UNITED INTERNATIONAL COLLEGE

DELEGATION OF AUTHORITY GUIDELINE

The following outlines a set of policies and procedures that define the limits of authority designated to specified positions of responsibility within the College, and to establish the types and maximum amount of obligations that may be approved by individuals.

Prepared By: ______________
Approved By: ______________
Revision Date: ______________
Effective Date: ______________

All employees should be aware that conduct that violates the policy set forth is always considered outside the scope of their employment. Violating the policy could significantly damage the College and expose it to unintended legal and commercial liabilities. In addition, individuals who violate these policies are subject to appropriate disciplinary action by the College, including possible termination of employment.

Persons who have employees reporting to them should take all necessary steps to ensure their employees know and follow the policy. In this connection, all managers should periodically consult with their staff members to determine that appropriate procedures for implementation of the policy have been developed and are being followed.

The amounts stated are in RMB

1. Introduction

1.1 Authority of the Board

The Council has full control of the College and its property of various kinds. Any authority delegated by the Council shall always be subject to the ultimate authority of the Council.

1.2 Government of the College

For the purpose of effecting the government of the College under and by the Council, the President, or the President's designee is authorized to act for the

The President is also specifically authorized to establish emergency rules and amendments; to establish expedited rules and amendments in order to correct typographical errors, make address changes, or clarify language of a rule without changing its effect; and to make expedited repeals.

The channel of authority from the Council to the faculty, staff, and other officers and employees of the college shall be through the President. All faculty, staff, and other officers and employees of the College shall, through appropriate channels, be responsible to the President and through the President to the Council.

2. Scope

The following regulations exclude the delegation of authority for academic matters, personnel appointments, compensation and other personnel actions for employees.

The regulations set forth the President’s approved delegations and sub-delegations of authority to various academic and administrative officials for contracts signed on or after September 1 2010. All other delegations of authority are superseded.

For purposes of this regulation, a contract means an agreement between two or more persons that creates an obligation to do or not to do a particular thing. A contract may be titled as an agreement, a memorandum of understanding, memorandum of agreement, a promise to pay, or may use other terminology. A contract may or may not involve the payment of money.

3. General Guideline

3.1 Combining Transactions
Dividing a commitment or transaction into two or more parts to evade a limit of authority is prohibited and is a violation of the policy. This policy shall be interpreted broadly so that a series of reasonably related transactions shall be considered as a single transaction for purposes of determining approval and authority levels required by this policy.

3.2 Delegation of Authority to Subordinates
The President retains residual executive authority to sign contracts for the College, notwithstanding the delegations of authority contained in this regulation.

The Managing Director, Financial Planning and Development (FPD) is delegated the authority to sign contracts for which the President has signature authority that may be further sub-delegated.

A staff delegated signature authority retains residual signature authority notwithstanding further sub-delegations of signature authority that are set forth in this regulation.

No delegation shall be made of all or substantially all of the powers held by any persons making a delegation, or where checks and balances would be minimized.

Delegates may not approve transactions for themselves, their relatives or approve transactions that directly benefit themselves or their relatives or, in any way, create a conflict of interest with the delegate’s responsibilities to the College. Such transactions must be countersigned by another authorized person, usually the person of next higher authority.

It is emphasized that commitments and transactions cannot be approved by individuals having a lower level of approval authority than the specified transaction requires, except pursuant to a delegation of temporary authority or delegation pursuant to a Division or Department Delegation of Authority policy adopted pursuant to this policy.
Temporary authority may be designated whenever an individual with approval authority will be out of the office for prolonged periods. The temporary authorization is to be in writing and specify the effective length of time and must be approved by the supervisor of the individual who is delegating authority.
This policy also requires that each Division / Department adopts Division / Department policies and/or procedures consistent with this policy. This includes maintaining official files of all delegations of authority and conducting annual reviews of all the delegations to ensure that they are revised as necessary. Any

FPD, shall be permitted under this policy.

Delegations of authority must be documented on the form prescribed by the Finance Office. Original delegations form (appendix) will be maintained by the Finance Office, in accordance with applicable records retention guidelines.

3.3 Compliance Documentation
Employees executing contracts and approving transactions are required to ensure that all appropriate approvals and reviews required by this policy and other policies and procedures have been obtained, and to ensure that appropriate documentation of these approvals is maintained. Appropriate documentation can take various forms, including the initialing of final contracts, approval forms, or memorandums. All contracts shall be maintained with documentation of the appropriate approvals and the original or a copy sent to the College Secretariat for archiving.

4. Specific Guideline on Purchase, Construction and Other Contract Signature Authority

Specific delegations of contract signature authority for specified contracts to staff and their delegates are set forth in this section. An individual with delegated signature authority who signs a contract on behalf of the College has the responsibility to ensure that the contract follows College policies, regulations, rules and guidelines and that all necessary insurance coverage is in force. Delegations and sub-delegations of authority to sign a Standard Form Agreement do not include authority to make changes to the Standard Form Agreement. A Standard Form Agreement is one that has been approved as to legal form and sufficiency by the legal advisor and endorsed by the Managing Director FPD. The legal advisor must review any changes to the Standard Form Agreement before the agreement may be signed. The legal advisor must review any contract offered for signature by a third party. Standard Form Agreements when designed are available from the Purchasing Office.

4.1 The President, and Vice President with delegation, has general authority to commit the College in contract.

4.2. The Managing Director FPD has general authority in relation to contracts dealing with procurement of goods and services, contract for the design, demolition, construction, alteration, repair, renovation and maintenance of

4.3 The Managing Director FPD together with the President has authority in relation to contracts for the sale, purchase, leasing, licensing and charging of real property.

4.4 The Director of Research Office has authority in relation to research and research-related contracts.

4.5 The Director of Integrated Service Office has authority in relation to contracts for the design, demolition, construction, alteration, repair, renovation and maintenance of buildings and related utilities facilities up to the amount of 100,000; and leases and similar agreements not extending over one year.

4.6 The Head of the Learning Resources Center has authority in relation to contracts for the procurement of books and related reference material in either physical or electronic format up to the amount of 100,000.

4.7 The Director of Purchases has authority in relation to contracts for procuring goods and services up to amount of 100,000.

4.9 What is ordinary business will vary, but for academic units can be taken to mean teaching and research and their support. (But note that research contracts must be signed by Research Office and purchases must be on the College’s standard terms and conditions unless the Purchasing Office approves another form). Specific funds may be used only for the purposes given.

4.10 Employment contracts must be approved by the Human Resources Committee and the Director of Human Resources has the authority to effect employment contracts upon approval.

4.11 Strategic Cooperation Framework Agreement must be approved by the Managing Director FPD and President. Council's approval may be required depending on the nature.

4.12 Agreements for establishment of branch, new institution or new campus development must be approved by the Managing Director FPD or President based on the Council's approval.

If anyone not listed above (i.e. anyone other than the Managing Director FPD, the Director of Research Office, the Director of Integrated Services Office, the Head of Learning Resources Center, the Director of Purchases, the Director of Human Resources and Heads of Budgetary Units) is to sign a contract on behalf of the College, his or her name must be entered in the register of delegations.

5. Authorization to Commit Expenditures

Authorization to commit expenditure is different from authority to signing contracts. The fact that one is provided internal authorization for expenditure does not mean that one can sign a contract.

5.1 Operating, General and Administrative Expenses

Each Division/ department shall establish procedures relating to the authorization and approval of operating, general and administrative expenses. Where there is an underlying transaction, contract, or agreement that has been properly approved and satisfactory evidence that the obligation is due, the authority for disbursement approval is designated as follows:

Note: FO Director’s approval is needed for any reimbursement5.2 Expense Reports

Every expense report of  five thousand (￥5,000) or more must be approved by a Division / Department head or higher. Expense reports also shall be approved in accordance with College’s published policies and procedures for such expenses.

Capital projects must be supported by a feasibility study including costs and benefit analysis. The authority for project approval is designated as follows:

 7. Authorization to Financial Affairs and Others

7.1 Financial Business and Service
7.1.1 Borrowing Funds
FO Director, Managing Director FPD and/or the president as required by bank is authorized to borrow funds under the college’s existing credit facilities.
7.1.2 Granting Liens
Approvals by FO Director, Managing Director FPD and/or the president as required by bank are required in order to grant a lien on any College asset.
7.1.3 New Credit Facilities/Borrowings
Approvals by FO Director, Managing Director FPD and/or the president as required by bank are required prior to entering into any new credit facility or borrowing arrangement.

7.1.4 Opening/Closing Bank Accounts
Approvals by FO Director, Managing Director FPD and/or the president as required by bank are required to open or close bank accounts.

7.1.5 Disposals of Assets
Prior to any disposal of assets outside the ordinary course (including all equipment sales) with a net book value exceeding one thousand (￥1,000), the Finance Director shall be notified. In addition, sales of assets outside the ordinary course are subject to the following approval levels.

 7.1.6 Annual Budget Approval

Unit Heads shall first approve respective expenditure budgets. The budgets must be finally approved by Finance Working Group (FWG) / Finance Committee (FC).

7.1.7 Regular Transactions

Any payment to the 3^rd parties, cash advance and reimbursement must be approved by Finance Office.

7.2 Legal and Insurance Matters 

7.2.1 Legal Services

Contracts relating to retention of legal service are delegated to the Managing Director FPD and the president.

7.2.2 Commencement of Legal Action

The President is authorized to act for the Council regarding all legal actions necessary to protect the interests of the College. The decision to instruct external lawyers is taken jointly by the Managing Director FPD and the relevant division/ department head that requires the commencement of legal actions.

7.2.3 General Legal Matters

FO Director and Managing Director FPD are authorized to approve general legal matters. Consult Senior Management if necessary.      

 7.2.4 Litigations and Commercial Disputes     

Approval of FO Director and Managing Director FPD is required prior to the College settling any litigation claims (including any administrative proceeding in front of a governmental/regulatory agency) or labor and commercial disputes. In addition, approval by each of the following individuals shall be required prior to settling any litigation or threats of litigation or labor or commercial disputes if the matter originates from the respective division/ department:        

Commercial Claims (non-litigation) – In situations in which the settlement of claims does not involve litigation (for instance, settlement of warranty claims), each Division / Department shall establish clear approval levels for the settlement of such claims.

 7.2.5 Insurance services

Contracts relating to insurance for personnel related nature is delegated to the director of HR, for student related to the head of ISO and for assets related to FO Director. Approvals by FO Director, Managing Director FPD and/or the president as required by bank are required to purchase any insurance services. 

7.2.6 Insurance Claims/Refunds

Departmental approval is required for insurance claims-HR Director for personnel related; ISO for students related and FO for assets related. All insurance claims filed by the Divisions / Departments require approval by FO Director and Managing Director FPD.

7.3 Services by External Auditors

The hiring / rehiring of external auditors must be endorsed by the Council based on the recommendation of the President

8. Policy Update and Notification

The College reserves the right to revise the conditions of this policy at any time by giving notice via the Policy Update Procedure. Employees are responsible for understanding or seeking clarification of any rules outlined in this document and for familiarizing themselves with the most current version of this policy.

DELEGATION OF AUTHORITY FORM

授权书

1.   Division/ Department （部门） 

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2.Authorized Person（被授权人）

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 3.      Authorizer（授权/撤销授权人）

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 Title （职位）

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 Title （职位） 

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4.      Selected Action 授权事项

    The authorized person is hereby authorized the corresponding rights stated in Delegation of     Authority Guideline and UIC General Delegation of Authority according to his/her title. These rights are subject to the changes of the above mentioned policies.  The delegation shall automatically become null and void when the authorized person’s employment relationship with UIC is terminated.

5. Signatures and Date (document signed)    签名与日期（文件签署）  

Authorized Person（被授权人）                                       Authorizer（授权人）

___________________________                         ______________________________

                    Date                                                                                               Date