Finance
Rector All transactions exceeding £250 in value must be approved by two people, at least one of whom must have signing authority indicated opposite.

Delegation of signing powers in relation to the monetary values shown in column c is not permitted

Wherever the terms of the purchase contract differ materially from the College’s standard, advice from the purchasing department must be sought and acted upon before the order is confirmed to the supplier. The Head of Purchasing will vet all contracts exceeding £150,000 in value.

Where the contract is a research sub-contract, its terms must be agreed by the appropriate Research Services Manager before the order is placed.


.
Rector
Chief Operating Officer
Director of Finance
Head of Financial Management,
College Secretary

Faculty Principals (may be delegated to FOOs acting jointly with FFOs)
Director of ICT
Director of Projects
Director of Facilities Management
Director of Commercial Services

Head of Department/ Division acting jointly with Faculty Finance Officer (or Finance Manager equivalent in support services ) [Faculty Operating Officers may serve in lieu of Faculty Finance officers]

Head of Department/ Division or a single nominated alternate for each Deparment/Division

Nominated Departmental/ Divisional Staff whose individual spending limits are determined by the HoD in agreement with Faculty Finance Officer and notified to the Finance Division

3 Signing of non-disclosure agreements in connection with acquisition of software Director of ICT Heads of ICT Section Relevant to each Head of Section’s own area.
4 Authorisation of purchase invoices after goods/services have been received in response to a purchase order Director of Finance Director of Finance
Head of Financial Management,
College Secretary May not be delegated further
FOOs,
Director of ICT
Director of Project Management,
Director of Facilities Management
Director of Commercial Services May not be delegated further
HoD and purchase order originator acting jointly HoD may delegate to a nominated departmental administrator or finance officer HoD may delegate to a nominated departmental administrator or finance officer
The purchase order originator within each department Passive sanction by means of an e-mail alerting the buyer that payment is due to be made by central Finance Division unless instructed otherwise
5 Authorisation of purchase invoices after goods/services received where no purchase order was issued Director of Finance Exactly as for purchase orders, Serial 2.
6 Cheque signing
Director of Finance
Two signatories from List A neither of which may be machine impressed Lists A and B are set out in Appendix 2 [For security reasons, these lists are not published outside the Management Board and the Finance Division.]

Cheque signing powers are personal and may not be delegated
Two signatories from List A or List B, neither of which may be machine impressed
Two signatories from List A or List B, one of which may be a machine-impressed facsimile signature
7 Sale/ disposal of College-owned physical assets other than parts of the College Estate ( ) Director of Finance Director of Finance Evidence of market valuation is required.
Faculty Principal
Head of Department
8 Sale or purchase of shares in quoted or unquoted companies which are Non-Core assets within the College Fund Chairman of the College Fund Board Chairman of the College Fund Board
CEO of the College Fund Board
9 Sale or purchase of shares in quoted or unquoted companies which are not within the College Fund Director of Finance Rector
Director of Finance May be delegated by Director of Finance subject to such limits and conditions as he may impose
10 Day-to-day treasury management Director of Finance Head of Treasury and Tax Subject to general investment criteria laid down by Council and Management Board. May be delegated by Director of Finance subject to such limits and conditions as he may impose, detailed in Treasury Management policy documents
11 Borrowing Director of Finance Council
Director of Finance
College Secretary subject to retrospective report to Council
12 Expense claims : approval of claims for the refund of expenses Director of Finance Line Managers Expense claims are to be authorised only by the claimant’s line manager. If the line manager is not available, the claim is to be authorised by the next higher person in the line management chain. See Expenses Policy for further details.
13 Equipment leases 3.18 Director of Finance Director of Finance
Head of Purchasing To be referred to the Head of Purchasing before negotiations with supplier are concluded.

May be delegated by Director of Finance, subject to such limits and conditions as he may think fit.


14 HESA FSR Return Director of Finance Director of Finance
College Secretary
Director of Policy & Planning
15 Write offs of bad debts
Director of Finance Rector
Chief Finance Officer
Director of Finance
Members of Finance staff nominated by the Director of Finance

PROJECT APPROVALS
16 Approval of capital projects
(other than in respect of non-core assets within the College Fund, which are covered by Ordinances F1 and F2, and the College Fund’s Financial Regulations) Director of Project Management Council
Rector If previously included in the Capital Investment Approval Plan and approved in principle by Council
Rector
Chief Operating Officer The Accountable Body is the Project Review Board
Chief Operating Officer Director of Finance or
College Secretary
Relevant Faculty Principal and Faculty Finance Officer

Relevant Support Services Director and a central Finance Manager
Accountable at Faculty or Support Services divisional level

RESEARCH AND RELATED CONTRACTS
17 Standard (non-negotiable) core grant terms and conditions (all funder groups) including:
• Standard Charity Grants Applications
• Standard Research Council Grant Applications
• Formal acceptance of standard Grants award terms
Director of the Research Office Rector,
Director of the Research Office
Director of Intellectual Property and Research Contract Management.
No further delegation is permissible Authorisation of standard grant applications and acceptance is limited to grants that fall within the core terms and conditions for each Research Council. Grants of a non-standard nature, or those that fall outside of the principles set out in Appendix C to ROP/02 (Bid Management, Faculty Approval and College Authorisation Limits) will need to be referred to the appropriate College officer, as detailed therein.

College authorisation will be given only after Faculty approval procedures as detailed in ROP/02 have been complied with.
Faculty Principals (who may delegate to nominated members of Faculty Research Services teams, whose names have previously been approved by the Research Office)

Director of Intellectual Property and Research Contract Management
18 Commercial Research Contracts
Collaborative Research Contracts
Director of the Research Office Rector,
Director of the Research Office,
Director of Intellectual Property and Research Contract Management.
No further delegation is permissible Authorisation of contracts is limited to those that fall within the limits detailed in appendix C to ROP/02

Contentious contracts or those that fall outside of the principles set out in Appendix C to ROP/02 (Bid Management, Faculty Approval and College Authorisation Limits) will need to be referred to the appropriate College officer, as detailed therein.

College authorisation will be given only after Faculty approval procedures as detailed in ROP/02 have been complied with.
Faculty Principals (who may delegate to nominated members of Faculty Research Services teams, whose names have previously been approved by the Research Office)

Director of Intellectual Property and Research Contract Management

19


Grants/ contracts outside of the preferred terms of trade Director of the Research Office Rector,
Director of the Research Office,
Director of Intellectual Property and Research Contract Management
No further delegation
20 Memorandum of Understanding (MOU) Director of Intellectual Property and Research Contract Management Director of Intellectual Property and Research Contract Management,
Faculty Principals (who may delegate to nominated members of Faculty Research Services teams, whose names have previously been approved by the Research Office),
Director of Business Development,
Director of the International Office MOUs of a contentious nature or those that fall outside the principles of Appendix C to ROP/02 should be referred to the appropriate College Officr, detailed therein.
21 Confidentiality agreements (CDAs) Director of Intellectual Property and Research Contract Management Director of Intellectual Property and Research Contract Management,
Faculty Principals (who may delegate to nominated members of Faculty Research Services teams, whose names have previously been approved by the Research Office),
Director of the Research Office,
Director of Business Development CDAs of a contentious nature or those that fall outside the principles of Appendix C to ROP/02 should be referred to the appropriate College Officr, detailed therein.
22


Material Transfer Agreements ( ) Director of Intellectual Property and Research Contract Management Faculty Principals (who may delegate to nominated members of Faculty Research Services teams, whose names have previously been approved by the Research Office)

MTAs-out are administered by the Faculty Research Services teams; MTAs-in are administered by the Research Office
23 Commission of the European Community (CEC) Research Grants Director of Intellectual Property and Research Contract Management Director of Intellectual Property and Research Contract Management,
Senior Negotiator (European Policy),
Senior Negotiator, Europe The CEC only recognise three authorised signatories per institution
24 CEC Consortium Agreements Director of Intellectual Property and Research Contract Management Director of Intellectual Property and Research Contract Management,
Senior Negotiator (European Policy),
Senior Negotiator, Europe

ACCEPTANCE OF DONATIONS
24 Acceptance of donations and bequests made with no restrictions:

a. Unrestricted donations and bequests of cash, stocks or shares or other monetary equivalents Rector Rector
Director of Development In consultation with the Chief Executive of the College Fund if to be invested in the College Fund, and the appropriate Faculty Principal or HoD


Director of Development
Faculty Principals Donations made direct to Faculties/ Departments/ Divisions are to be notified to the Director of Development
b. Unrestricted donations and bequests of physical assets, including items such as books and office/ laboratory equipment valued at less than £20K, but excluding buildings/ land
Rector Faculty Principal In consultation with the Director of Facilities Management in respect of potential resource usage (energy, etc.)
Head of the Department/ Division concerned Donations made direct to Faculties/ Departments/ Divisions are to be notified to the Director of Development
c. Donations of land and buildings Rector Rector
Director of Development In consultation with the Director of Property Management
25 Acceptance of donations and bequests made with restrictions:

a. Acceptance of donations and bequests which are made for the endowment of Prizes and Scholarships.
Rector
Rector
Pro Rector (Education)
Academic Registrar
Director of Development Formal acceptance from the Senate is required.