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We are thankful to be welcome on these lands in friendship. The lands we are situated on are covered by the Williams Treaties and are the traditional territory of the Mississaugas, a branch of the greater Anishinaabeg Nation, including Algonquin, Ojibway, Odawa and Pottawatomi. These lands remain home to many Indigenous nations and peoples.

We acknowledge this land out of respect for the Indigenous nations who have cared for Turtle Island, also called North America, from before the arrival of settler peoples until this day. Most importantly, we acknowledge that the history of these lands has been tainted by poor treatment and a lack of friendship with the First Nations who call them home.

This history is something we are all affected by because we are all treaty people in Canada. We all have a shared history to reflect on, and each of us is affected by this history in different ways. Our past defines our present, but if we move forward as friends and allies, then it does not have to define our future.

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Signing Authority Registry and Approval Procedures (Interim)

Classification number LCG 1132.01
Parent policy Signing Authority Policy
Framework category Legal, Compliance and Governance
Approving authority Senior Leadership Team
Policy owner Chief Financial Officer
Approval date November 2012
Review date
Last updated Editorial Amendments, February 18, 2020; Interim Amendment Approved by Board of Governors, November 29, 2018
Supersedes Signing Authority Registry and Approval Procedures, December 2008

Purpose

The purpose of these procedures is to specify the signing authorities required for various types of contracts, acquisitions and agreements that may be entered into on behalf of the university, and to establish a consistent university-wide framework to enable senior administrators and others in which financial responsibility vests, to structure and manage their responsibilities in an effective and efficient manner.

Procedures

  1. Signing authority (authorization)
    Publication of the operating budget, as approved by the Board of Governors, confers authority upon budget holders to make expenditures within the amounts and scope of the accounts allotted to them in the budget and in accordance with university policies and procedures.
    Expenditures from restricted funds (i.e. research, endowment, trust funds) received are administered by the university and must be spent in compliance with university policies and procedures and are compliant with granting agency/donor terms and conditions

    1. General operating funds

      Authorization is granted to the holder of the budget to expend or release funds. The account holder must ensure that the expenditures are necessary for university operations and are in compliance with university policy and procedures. The account holder must be assured that the university is able to meet its obligations within the terms of the contract and it is likely the other party or parties can meet its obligations. The account holder must also understand the impact of making commitments against these budgets or other resources within the faculty/department. Any expenditure that may be deemed ineligible or inappropriate becomes the responsibility of the faculty/department. Similarly, any expenditure in excess of the budgeted allocations becomes the responsibility of the faculty/department.

    2. Research and trust funds

      Authorization is granted to the principal investigator/trust holder to expend or release funds. He or she must ensure the expenditures are required for and are in compliance with university policies and procedures. In addition they must ensure that the expenditures are in compliance with granting agency/donor terms and conditions. Subsequent internal control mechanisms and administrative infrastructure do not remove or diminish the principal investigator/trust holder responsibilities and accountability. Any expenditure that may be deemed ineligible or inappropriate becomes the responsibility of the principal investigator/trust holder.

  2. Internal control approval
    The internal control approval process indicates the transaction has been reviewed for accuracy and appropriateness. The approval provides assurance that the expenditures are in compliance with university policy and procedures and external agency/donor terms and conditions. On any type of expenditure where it is perceived that the expenditure is not required for university operations will be returned to the authorizing individual for more information or forwarded to the one-over-one for review and assessment of validity. The university has the right and responsibility to withhold approval of expenditures proposed that contravene university policy and procedures or granting agency/donor terms and conditions.
    Items are reviewed for the following:

    • Ensures the appropriate supporting documentation is attached or available (on file, etc.).
    • Confirms authorization signature (signature verification). Acceptable signatures include signed original and/or electronic signature or, in case where the account holder cannot provide an original signature, authorization may be provided in the form of an email (authorizing the expenditure) from the account holder, provided that an original signature is obtained as quickly as possible, or delegate signing authority on an interim basis.
    • Verifies correct account coding.
    • Ensures funds are available within the allocated budget amounts.
    • Ensures expenditures and revenues are in compliance with, and processed in compliance with, university policies and procedures and, if applicable, in compliance with external granting agency/donor terms and conditions.
    • Ensures expenditure encumbrance/commitment does not exceed project/grant end date.
    • On any type of expenditure when there is a potential or perceived conflict of interest, forwards to the one-over-one for approval for further review and clarification.
    • Secures any other approvals based on the Signing Authority Registry

  3. One-over-one approval
    One-over-one approval is required to provide assurance the expenditure is appropriate and is required for university operations. The one-over-one approval also provides assurance that a control process is in place and that due diligence has been exercised with regards to this control process.

    The one-over-one approval requirement stems from the concept that no one should be placed in a position where they can authorize a payment to be made to themselves or for their benefit. Obtaining a signature from a supervisor would indicate a review of the proposed expenditure is legitimate and is for university operations. One-over-one approval is provided by the claimant’s direct supervisor (one-over one cannot be delegated).

    The one-over-one approval would occur after the internal control approval has been secured. Employees responsible for internal control approval should be able to:

    • Provide direction as to the appropriateness (and relevance to research, where applicable).
    • Highlight situations where there may be discrepancies or non-compliance with university policies and procedures or external granting agency/donor terms and conditions, including the ability to satisfy the relevance to the research being funded.

      The above categories are a general guide only and do not represent an exhaustive list. When there is uncertainty or if it is not clear if the expenditure represents a potential or perceived conflict of interest, then one-over-one approval should be secured.

  4. Delegation of signing authority
    Authorized account holders are permitted to temporarily delegate their signing authority to other individuals within their faculty/department. All Delegation of Authority Forms must be completed and signed by both the delegator and the delegatee. Once duly signed, the original is sent to the University's Finance department who shall maintain a repository for all such delegations. A scanned copy of the form must be sent to the Procurement department at

    purchasing@dc-uoit.ca.

    By signing the delegation of authority forms, the delegate is agreeing to provide the delegator with an executed copy of any and all documents signed after execution.

    1. Temporary delegation of authority forms

      The University has three delegation of authority forms:

      1. Temporary Delegation of Signing Authority Form

        When an individual requires their signing authority temporarily delegated to execute a document where there is reason to do so.

      2. Signing Authority Form– Addition

        When an individual becomes employed at the university, the employee direct supervisor will complete and sign the form so the employees can be added to the Signing Authority Registry.

      3. Signing Authority Form – Removal

        When an individual leaves the employment of the university, the form is required to remove the individual from the Signing Authority Registry.

  5. Signing Authority Registry (SAR)
    Signing authority has been delegated by the type of agreement and threshold. Below is the university’s Signing Authority Registry. Below is the university’s Signing Authority Registry.

Agreement Type

Contracts up to $5k

Contracts $5k to $25k

Contracts up to $50k

Contracts $51k to $150k

Contracts  $151k to $499k

Contracts $500k to $999 k

Contracts

$1,000,000

to

$3,000,000

Contracts   >$3,000,000

Gift Agreements

Academic Agreement

Leases, Licenses

Legal Action (Minutes of Settlement)

Sale or Disposal of Assets

Investment Management & Banking Agreements

Chair of the Board of Governors via Board resolution

 

 

 

 

 

 

 

Mandatory

>$3,000,000

 

>$3,000,000

>$1,000,000

>$1,000,000

Mandatory

President

 

 

 

 

 

 

Mandatory

Mandatory

 >$1,000,000

University Wide - Mandatory

>$1,000,000

x

x

x

Chief Financial Officer

 

 

 

 

x

Mandatory

x

x

x

 

Mandatory

x

x

x

Relevant VP

 

 

x

Mandatory Administration

Mandatory

x

 

x

Mandatory

Mandatory

x

x

 

 

Relevant Dean/Registrar/Librarian

 

x

x

Mandatory Academic

x

 

 

 

x

x

 

 

 

 

Relevant Assistant/Associate Provost, Relevant Assistant/Associate Dean, Assistant/Associate Registrar

 

x

x

x

 

 

 

 

 

 

 

 

 

 

Relevant Director/Manager

x

x

x

 

 

 

 

 

x

 

 

 

 

 

Officer

x

x

 

 

 

 

 

 

 

 

 

 

 

 

 

One over one approval required in all Agreement Types  over $5k

Any expenditure under a research account requires the signature of Principal Investigator

Signing authority may be temporarily delegated (insert Link)

“Contracts” refer to agreements relating to the general operations of the university, including written deeds, transfers, assignments, capital projects, contract, subcontracts, invoices, letter of intent, memoranda of understanding, memoranda of agreement, obligations, certificates, leases, licenses, legal agreements, permits, indemnities, capital projects, covenants, and all other documents evidencing what is or may be a binding legal relationship between the university and one or more third parties.

“Gift Agreements” shall mean agreements involving the voluntary transfer of either personal property, real property, or both, to the university by a donor to the university, the terms of which are settled between such donor and the External Relations and Advancement Departments.

“Academic Agreements” include practicum agreements, student exchange programs, inter-institutional collaborations, delivery of non-degree programs/courses by external organizations, corporations or institutions.

ASSOCIATED POLICIES, PROCEDURES AND GUIDELINES

All procurement activities must adhere to standards and procedures as outlined in the associated procedures and guidelines, which include the following:

  • Academic Staff Employment Policy
  • Animal Care and Use Policies and Guidelines
  • Biosafety Manual
  • Conflict of Interest in Research Policy
  • Gift Acceptance Policy and Procedures
  • Health and Safety Policy and Procedures
  • Investment Policy
  • Procedures for the Determination of Contractor Status
  • Purchasing Procedures
  • Radiation Safety Manual
  • Risk Management Policy (under development)
  • Signing Authority Registry and Approval Procedures
  • Signing Authority Registry
  • Supply Chain Code of Ethics
  • Travel Expense Reimbursement Procedure
  • Whistleblower Policy

External procedures and guidelines:

  • Supply Chain Guidelines, Ontario Ministry of Finance

Review

The procedures and associated rates and schedules will be reviewed from time to time, and may be adjusted as required by the university policies and broader regulatory requirements.