General Principles
- For any Contract or arrangement in this Register involving an IT Project, section 6.11 of the policy applies, which mandates CIO approval.
- Everyone authorized to sign must not exercise their signing authority in circumstances where conflicts of interest exist or could be seen to exist. Signing authorities are expected to inform their immediate supervisor when such circumstances exist and should refer to Policy 69 – Conflict of Interest.
- All responsibilities and authority outlined in the Register must be exercised in accordance with the Signing Authority and Approval policy.
Section A: Contracts and arrangements related to University Revenue
Revenue Generating Contracts and arrangements up to and including $200,000
- Unless otherwise noted, for all Contracts and arrangements up to and including $200,000, the signing authority may be determined by a Vice-President, Associate-Vice President, or Associate Provost who has operational responsibility for the category of Contract or arrangement.
- A signing authority must be an individual who has senior financial oversight, authority and decision-making responsibilities. This may include but is not limited to the Dean, Chair, Directors or Executive Directors, Department Heads, or their designate.
Revenue generating contracts over $200,000
Unless otherwise noted in Section A, for all Contracts and arrangements over $200,000, Section C General - Contracts and arrangements over $200,000 shall apply.
Research and Commercialization Related
- For research and commercialization revenue arrangements, listed dollar amounts for the purposes of identifying the level of signing authority shall include the entire revenue from that specific sponsor only and does not include any agreements relating to matching funds.
|
Category |
Dollar Threshold |
Signing Authority |
Additional Approvals |
Additional Guidelines |
|
Research Applications and Proposals |
Up to and including $1,000,000 |
One of the following
|
Department/School/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) |
Research program/sponsor specific approval processes |
|
Up to and including $5,000,000 |
One of the following
|
Department/School/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) |
Research program/sponsor specific approval processes Research checklist and all supporting documentation to accompany request |
|
|
More than $5,000,000 |
One of the following:
|
Department/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) |
Research program/sponsor specific approval processes. Research checklist and all supporting documentation to accompany request |
|
|
Research awards, grants, contracts and agreements including knowledge mobilization and in-bound inter-institutional/sub-award agreements. |
Up to and including $500,000 |
One of the following
|
Department/School/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) |
Research program/sponsor specific approval processes |
|
Up to and including $3,000,000 |
One of the following
|
Department/School/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) |
Research program/sponsor specific approval processes Research checklist and all supporting documentation to accompany request |
|
|
Up to and including $10,000,000 |
One of the following
|
Department/School/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) |
Research program/sponsor specific approval processes. Research checklist and all supporting documentation to accompany request |
|
|
Over $10,000,000 |
One of the following
And One of the following
|
Department/School/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) |
Research program/sponsor specific approval processes. Research checklist and all supporting documentation to accompany request |
|
|
Licenses and agreements related to Technology Transfer including revenue sharing agreements |
Up to and including $500,000 |
|
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Up to and including $3,000,000 |
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Up to and including $10,000,000 |
One of the following
|
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Over $10,000,000 |
One of the following
And One of the following
|
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Research services agreements where University’s research groups or core facilities provide analytical testing or other services |
As per Procurement/LIS procedures |
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Gift/Donation Contracts
- This section includes Contracts for all gifts of monetary value to the University, including endowed and trust gifts, cash gifts, in-kind real property or personal property, and securities.
- Signing of gift Contracts are subject to the Signing Policy, as well as existing Advancement procedures for gift agreements, which may contemplate internal approvals required prior to signing by the Signing Authority. Signing and Approval of all Contracts for gifts to the University must be consistent with Policy 7 – Gift Acceptance and, if applicable Policy 10 – Naming Opportunities. Any Additional Approvals outlined are not additional signatories to the Contract or arrangement.
- For any dollar threshold: If any gift supports research activities, the Office of Research must be consulted to ensure oversight of research compliance (ie. ethics) and any other research related terms.
|
Dollar Threshold |
Signing Authority |
Additional Approvals |
Additional Guidelines |
|
Up to and including $200,000 |
Associate Vice-President, Advancement Services |
Any additional approvals as per Advancement signing procedures |
Compliance with Policy 7 and Policy 10 |
|
Over $200,000 up to and including $2,000,000 |
One of the following
And
|
Any additional approvals as per Advancement signing procedures |
Compliance with Policy 7 and Policy 10 |
|
Over $2,000,000 up to and including $10,000,000 |
One of the following
And One of the following
And Vice-President, Advancement |
Any additional approvals as per Advancement signing procedures |
Compliance with Policy 7 and Policy 10 |
|
Over $10,000,000 |
One of the following
And One of the following
And Vice-President, Advancement |
Approval from Board of Governors Or Where such approval is required between regular meetings of the Board: Approval from the Board Executive Committee. And Any additional approvals as per Advancement signing procedures |
Compliance with Policy 7 and Policy 10 |
Non-Research Grant Agreements and Contracts
|
Category |
Dollar Threshold |
Signing Authority |
Additional Approval, if required |
Additional Guidelines |
|
Province of Ontario and other grants |
Up to and including $200,000 |
Executive Council Member of the business unit receiving the funding |
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Over $200,000 |
Executive Council Member for the business unit receiving the funding And One of the following
|
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Strategic Mandate Agreements |
Any |
One of the following:
|
Section B: Contracts and arrangements committing the University to Expenses
General
Purchasing Card (P-Card) and travel/other expense reimbursement transactions are not within the scope of the signing policy or register. These transactions have their own published approval requirements which may require lower dollar thresholds and/or one-over-one approval.
Expenses equal to or less than $200,000
Unless otherwise noted in Section B, standard dollar thresholds for non-research requisitions and purchase invoice transactions outside of Fund 105, expenses are set at: up to and including $50,000; over $50,000 up to $100,000 and over $100,000 up to and including $200,000.
Expenses over $200,000
Unless otherwise noted in Section B, for all Contracts and arrangements over $200,000, Section C the General - Contracts and arrangements over $200,000 shall apply.
|
Dollar Threshold |
Signing Authority |
Additional Approval, if required |
Additional Guidelines |
|
Up to and including $50,000 |
An approved delegate responsible to those individuals in the department with senior financial oversight, authority and decision-making responsibilities (aka Work Order Signing Authority) |
Compliance with
|
|
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Over $50,000 up to and including $100,000 |
The individual ultimately responsible for the Faculty or Department And The Manager, Procurement Operations or the Contract Specialist |
Compliance with:
|
|
|
Over $100,000 up to and including $200,000 |
The individual ultimately responsible for the Faculty or Department And
|
IT Project Purchase
|
Compliance with:
|
Departments with separate requirements
This section specifically addresses certain signing authorities to meet business requirements in a limited number of departments/expense categories with specific requirements.
Food Services
- The following applies to food and other expendable supplies for Food Services operations, including Contracts, Purchase Orders, and licensing relating to Food Services dealerships and franchises.
- In exceptional circumstances where food needs to be ordered without a formal Contract in place, a Purchase Order (PO) which contains University of Waterloo terms and conditions can serve as a contract.
|
Dollar Threshold |
Signing Authority |
Additional Guideline or Approval |
|
Up to and including $50,000 per transaction |
One of the following
|
|
|
Over $50,000 up to and including $200,000 per transaction |
One of the following
|
Library
|
Library - Non-Acquisition Transactions |
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|
Dollar Threshold |
Signing Authority |
Additional Guideline or Approval |
|
Up to and including $50,000 per transaction |
One of the following
|
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|
Over $50,000 up to and including $200,000 per transaction |
University Librarian |
|
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Library - Acquisition Transactions |
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Up to and including $5000 per transaction |
Acquisitions Associate, Invoicing & Ledgers |
|
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Over $5,000 up to and including $50,000 per transaction |
One of the following
|
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Over $50,000 up to and including $100,000 per transaction |
One of the following:
|
|
|
Over $100,000 up to and including $200,000 per transaction |
University Librarian |
|
Print + Retail Solutions
The following applies to the purchase of items within Print + Retail Solutions, which includes the W Store and W Store Essentials locations, including Contracts and licensing relating to Print + Retail Solutions dealerships and franchises.
|
Dollar Threshold |
Signing Authority |
Additional Guideline or Approval |
|
Up to and including $10,000 for a single transaction |
One of the following
|
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Over $10,000 up to and including $100,000 for a single transaction |
One of the following
|
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Over $100,000 up to and including $150,000 for a single transaction |
One of the following
|
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Over $150,000 up to and including $200,000 for a single transaction |
One of the following
|
Capital Construction and Maintenance
The following applies 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.
|
Dollar Threshold |
Signing Authority |
Additional Guideline or Approval |
|
Construction Contracts up to and including $200,000 |
The Director of Design & Construction Services, or for contract amounts of up to and including $10,000, a delegate within the Design and Construction Services Section of Plant Operations. |
|
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A single transaction up to and including $200,000 |
One of the following
|
Advancement
|
Dollar Threshold |
Signing Authority |
Additional Guideline or Approval |
|
Up to and including $25,000 |
One of the following
|
|
|
Over $25,000 up to and including $50,000 |
An Associate Vice-President |
|
|
Over $50,000 up to and including $200,000 |
Vice-President, Advancement |
Research and Commercialization
|
Dollar Threshold |
Signing Authority |
Additional Approval, if required |
Additional Guidelines |
|
Up to and including $20,000 |
The PI or a designated Signing Authority delegate (whose delegation is approved in writing by the PI and in accordance with Signing Authority Guidelines for Research Grants), And The Senior Buyer |
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Compliance with
|
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Over $20,000 up to and including $100,000 |
The Principal Investigator And The Manager, Procurement Operations or the Contract Specialist |
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Compliance with:
|
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Over $100,000 up to and including $200,000 |
The Principal Investigator And One of the following:
|
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Compliance with:
|
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Category |
Dollar Threshold |
Signing Authority |
Additional Approval |
Additional Guideline |
|
IP and Commercialization related expenditure contracts which include intellectual property and commercialization clauses |
|
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Out-bound inter-institutional/sub-award agreements. |
Up to and including $500,000 |
One of the following
|
Department/School/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) at point of agreement and through financial system authorization levels at point of payment. |
Research program/sponsor specific approval processes |
|
Up to and including $3,000,000 |
One of the following
|
Department/School/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) at point of agreement and through financial system authorization levels at point of payment. |
Research program/sponsor specific approval processes Research checklist and all supporting documentation to accompany request |
|
|
Up to and including $10,000,000 |
One of the following
|
Department/School/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) at point of agreement and through financial system authorization levels at point of payment. |
Research program/sponsor specific approval processes. Research checklist and all supporting documentation to accompany request |
|
|
Over $10,000,000 |
One of the following
And One of the following
|
Department/School/Centre/Faculty approval obtained via research proposal submission process (i.e. research cover sheet) at point of agreement and through financial system authorization levels at point of payment. |
Research program/sponsor specific approval processes. Research checklist and all supporting documentation to accompany request |
Section C - General - Contracts and arrangements over $200,000.
- The following dollar thresholds, signing authority, and additional approvals apply to Contracts and arrangements over $200,000 that are not noted in Sections A, B, D, E, or F.
- Where indicated, the Responsible Person must prepare an executive summary documenting the business case for the Contract or arrangement for appropriate internal review and approval. This must precede any additional approvals and signing authority.
- 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 or Executive Council member if necessary (or academic support units) responsible for the account.
|
Dollar Threshold |
Signing Authority |
Additional Approval |
Additional Guideline |
|
Over $200,000 up to and including $2,000,000 |
One of the following
|
IT Project Purchase:
|
Responsible Person prepares an executive summary documenting the business case. |
|
Over $2,000,000 up to and including $5,000,000 |
One of the following
And One of the following
|
Responsible Person prepares an executive summary documenting the business case. |
|
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Over $5,000,000 up to and including $10,000,000 |
One of the following
And One of the following
|
Construction projects and infrastructure:
|
Responsible Person prepares an executive summary documenting the business case. |
|
Over $10,000,000 |
One of the following
And One of the following
|
Approval from Board of Governors Or Where such approval is required between regular meetings of the Board: Approval from the Board Executive Committee. |
Responsible Person prepares an executive summary documenting the business case. |
Section D: Non-Monetary Contracts and arrangements
Research and Commercialization Related
|
Category |
Signing Authority |
Additional Guideline |
Additional Approval |
|
No-cost extensions or zero dollar addendums to research agreements. |
One of the following
|
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Research affiliation or collaboration agreements, or MOUs, network participation agreements with third parties such as incorporated research centres, governments, academic institutions |
One of the following
|
Sponsor specific requirements may dictate the level of signature required. |
|
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Assignments, non-financial documents related to intellectual property (IP) transactions IP assignments, including but not limited to amendments and acknowledgements |
One of the following
|
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Institutional signatory for non-financial reports for research projects |
One of the following
|
Principal Investigator |
Sponsor specific requirements may dictate the level of signature required. |
|
Institutional signatory for financial reports for research projects |
One of the following
|
Principal Investigator |
Sponsor specific requirements may dictate the level of signature required. |
|
Non-financial research and research related agreements and documents: such as, but not limited to, data sharing agreements; unfunded agreements transferring samples or materials, equipment loans/transfers/disposals; Research Personnel and Student Agreements (RPSA);; research permits, Non Disclosure Agreement (NDA) etc. |
One of the following
|
Equipment loans/transfers/disposals require PI/Dept/Faculty/Procurement approval |
Sponsor specific requirements may dictate the level of signature required. |
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Non-financial intellectual property and commercialization related agreements and documents: such as, but not limited to, data sharing agreements; transferring samples (eg. Material Transfer Agreements), Non-Disclosure Agreements, and other unfunded agreements (eg. MOUs), etc. |
One of the following
|
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Visiting research agreements, site access agreements, research certifications, capstone projects |
The Faculty Dean, or delegate Or An Academic Department Chair, or delegate |
Other non-monetary Contracts or arrangements
This section applies to non-research-related non-monetary Contracts and arrangements relating generally to the operation and development of the University
|
Category |
Signing Authority |
Additional Guideline or Approval |
|
Faculties |
The Faculty Dean, or delegate Or An Academic Department Chair, or delegate |
|
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Academic Support Departments |
One of the following or their delegate:
And A Department Head |
|
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Executive/University Level |
One of the following:
And One of the following
|
Section E: Financial Services
This section applies to Contracts and necessary forms related to financial services and arrangements, including banking services, merchant services, deposit facilitation services, corporate credit/purchasing cards, and insurance.
|
Category |
Dollar Threshold |
Signing Authority |
Additional Approval, if required |
Additional Guideline |
|
Financial Services |
Any |
Two of the following:
|
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Debt/External Financing |
Any |
Two of the following
|
Board of Governors, Or Any committee of the Board of Governors that has been so delegated, if required |
Compliance with Debt Policy |
|
Investment Services |
Any |
Two of the following:
|
Board of Governors, Or Any committee of the Board of Governors that has been so delegated, if required |
Compliance with applicable investment guidelines, statement of investment policies and procedures and/or fund implementation procedures |
|
Insurance Services |
Up to and including $500,000 |
One of the following:
|
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Insurance Services |
Greater than $500,000 |
Two of the following, at least one of whom must be*:
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Section F: Financial Transactions
- This section applies to financial transactions, including outgoing payments, pre-authorized withdrawal authorization, investments, and the sharing of banking information for the purpose of collections.
- To meet the definition of Limited Purpose Bank Account in this section, one of the following criteria is required:
i. account balances are limited to amounts required to efficiently conduct approved University business in a foreign jurisdiction.
ii. to enable high frequency, small value payments to third parties such as research participants.
|
Category |
Dollar Threshold |
Signing Authority |
Additional Approval, if required |
Additional Guideline |
|
Outgoing Payments (Including, but not limited to, payments by cheque, wire, EFT or E-Transfer) |
Up to and including $500,000 |
One of the following:
|
Authorization for expense payments follows approvals of expenses by authorized expense signing authority All cheques presented for payment must bear the signatures of two of the following:
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Outgoing Payments (Including, but not limited to, payments by cheque, wire, EFT or E-Transfer) |
Greater than $500,000 |
Two of the following, at least one of whom must be *:
|
Authorization for expense payments follows approvals of expenses by authorized expense signing authority All cheques presented for payment must bear the signatures of two of the following:
|
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Compensation payments to University employees (Payroll) |
Any |
One of the following:
|
All cheques presented for payment must bear the signatures of two of the following:
|
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Tax payments to federal, provincial, or municipal governments, regulatory filings, pension contributions |
Any |
One of the following:
|
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Pre-Authorized withdrawal authorizations |
Any |
Two of the following:
|
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Limited Purpose Bank Accounts |
Up to and including $5,000 |
One of the following:
|
The Chief Financial Officer along with the Director, Treasury may authorize delegation to other qualified University employees. No single payment transaction to a research participant can exceed $500. |
|
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Limited Purpose Bank Account - Payments |
Greater than $5,000 up to and including $25,000 |
Two of the following:
|
The Chief Financial Officer along with the Director, Treasury may authorize delegation to other qualified University employees. No single payment transaction to a research participant can exceed $500. |
|
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Pension Benefits |
Any |
One of the following:
And One of the following:
|
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Debt/Borrowing |
Any |
Two of the following:
|
Compliance with Debt Policy |
|
|
Use of University of Waterloo Banking Information for the purpose of collecting funds owed to the University |
Any |
One of the following:
|
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Cash & Cash Equivalent Investments and Transactions |
Any |
Two of the following:
|
Compliance with applicable investment guidelines, statement of investment policies and procedures and/or fund implementation procedures |
|
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Investments other than cash and equivalent |
Up to and including $10 million |
Two of the following:
|
The Board of Governors, Or Any committee of the Board of Governors that has been so delegated, if required |
Compliance with applicable investment guidelines, statement of investment policies and procedures and/or fund implementation procedures |
|
Investments other than cash and equivalent |
Greater than $10 million |
Two of the following:
|
The Board of Governors, Or Any committee of the Board of Governors that has been so delegated, if required |
Compliance with applicable investment guidelines, statement of investment policies and procedures and/or fund implementation procedures |