Procedure 1 | Secretariat

Signing Authority for Contracts, Agreements and Expenses - Excluding Research

Established: November 1994
Last Updated:1 March 2023 (Title Changes Only)

Purpose

This procedure documents the levels of authority required to enter into contracts or agreements and approve expenses relating generally to the operation and development of the University and to bind the University to the terms thereof. Contracts and agreements entered into by the University of Waterloo should be approved and signed by only authorized persons as designated below.

Scope

This procedure applies to all contracts and agreements, including issuance of Purchase Orders and approving expenses, to which the University or a University employee, acting within the scope of his/her employment, is a party.

Exclusions

Approval of Banking Arrangements, such as authorization of payment for routine and regular preauthorized withdrawals from the University bank account, as well as approval of Borrowing are addressed in separate Procedures. Please refer to Procedure 8 – General Financial Services.

Approval of Investment Transactions are addressed in separate Procedures. Please refer to Procedure 9 – Investments.

Please note that Purchasing Card (P-Card) and travel/other expense reimbursement transactions have separate published approval requirements which may require lower dollar thresholds and/or one-over-one approval. Please refer to Policy 31 – University Expenses.

Please see Procedure 25 – Contracts and Agreements Zero or Unspecified Dollar Amount for contracts which contain either zero or unspecified dollar amounts.

Definition

For the purposes of this procedure, a contract includes any agreement made by the University in which legally binding or non-binding commitments are made by and/or to the University. Other terms that are sometimes used in place of "contract" include lease; guarantee; letter of intent or understanding; terms and conditions; memorandum of agreement, understanding or settlement; waiver; release. Contracts can take the form of a one-page letter of agreement, as well as lengthier documents that govern multiple transactions occurring over time. Money does not have to be exchanged in order for parties to create a binding contract.

Some common types of contracts include:

Contracts for purchase or sale of goods or services
Contracts with government agencies, other educational institutions, or private partners for the accomplishment of particular purposes
Leases of movable property, such as tools, equipment, and vehicles
Leases, deeds, mortgages, and other contracts related to interests in real property
License agreements for software and other intellectual property

General guidelines for signing authority of contracts and agreements

The level of authority required to enter into contracts or agreements (including issuance of Purchase Orders and approving expenses) relating generally to the operation and development of the University and to bind the University to the terms thereof shall depend on the dollar amount of such contracts or agreements as set out below. The dollar amount shall include the entire expenditure over the term of the contract or agreement including any options to extend the contract or agreement as set out in the documents.

Any contract or agreement which includes IT equipment or services with potential to impact the University's IT infrastructure, requires access to administrative information systems, stores or processes personal information, or is subject to IT accessibility requirements, must also be approved by the Chief Information Officer.

University personnel identified below may delegate their approved signing authority to other University employees for contracts. To be in full force, this delegation must be in writing and kept on file with the Faculty or Department. For contracts or agreements greater than or equal to $200,000, any such delegation shall not be in full force and effect until the Secretary of the Board of Governors is informed in writing of the names and job titles of the people involved and the conditions under which such authority may be exercised and, in turn, the Secretary has provided such information to the President, and the Vice-President, Finance & Administration.

All Persons designated or appointed under this procedure are expected not to exercise their signing authority in circumstances where conflicts of interest exist or could be seen to exist; in addition, if applicable, they are required to inform their immediate manager when such circumstances exist.

Authorized signing authorities

The Responsible Person is the individual ultimately responsible for the Faculty or department which includes the Dean, Chair, Director (for academic units) or Department Head (for academic support units) responsible for the account.

According to the provisions herein, authority to enter into contracts and agreements and to bind the University to the terms thereof, has been delegated as follows:

A. Up to $5,000

A Level 1 Buyer

And/or

The Signing Authority, which may be the Responsible Person or an approved delegate within the department who has senior financial oversight, authority and decision-making responsibilities for amounts less than $50,000.

B. Up to $25,000

A Level 2 Buyer

And

C. Up to $50,000

A Level 3 Buyer

And

D. Up to $100,000

One of:

- The Senior Buyer
- The Contracts Coordinator

And

The individual ultimately responsible for the Faculty or department (“Responsible Person”), as defined above.

E. Up to $200,000

One of:

Director, Procurement and Contract Services
Chief Financial Officer
Vice-President, Finance & Administration

And

The individual ultimately responsible for the Faculty or department (“Responsible Person”), as defined above.

F. Up to $2,000,000

One of:

Vice-President, Finance & Administration
Chief Financial Officer

G. Up to $5,000,000

One of:

President and Vice-Chancellor
Vice-President, Academic & Provost

and One of:

Vice-President, Finance & Administration
Chief Financial Officer

H. Up to $10,000,000

Approval from One of:

Chair of the Board of Governors
Vice-Chair of the Board of Governors

and Approval and Contract Signing by

One of:

President and Vice-Chancellor
Vice-President, Academic & Provost

and One of:

Vice-President, Finance & Administration
Chief Financial Officer

I. In Excess of $10,000,000

The individual ultimately responsible for the Faculty or department (“Responsible Person”), as defined above prepares a business case for appropriate internal review and approval preceding the following approvals. Agreements or contracts in excess of $10,000,000 require the approval of the Board of Governors. Where such approval is required between regular meetings of the Board, the Board authorizes the Board Executive Committee to act on its behalf.

Approval from:

The Board of Governors

and Approval and Contract Signing by:

One of:

President and Vice-Chancellor
Vice-President, Academic & Provost

and One of:

Vice-President, Finance & Administration
Chief Financial Officer

Appendix A

The provisions of Procedure 1 - Signing Authority for Contracts, Agreements and Expenses - Excluding Research, delegates authority to enter into contracts and agreements and to bind the University to the terms thereof, to the following departments:

1. FOOD SERVICES

Relating to food and other expendable supplies for Food Services operations, including contracts, agreements or licensing relating to Food Services dealerships and franchises:

A. To approve and accept orally or otherwise, delivery of food and expendable supplies committed by contract:

One of:

Director of Food Services
Financial Officer
Executive Chef
Unit Managers
Supervisors
Chef

B. To approve the purchase to a limit of $50,000 per transaction (normally and usually by oral agreement) and to accept delivery of food and expendable supplies not committed by contract:

One of:

Director of Food Services
Financial Officer
Area Manager

C. With respect to a single transaction of up to $200,000:

One of:

Associate Provost, Students
Director of Food Services

2. PRINT + RETAIL SOLUTIONS

Relating to the purchase of items within Print + Retail Solutions, which includes the W Store and W Store Essentials locations, including contracts, agreements and licensing relating to Print + Retail Solutions dealerships and franchises:

A. With respect to a single transaction not exceeding $10,000:

One of:

Buying Assistant
Technology Sales & Service Coordinator
Custom Publishing Coordinator
Customer Service & General Books Specialist
Technical Support Specialist
Copy Centre/Digital Production Operator
Manager, Shipping/Receiving

B. With respect to a single transaction not exceeding $100,000:

One of:

Associate Director, Operations & Strategic Initiatives
General Merchandise Manager
Production Manager
Apparel & Customer Orders Buyer
Supplies & Gifts Buyer

C. With respect to a single transaction not exceeding $150,000:

One of:

Course Materials Manager
Course Materials Specialist

D. With respect to a single transaction of up to $200,000:

One of:

Associate Provost, Students
Director of Print + Retail Solutions
Technology Sales & Service Manager

3. LIBRARY

Relating to the acquisition of library materials and the provision of services:

A. Non-Acquisition-related Transactions up to $50,000:

One of:

Director, Organizational Services
Associate University Librarian, Learning, Research & User Services
Associate University Librarian, Collections, Technology & Scholarly Communications

B. Non-Acquisition-related Library Transactions of up to $200,000:

University Librarian

For Acquisitions-related Transactions only:

A. Up to $5,000:

Acquisitions Associate, Invoicing & Ledgers

B. Up to $50, 000:

One of:

- Head, Collection Development;
- Acquisitions Manager

C. Up to $100,000:

Associate University Librarian, Learning, Research & User Service

D. Up to $200,000:

University Librarian

4. PLANT OPERATIONS

Relating to the maintenance and operation of buildings and grounds; the purchase of utilities; the construction of new buildings and for additions, alterations or renovations to existing buildings as well as to site services and landscaping:

A. With respect to Construction Contracts not exceeding $200,000:

The Director of Design & Construction Services

The Director of Design & Construction Services may delegate their signing authority along with responsibility for Contracts not exceeding $10,000 to appropriate persons within the Design and Construction Services Section of Plant Operations.

B. With respect to a single transaction not exceeding $200,000:

One of:

Vice-President, Finance & Administration
Executive Director, Facilities
A Director of Plant Operations

5. Waterloo International

Relating to international training and exchange:

A. With respect to a single transaction of up to $200,000:

Associate Vice-President, International

6. Advancement

Relating to University Advancement in general, except as other wise provided for in this Appendix:

A. Up to $25,000:

One of:

Associate Director, Systems
Director, Alumni Relations

B. Up to $50,000:

Advancement Associate Vice-Presidents

C. Up to $200,000:

Vice-President, Advancement or designate