Signing Authority Policy & Appendix

Policy Owner
OCOO
Document Type
Policy
Document Approval Date
Version
2.0

There are many documents which are signed by employees of the University as part of day-to-day activities. Some of these documents, such as contracts, may place an obligation on the University. As the internal academic, research and administrative units of the University such as Faculties, schools, research centres and support units do not have an independent legal existence the contracting party will always be the University and it is the University which may ultimately be legally bound by such documents.

Signing a document on behalf of the University is an important responsibility and should be done only by employees of the University who have understanding of the obligation being undertaken. Employees may sign such documents in the name of the University only if they have authority to do so and have followed the review and approval process for such documents as set out in this policy and its appendix.

The purpose of this policy is:

  1. to ensure only those University employees with appropriate approval and accountability are authorized to sign documents on behalf of the University;  
  2. to define who may sign the documents listed in the appendix to this policy after their review and approval by the individuals or groups indicated in the appendix;
  3. to contribute to the management of exposure to risk which may arise when a document is signed on behalf of the University; and
  4. to promote good governance by applying appropriate internal controls.

This policy applies to all units of the University, both academic and support, including the research centres. These units are collectively referred to in this policy as the ‘University’. This policy does not apply to those campus companies which are ultimately controlled by the University’s Governing Authority.  

The intention of this policy is to include the majority of common external documents which may place an obligation on the University or may expose it to a risk. Documents which are internal to the University are excluded except where they are deemed to be of sufficient importance or relevance to be specifically included in this policy’s appendix.

This policy applies equally to documents which can be signed by hand or by electronic means.   

  1. In general, the approved signatory and review process must reflect the level of risk (e.g. financial, reputational, operational etc.) pertaining to the document under consideration.

  2. Employees may sign the documents listed in the policy’s appendix only if they have been authorised to do so as set out in the appendix to this policy.  

  3. The documents shown in this policy’s appendix represent the most common ones which can arise in practice. The authorized signatories and approval process for the documents listed in the appendix will be adhered to in all instances.

  4. The approval of this policy document will constitute approval of the signatory, and the alternate or delegated signatory where applicable, on the specified documents listed in the policy’s appendix.

  5. Where there is any doubt as to which individual may sign a document which places an obligation on the University, then the Office of the Chief Operations Officer should be consulted. 

  6. This policy is to be read in conjunction with the other University policies and guidance material listed in the related documents section below. In addition, the University and its staff are bound by the Universities Code of Governance 2019 and other Irish legislation as amended from time to time. 

  7. Conflicts of interest are common in any organisation and may arise in relation to documents dealt with in this policy and its appendix. A conflict of interest arises when an individual holds a personal interest, whether direct or indirect, which in the opinion of a reasonably-informed and well-advised person is sufficient to call into question the independence, impartiality and objectivity the individual is obliged to exercise in the performance of his/her duties. Where conflicts of interest arise the individual will not have the authority to sign the document and will not participate in the review & approval process prior to its signature. In such cases the immediate line manager of the individual will sign the document but only after the document’s review and approval process, as indicated in the appendix, has been completed.

  8. Where an authorised primary signatory is absent from campus for more than 3 days, or in the case of an emergency, the delegated or alternative signatory as listed in the policy’s appendix may sign on his or her behalf but only after the document’s review and approval process, as indicated in the appendix, has been completed.  A person to whom authority is delegated cannot further delegate that authority to another without the written approval of the person who made the original delegation. The person who delegates authority retains responsibility for the actions of the person to whom authority has been delegated.

  9. In relation to the appendix to this policy the University Executive authorises the Chief Operations Officer to add new document categories and related signatory(s) to the appendix, or to amend existing ones, as may be required from time to time. Any such proposal for amendment must be submitted to the Chief Operations Officer. The Chief Operations Officer will report any such amendments to the University Executive.

  10. Individuals listed as the primary signatory(s) for a listed document may delegate their authority to sign to others only where the delegated or alternative signatory(s) is also listed in the policy’s appendix.    

  11. Compliance with the requirements of this policy is mandatory for all University employees.

Responsibility of Management

It is the responsibility of all members of senior management to be familiar with the signatory rights and the review and approval process for the documents shown in this policy’s appendix which fall within their remit. In addition, management are also responsible for ensuring that where a delegated or alternative signatory is listed for a specific document, that those individuals are aware of their own responsibilities under the policy. Management must also ensure that those employees who report to them are aware of this policy and its requirements and that they apply it in their day-to-day University activities.    

Responsibility of Employees

It is the responsibility of all employees to be aware of the existence of this policy and to apply its requirements in their day-to-day University activities. In addition, all employees have a responsibility to ensure that information provided to management to assist in the review and approval process for documents listed in the policy appendix is accurate, timely and complete.  

Where an employee of the University has been found to be in breach this policy then the University may take appropriate action against the individual concerned.

Any actions taken by the University with respect to University employees will be initiated in accordance with the appropriate DCU regulations and disciplinary procedures. These include, but are not restricted to, the initiation of steps for the implementation of the Dublin City University disciplinary procedures under Dublin City University Statute No. 5 of 2010: ‘Suspension and Dismissal of Employees’ which may lead to demotion or dismissal.

The University also reserves the right to take a separate civil action against any individual(s) found to be in breach of this policy.

Contracts

The word contract may be defined for the purposes of this policy as any document intended to set forth an agreement or arrangement between the University and an external party. A document need not be labelled ‘contract’ to be covered by this policy. Contracts are agreements that are legally enforceable regardless of the document title. A document is a contract under this policy if it describes an obligation of the University, either to do or not do something or to pay money. A contract can be in both paper & electronic form. Any question as to whether a document is a contract should be referred to the Office of the Chief Operations Officer.

Employees

Employees are defined as any person who is working or has worked under a temporary or permanent contract at, or for, the University.

The following documents are of relevance to this policy and are to be referred to by policy users:

  • Code of Conduct for Employees;
  • Consultancy Policy for Dublin City University;
  • DCU Anti-Fraud Policy;
  • DCU Conflict of Interest Policy & Guidelines;
  • DCU Protected Disclosures Policy;
  • DCU Statute # 5: Suspension & Dismissal of Employees;
  • Gifts, Entertainment & Sponsorship Regulations ; and
  • Procurement Policy.

These may be accessed on the University's Policies web page

Queries in relation to the operation of this policy should be directed towards the Chief Operations Officer.

This policy will be reviewed by the University Executive as an when changes are required.   

 

Document Name

Signing Authority Policy

Unit Owner

Office of the Chief Operations Officer

Version Reference

Version 2.0

Approved by

Executive

Effective Date

October 4th 2022

Signing Authority Policy V2.0 - Appendix

Please Note: Where the Primary Signatory is absent 

In all relevant cases set out in this appendix where the Primary Signatory (as per the bulleted list below) is absent then their respective designated Deputy may sign the contract or document, as the case may be, on their behalf. The Deputy must inform the Primary Signatory as soon as possible after their return to campus.

Primary Signatories

  • President
  • Deputy President
  • Director of Human Resources
  • Director of Finance
  • Chief Operations Officer
  1. Academic Activities - Collaborative Provision Agreements

Ref

Description of Activity Type

Unit(s) Responsible

Review & Endorse

Documents, as defined by Education Committee, to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

1.1.1

Entry Related

- Foundation

 

Office of the Vice President for Academic Affairs

  1. Head of School

     &

  1. Faculty Teaching & Learning Committee

     &

  1. Admissions Officer, Registry

 

Executive Dean

or

Vice President Academic Affairs

 

Nominee

Office of the Primary Signatory until such time as the Institutional Digital Repository is operational (Pending)

1.1.2

Entry Related

- Articulation

 

Office of the Vice President for Academic Affairs

  1. Executive Dean

     &

  1. Education Committee

Vice President Academic Affairs

Nominee

1.2.1

Collaborative Delivery (Single Award)

- Industrial Placement

 

Office of the Vice President for Academic Affairs

  1. Programme Chair or Nominee

     &

  1. INTRA Coordinator

Head of School

Nominee

1.2.2

Collaborative Delivery (Single Award)

- Professional Placement

  1. where placement is organised on an individual basis and supervised by DCU staff e.g. teaching placements

Office of the Vice President for Academic Affairs

 

  1. Programme Chair

&

  1. Placement Coordinator

Head of School

Nominee

1.2.3

Collaborative Delivery (Single Award)

- Professional Placement

  1. where placement is organised on a contractual basis between the University and a partner e.g. nursing clinical placements

Office of the Vice President for Academic Affairs

  1. Head of School

     &

 

  1. Faculty Management Board

Executive Dean

 

or

 

Vice President Academic Affairs

Vice President Academic Affairs

 

Delete text above and replace with

 

‘Nominee’

1.2.4

Collaborative Delivery (Single Award)

- Exchange (including Erasmus)

Office of the Vice President for Academic Affairs -DCU Placement

  1. Head of School

     &

  1. Faculty Teaching & Learning Committee

&

  1. Placement Unit

Executive Dean

or

Vice President Academic Affairs

 

Nominee

1.2.5

Collaborative Delivery (Single Award)

- Study abroad (incoming)

 

Office of the Vice President for Academic Affairs

Subject to availability as determined at individual School level

1.2.6

Collaborative Delivery (Single Award)

- Study abroad (DCU award registered students)

 

 

 

 

Office of the Vice President for Academic Affairs -

-DCU Placement

  1. Head of School

&

  1. Faculty Teaching & Learning Committee

Executive Dean

or

Vice President Academic Affairs

 

Nominee

1.2.7

Collaborative Delivery (Single Award)

- Shared delivery (DCU staff, partner credits) leading to partner award

 

Office of the Vice President for Academic Affairs

  1. Head of School

     &

  1. Faculty Teaching & Learning Committee

 

If >10 ECTS, Dean of Teaching & Learning

 

Executive Dean

or

Vice President Academic Affairs

Nominee

1.2.8

Collaborative Delivery (Single Award)

 

- Shared delivery (DCU staff, DCU credits) leading to partner award

Office of the Vice President for Academic Affairs

  1. Head of School

     &

  1. Faculty Teaching & Learning Committee

 

If >10 ECTS, Dean of Teaching & Learning

 

Executive Dean

 

or

 

Vice President Academic Affairs

 

Nominee

1.2.9

Collaborative Delivery (Single Award)

- Shared delivery (partner delivery, DCU credits) leading to a DCU award

 

 

Office of the Vice President for Academic Affairs

1)   Head of School

     &

2)   Faculty Teaching & Learning Committee

Executive Dean

or

Vice President Academic Affairs

 

Nominee

1.2.10

Collaborative Delivery (Single Award)

- Shared delivery (partner delivery, partner credits) leading to a DCU award

 

 

Office of the Vice President for Academic Affairs

  1. Executive Dean

     &

  1. Education Committee

Vice President for Academic Affairs

Nominee

1.2.11

Collaborative Delivery (Single Award)

- Shared supervision / graduate researcher training (research awards) whereby a DCU graduate researcher spends time at one or more partner institutions for the purposes of supervision and/or training, leading to a DCU award

 

Office of the Vice President for Academic Affairs

Principal Supervisor(s)

Head of School

Nominee

1.2.12

Collaborative Delivery (Single Award)

- Shared supervision / graduate researcher training (research awards), whereby a graduate researcher from another institution spends time at DCU for the purposes of supervision and/or training leading to an award by a partner institution

Office of the Vice President for Academic Affairs

Principal Supervisor(s)

Head of School

Nominee

1.2.13

Collaborative Delivery (Single Award)

- Off-site delivery

  1. Where the total number of credits is > 30 or the entirety of the teaching or supervision constitutes an award

Office of the Vice President for Academic Affairs

  1. Executive Dean

&

  1. Education Committee

Vice President for Academic Affairs

None

1.2.14

Collaborative Delivery (Single Award)

-  Off-site delivery

  1. where the total number of credits is less than 30

Office of the Vice President for Academic Affairs

  1. Head of School

     &

  1. Faculty Management Board

 

Executive Dean

None

1.2.15

Collaborative Delivery (Single Award)

-  Franchising (Partner award)

 

This is not a current activity but will, if entered into, require Faculty endorsement (Exec Dean) and University level (VPAA) approval and signing.

1.2.16

Collaborative Delivery (Single Award)

-  Franchising (DCU award)

 

This is not a current activity but will, if entered into, require Faculty endorsement (Exec Dean) and university level (VPAA) approval and signing.

1.2.17

Collaborative Delivery (Single Award)

-  Contracting leading to credits / award

 

 

Office of the Vice President for Academic Affairs

  1. Head of School

&

  1. Faculty Management Board

Executive Dean

None

1.2.18

Collaborative Delivery (Single Award)

-  Contracting

 

 

Office of the Vice President for Academic Affairs

  1. Head of School

     &

  1. Faculty Management Board

 

Executive Dean

None

1.3.1

DCU accreditation and award for programmes in partner institution

 

- DCU accreditation and award, programme taught in partner institution

 

 

 

Office of the Vice President for Academic Affairs

  1. Dean of Teaching & Learning

    &

  1. Education Committee

    &

  1. Academic Council

Vice President for Academic Affairs

None

1.3.2

DCU accreditation and award for programmes in partner institution

 

- DCU research award, supervised in partner institution

 

 

Office of the Vice President for Academic Affairs

  1. Dean of Graduate Studies

     &

  1. GRSB 

     &

  1. Academic Council

Vice President for Academic Affairs

None

1.4.1

Awards across more than one institution

- Joint taught award

Office of the Vice President for Academic Affairs

  1. Executive Dean (based on Faculty T&L Committee review)

     &

  1. Education Committee (incl. validation & modified accreditation process)

Vice President for Academic Affairs

None

1.4.2

Awards across more than one institution

- Joint research award

Office of the Vice President for Academic Affairs

  1. Executive Dean (taking cognisance of DCU Policy on Joint Research Supervision & Awards)

&

  1. VPAA (compliance with Policy on Joint Research Supervision & Awards)

&

  1. GRSB (detail of specific proposed arrangements)

Vice President for Academic Affairs

None

1.4.3

Awards across more than one institution

- Double / Multiple taught award

 

Office of the Vice President for Academic Affairs

  1. Executive Dean (based on Faculty T&L Committee review)

     &

  1. Education Committee (incl. validation & modified accreditation process)

Vice President for Academic Affairs

None

1.4.4

Awards across more than one institution

- Dual taught award

 

Office of the Vice President for Academic Affairs

  1. Executive Dean (based on Faculty T&L Committee review)

        &

  1. Education Committee (incl. validation & modified accreditation process)

Vice President for Academic Affairs

None

1.4.5

Awards across more than one institution

 

- Double research award

 

DCU Policy on Joint Research Supervision & Awards indicates that this is not the preferred arrangement. It is unlikely an agreement will be entered into as it raises issues of double counting of credit, and less than optimum transparency. It also does not deliver benefits of coherence in process.

2.    Acquisition / Disposal / Lease of Land and Property     

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

2.1

Acquisition of land (excluding gifts of land) with a value less than €750,000

 

Office of the Chief Operations Officer

1) Office of the Chief Operations Officer

&

2) DCU Executive

President

Chief Operations Officer

Office of the Chief Operations Officer.

2.2

Acquisition of land (excluding gifts of land) with a value equal to, or greater than, €750,000

 

Office of the Chief Operations Officer

1) Office of the Chief Operations Officer

&

2) DCU Executive

&

3) Governing Authority

President

Chief Operations Officer

Office of the Chief Operations Officer.

2.3

Sale of land or property with a market value of less than €150,000

 

Office of the Chief Operations Officer

1) Office of the Chief Operations Officer

&

2) DCU Executive

Chief Operations Officer

Director of Estates

Office of the Chief Operations Officer.

2.4

Sale of land or property with a market value equal to, or greater than, €150,000

 

 

Office of the Chief Operations Officer

1) Office of the Chief Operations Officer

&

2) DCU Executive

&

3) Governing Authority

President

Chief Operations Officer

Office of the Chief Operations Officer.

2.5

Lease of land or property to or from the University for a term up to 5 years

 

Office of the Chief Operations Officer

  1. Chief Operations Officer

&

  1. Director of Finance

 

Chief Operations Officer

Director of Estates

Office of the Chief Operations Officer.

2.6

Lease of land or property to or from the University for a term exceeding 5 years

Office of the Chief Operations Officer

  1. Chief Operations Officer

&

2) DCU Executive

1) Chief Operations Officer

&

2) Director of Finance

Director of Estates

Office of the Chief Operations Officer.

2.7

Right of way / easement.

Office of the Chief Operations Officer

DCU Executive

Chief Operations Officer

 

Director of Estates

Office of the Chief Operations Officer

2.8

Space licence/lease agreements by DCU Subsidiary Companies with a third party - specific

Respective Subsidiary Company  (e.g. DCU Invent, DCU Alpha, Campus Property)

Chief Operations Officer

or

Director of Commercialisation

Chief Operations Officer

or

Director of Finance

Director of Estates (In place of COO)

Office of the Chief Operations Officer

or

DCU Invent DAC

2.9

Assignment of leases to University Subsidiaries

Office of the Chief Operations Officer

 

Chief Operations Officer

Chief Operations Officer

Director of Finance

Office of the Chief Operations Officer

3.    Banking Activities      

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

3.1

Establishment of a line of credit or financial loan to the University

Finance Office

Governing Authority

Director of Finance

1) Deputy Director of Finance

or

2) Group Financial Controller

Finance Office

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

3.2

Formal document to permit the drawing down of a line of credit or financial loan.

Finance Office

Director of Finance

Director of Finance

1) Deputy Director of Finance 

or

2) Group Financial Controller

Finance Office

3.3

Documentation relating to financial investments (excluding short term deposits)

Finance Office

Governing Authority

Director of Finance

1) Deputy Director of Finance

or

2) Controller Group Financial Operations

or

3) Group Financial Controller

Finance Office

3.4

Corporate banking services (including mandates & resolutions)

Finance Office

Governing Authority

1) Director of Finance

&

2) Chief Operations Officer

 

None

Finance Office

3.5

 

Bank guarantees

Finance Office

DCU Executive

Director of Finance

1) Deputy Director of Finance

or

2) Group Financial Controller

Finance Office

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

3.6

Credit card agreements

Finance Office

Senior Finance Office staff in line with Credit Card Policy

Director of Finance

1) Deputy Director of Finance

or

2) Controller Group Financial Operations

Finance Office

3.7

Short term banking deposits

Finance Office

Financial Operations Accountant

Financial Operations Accountant

 

Senior DCU Accountant

Finance Office

3.8

All other financial agreements

Finance Office

Director of Finance

Director of Finance

1) Deputy Director of Finance

or

2) Group Financial Controller

or

3) Controller Group Financial Operations

Finance Office

 

4.    Campus Subsidiary Companies / Spin-out Companies (under DCU Invent DAC)

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

Please note: Where matters refer to a company that was a spin-out of the University and the University has equity stake in the company, all matters listed below should be referred to DCU Invent DAC.  All other company matters should be referred to DCU Finance.

4.1

Initial subsidiary company formation documents e.g.

- Shareholder Agreements

- Memo & Articles of Association etc.

Finance Office

 

1) Governing Authority

&

2) DCU Legal Advisors

Director of Finance

 

Chief Operations Officer

Office of the Chief Operations Officer

4.2

Establishment of a University Spin-Out Company, where DCU takes an equity stake in the company.

DCU Invent DAC

Board of DCU Invent DAC

Director of Commercialisation

Vice-President for Research

DCU Invent DAC

4.3

Subsequent modifications to subsidiary company documents.

Finance Office

 

1) Governing Authority

&

2) DCU Legal Advisors

Director of Finance

Chief Operations Officer

Office of the Chief Operations Officer

4.4

 

Incubation Centre occupation agreements / licences to utilise space.

DCU Invent DAC

 

DCU Legal Advisors

Director of Commercialisation

None

DCU Invent DAC

4.5

Disposal of company assets on liquidation or winding up of the company where their market value is less than €150,000.

 

Finance Office

or

DCU Invent DAC (as applicable)

1) Company Board

&

2) DCU Legal Advisors

Director of Finance

or

Director of Commercialisation (as applicable)

None

Finance Office

or DCU Invent DAC (as applicable)

4.6

Disposal of company assets on liquidation or winding up of the company where their market value is equal to, or greater than, €150,000.

Finance Office

or

DCU Invent DAC (as applicable)

1) Governing Authority

&

2) DCU Legal Advisors

Director of Finance

or

Director of Commercialisation   (as applicable)

None

Finance Office

or Invent DCU Ltd (as applicable)

4.7

Waiver of Pre-emption Rights (e.g. the first option to buy newly issued shares).

Finance Office

or

DCU Invent DAC (as applicable)

Director of Commercialisation

Director of Finance

or

Director of Commercialisation (as applicable)

None

Finance Office

or DCU Invent DAC (as applicable)

5.    Concessions on Campus

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

5.1

Provision of banking services

Finance Office

1) Governing Authority

&

2) DCU Legal Advisors

1) Director of Finance

&

2) Chief Operations Officer

None

Finance Office

&

Copy to the Central Procurement Team

&

Copy to Office of the Chief Operations Officer

5.2

Agreement for provision of retail services

Office of the Chief Operations Officer

 

1) Executive

&

2) DCU Legal Advisors

Chief Operations Officer

None

Office of the Chief Operations Officer

&

Copy to the Central Procurement Team

5.3

Agreement for services provided by medical clinicians

Student Support & Development

1) Central Procurement Team

&

2) Chief Operations Officer

Director of Student Support & Development

None

Health Centre

&

Copy to the Central  Procurement Team

5.4

Any agreement covering access to DCU property or infrastructure for commercial purposes not already covered under refs 5.1, 5.2 and 5.3 above.

Office of the Chief Operations Officer

1) Executive

&

2) DCU Legal Advisors

Chief Operations Officer

None

Office of the Chief Operations Officer

&

Copy to the Central Procurement Team

 

6.    Consolidated Financial Statements

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

6.1

Statement of Governing Authority's responsibilities

Finance Office

1) Governing Authority

&

2) Audit Committee

1) President

&

2) Chancellor

None

Finance Office

6.2

Statement of Governance and Internal Control

Finance Office

1) Governing Authority

&

2) Audit Committee

1) President

&

2) Chancellor

None

Finance Office

6.3

Consolidated Income & Expenditure Account

 

Finance Office

1) Governing Authority

&

2) Audit Committee

1) President

&

2) Chancellor

None

Finance Office

6.4

Consolidated Balance Sheet

Finance Office

1) Governing Authority

&

2) Audit Committee

1) President

&

2) Chancellor

None

Finance Office

6.5

Letter of Representations in connection with the year-end audit

Finance Office

1) Governing Authority

&

2) Audit Committee

1) President

&

2) Chancellor

None

Finance Office

7.    Construction Contracts / works related services including consultancy services

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

7.1

Contract value up to €50,000

Office of the Chief Operations Officer

  1. Chief Operations Officer

&

  1. Estates Office Director

Director of Estates

  1. Estates Manager

or

  1. Assistant Estates Manager

 

Estates Office

(& copy to Central Procurement Team)

 

7.2

Contract value is between €50,001 - €1,000,000

Office of the Chief Operations Officer

1) Chief Operations Officer

&

2) Estates Office Director

&

  1. Central Procurement Team

&

  1. Governing Authority if value is greater than €750,000

Chief Operations Officer

 

Director of Estates

 

Estates Office

(& copy to Central Procurement Team)

 

7.3

Contract value is greater than €1,000,000

Office of the Chief Operations Officer

1) Chief Operations Officer

&

2) Estates Office Director

&

  1. Central Procurement Team

&

4) Governing Authority if value is greater than €750,000

President

Chief Operations Officer

 

Estates Office

(& copy to Central Procurement Team)

 

8.  Consultancy Contracts that are non - construction in nature & where a DCU unit, or unit staff, act as a consultant

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

8.1

Contracts for the provision of services by academic staff of the University to a third party and the total value of the contract (excluding VAT) is less than or equal to €10,000

All Academic Units

  1. Research Support Office

&

  1. Head of School or Head of Group in the case of the DCU Business School (as applicable).

(Note: In all cases a signed DCU Consultancy Approval Form is required & the contract must use the standard DCU pro-forma Consultancy Agreement template and must not include any Intellectual Property Issues)

Faculty Executive Dean

Director of Research  

or

Vice-President for Research

or

Vice President for Academic Affairs (Registrar)

Faculty Office

(& copy to RSS)

8.2

Contracts for the provision of services by non-academic staff of the University to a third party and the total value of the contract (excluding VAT) is less than or equal to €10,000

All Support Units

Head of Department  

(Note: In all cases a signed DCU Consultancy Approval Form is required & the contract must use the standard DCU pro-forma Consultancy Agreement template and must not include any Intellectual Property Issues)

Chief Operations Officer

None

Office of the Chief Operations Officer

(& copy to RSS)

8.3

Contracts for the provision of services by academic staff of the University to a third party and the total value of the contract (excluding VAT) is greater than €10,000

All Academic Units

Research Support Services

 

(Note: A signed DCU Consultancy Approval Form is required)

VP for Research

or

Vice President for Academic Affairs (Registrar)

as appropriate.

 

Nominee of VP for Research

or

Nominee of the VP Academic Affairs (Registrar)

as appropriate

 

Faculty Office

(& copy to RSS)

 

8.4

Contracts for the provision of services by non-academic staff of the University to a third party and the total value of the contract (excluding VAT) is greater than €10,000

All Support Units

Research Support Services

(Note: A signed DCU Consultancy Approval Form is required).

VP for Research

Nominee of VP for Research

 

Office of the Chief Operations Officer

(& copy to RSS)

8.5

Contracts for the provision of services by academic or non-academic staff of the University to a third party where:

a) project involves a complex schedule of work or

b) an alternative contract format (i.e. different to the DCU Pro-Forma Consultancy agreement for amounts up to €10,000) is proposed by the third party or

c) alternative contract terms & conditions are proposed by the third party or

d) Where issues of intellectual property are involved

All Academic & Support Units

Research Support Services

 

(Note: A signed DCU Consultancy Approval Form is required).

VP for Research

or

Vice President for Academic Affairs (Registrar)

as appropriate

 

Nominee of VP for Research

or

Nominee of the VP for Academic Affairs (Registrar)

as appropriate

Faculty Office or Office of the Chief Operations Officer as appropriate.

(& copy to RSS)

 

9.  Consultancy Contracts that are non - construction in nature & where a DCU unit engages the consultant

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

9.1

Total value of contract is up to €5,000

All Academic & Support Units

Senior Management in the School or Support Unit as applicable

(Note: The Director of Commercialisation is to be consulted if Intellectual Property issues are involved)

 

For an Academic Unit - Head of School / Faculty

For a Support Unit -  Head of Support Unit

None 

Unit engaging the consultant

&

Copy to the Central Procurement Team

 

9.2

Total value of contract is between €5,001 & €25,000

All Academic & Support Units

Academic Unit - Next management level above unit seeking contract i.e. Faculty Management for a School's consultancy contract

Support Unit -  Next management level above the unit engaging the consultant

(Note: The Director of Commercialisation is to be consulted if Intellectual Property issues are involved)

 

For an Academic Unit - Head of School / Faculty

For a Support Unit -  Head of Support Unit

Senior Manager in relevant Academic or Support Unit.

Unit engaging the consultant

&

Copy to the Central Procurement Team

 

9.3

Total value of contract is between €25,001 and €50,000

All Academic & Support Units

  1. Academic Unit - Next management level above unit seeking contract i.e. Faculty Management for a School's consultancy contract.

Support Unit - Next management level above the unit engaging the consultant.

(Note: The Director of Commercialisation is to be consulted if Intellectual Property issues are involved)

&

  1. Central Procurement Team

 

Academic Unit - Head of School / Faculty

 

Support Unit -  Head of Support Unit

None

Unit engaging the consultant

&

Copy to the Central Procurement Team

9.4

Total value of contract is greater than €50,000

All Academic & Support Units

  1. Academic Unit - Next management level above unit seeking contract i.e. Faculty Management for a School's consultancy contract.

Support Unit - Next management level above the unit engaging the consultant.

(Note: The Director of Commercialisation is to be consulted if Intellectual Property issues are involved)

&

  1. Central Procurement Team

&

  1. Governing Authority if value of contract is greater than €750,000

Two signatures required

Academic Unit - President & Head of Unit

or

Support Unit - President & Head of Unit

(As appropriate)

Two signatures required

Academic Unit - Deputy President & Head of Unit

or

Support Unit - Deputy President & Head of Unit

(As appropriate)

Unit engaging the consultant

&

Copy to the Central Procurement Team

9.5

All contracts for consultancy where the services are requested by an SFI Funded Centre and/or services relating to research

Research Support Services

Director of Research

Director of Research

Vice-President for Research

Research Support Office

&

Copy to the Central Procurement Team

 

10.  Employment Contracts

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

10.1

Appointment of the President

Human Resources Office

  1. University Chancellor acting on behalf of Governing Authority

&

  1. Human Resources Office

Director of Human Resources

Deputy Human Resources Manager / Officer

Human Resources Office

10.2

Appointment to any permanent post (other than post of President)

Human Resources Office

1)  Resource Committee &

  1. DCU Executive &
  2. Human Resources Office.

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

10.3

Appointment of fixed term contract staff for a period less than one year

Human Resources Office

  1. Finance Office

&

  1. Human Resources Office

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

10.4

Appointment of fixed term contract staff for a period exceeding one year

Human Resources Office

1) Resource Committee &

2) DCU Executive &

3) Human Resources Office

&

4) Finance Office for externally funded projects

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

10.5

Hourly / occasional staff – teaching

All Academic Units & Human Resources Office

  1. Head of School

&

  1. Human Resources Office

&

  1. Finance Office

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

& copy held by Academic Unit

10.6

Hourly / occasional staff – support

All Support Units & Human Resources Office

  1. Head of Unit

 &

  1. Human Resources Office

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

& copy held by Support Unit

10.7

Contract for promotions up to, but excluding, Senior Lecturer level, resulting from internal academic promotions process

Human Resources Office

1) Academic Promotions Committee

&

  1. President

&

  1. Human Resources Office

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

10.8

Contract for promotions to Senior Lecturer Level & above, resulting from internal academic promotions process.

Human Resources Office

1) Academic Promotions Committee

&

  1. Governing Authority

&

  1. Human Resources Office

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

11.  Employment Documentation

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

11.1

General pension administration correspondence i.e. transfers, provisional statements of benefits, purchase of added years quotes etc.

Human Resources Office

N/a

Human Resources Manager / Officer

Pension Administrator

Human Resources Office

11.2

Local collective pay agreements

Human Resources Office

Senior Management Group

Director of Human Resources

Deputy  Human Resources Manager / Officer

Human Resources Office

11.3

Secondment agreements (both to and from the University) - academic positions

All Academic Units & Human Resources Office

1) Head of School

&

2) Dean of Faculty

Director of Human Resources

Human Resources Manager / Officer

 

Human Resources Office

11.4

 

Secondment agreements (both to and from the University) - administrative positions

All Academic & Support Units & Human Resources Office

Head of Department

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

11.5

Sabbatical leave

All Academic & Support Units

Approval by relevant Head or Executive Dean and a Finance Office Manager. Final approval is given by Director of Human Resources

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

11.6

Statutory leave arrangements correspondence e.g. maternity leave, parental leave

All Academic & Support Units

Relevant manager is to be notified of arrangement.

Human Resources Manager / Officer

HR Statutory Leave Administrators

Human Resources Office

11.7

All other employment contract arrangements including leave of absence, job share, reduced hours etc.

All Academic & Support Units

Leave arrangement applications will have been approved by the relevant Head of Department in the first instance

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

11.8

 

Final written warning to staff

Human Resources Office

Review with relevant Head of Department

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

11.9

Notice of dismissal from employment

Human Resources Office

Review with relevant Head of Department. Final decision to be taken by President

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

11.10

Heads of agreement, Start-Up Fund agreement

(Strategic appointment)

 

Specific Heads of agreement document; detailed letter of offer/appointment and/or supplement to employment contract

Human Resources Office

1) Dean of Faculty

&

2) Director of Human Resources

&

3) Director of Finance

&

4) President

Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

 

12.  Equipment Leases

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

12.1

Leases up to €25,000 - for the life of the lease

All Academic & Support Units

Finance Office

1)Deputy Director of Finance or

2)Group Financial Controller

Controller Group Financial Operations

Finance Office

(& copy held within Unit office).

12.2

Leases between €25,000 - €50,000 for the life of the lease

All Academic & Support Units

  1. Finance Office

&

  1. Central Procurement Team

1) Deputy Director of Finance or         2) Group Financial Controller

Controller Group Financial Operations

Finance Office

(& copy held within Unit office & copy to Central Procurement Team)

12.3

Leases over €50,000 for the life of the lease

All Academic & Support Units

  1. Finance Office

&

  1. Central Procurement Team

&

  1. Governing Authority if value of lease is greater than €750,000

1)Director of Finance

2) Deputy Director of Finance

1)Controller Group Financial Operations or

2) Group Financial Controller

Finance Office

(& copy held within Unit office & copy to Central Procurement Team)

 

13.  Funding Agreements (Non-Research)

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

13.1

Non-research related proposals, applications and contracts for funding from funding agencies for amounts up to €250,000

All Academic & Support Units

For an academic unit – Dean and the relevant Unit of academic affairs depending upon the nature of commitment

or

For a support unit - Member of the SMG responsible for the Unit

Head of Unit

None

Unit Office

13.2

Non-research related proposals, applications and contracts for funding from funding agencies for amounts greater than €250,000

All Academic & Support Units

For an academic unit – Dean and the relevant unit of academic affairs depending upon the nature of commitment

For a support unit - Member of the SMG responsible for the Unit

Relevant member of Senior Management Group to which the Unit reports

None

Unit Office

14.  Gift & Endowment Agreements

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

14.1

Monetary donations, bequests, endowment fund agreements for academic, research or capital purposes - where DCU is the receiving entity

Office of the Chief Operations Officer

1) Chief Operations Officer

&

2) Director of Finance

Chief Operations Officer

None

Office of the Chief Operations Officer

14.2

Monetary donations, bequests, endowment fund agreements for academic, research or capital purposes - received via the DCU Educational Trust

Office of the Chief Operations Officer

 

1) Chief Operations Officer

&

2) Director of Finance

Chief Operations Officer

None

Office of the Chief Operations Officer

14.3

The establishment of a Trust

President’s Office

Governing Authority

President

Deputy President

 

President’s Office

14.4

Non-monetary donations and gifts (e.g. research equipment)

All Academic Units

 

Dean of Faculty

Head of School

Faculty Manager

Faculty Office

15.  Income Related Contracts

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

15.1

Conference Contracts where:

1) the University acts as either the primary or co-signatory on a conference contract &

2) it is provided either on or off campus &

3) the conference is organized by a conference umbrella body &

4) Contract value is less than €50,000

All Academic Units

&

Support Units

1) For an academic unit - Dean

or

for a support unit - Member of the SMG responsible for the unit

&

2) Finance Office

&

3) Chief Operations Officer

Head of Unit

None

Unit Office

15.1.1

Conference Contracts where:

1) the University acts as either the primary or co-signatory on a conference contract &

2) it is provided either on or off campus &

3) the conference is organized by a conference umbrella body &

4) Contract value is greater than €50,000

All Academic Units

&

Support Units

1) For an academic unit - Dean

or

for a support unit - Member of the SMG responsible for the unit

&

2) Finance Office

&

3) Chief Operations Officer

Relevant member of the Senior Management Group to which the unit reports

None

Unit Office

15.1.2

Conference Contracts where:

1) the University acts as either the primary or co-signatory on a conference contract &

2) it is provided either on or off campus &

3) the conference is organized by a professional conference organizer &

4) contract value is less than €50,000

All Academic Units

&

Support Units

1) For an academic unit - Dean

or

for a support unit - Member of the SMG responsible for the unit

&

2) Finance Office

&

3) Chief Operations Officer

Head of Unit

None

Unit Office

15.1.3

Conference Contracts where

1) the University acts as either the primary or co-signatory on a conference contract &

2) it is provided either on or off campus &

3) the conference is organized by a professional conference organizer &

4) contract value is greater than €50,000

 

All Academic Units

&

Support Units

1) For an academic unit - Dean

or

for a support unit - Member of the SMG responsible for the unit

&

2) Finance Office

&

3) Chief Operations Officer

Relevant member of the Senior Management Group to which the unit reports

None

Unit Office

15.2

Any agreement for the sale or disposal of assets (not-Property/land) for a consideration of less than €150,000

All Academic Units & Support Units

Director of Finance

Financial Operations Accountant

None

Finance Office

15.2.1

Any agreement for the sale or disposal of assets (not-Property/land) for a consideration of €150,000 or more.

All Academic Units & Support Units

Governing Authority

1) Chief Operations Officer

&

2) Director of Finance

None

President’s Office

16.  Insurance & Legal 

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

16.1

Agreement for insurance policies and cover

Finance Office

Finance Office Insurance Manager

Director of Finance

Deputy Director of Finance or Group Financial Controller

Finance Office

16.2

Agreement regarding settlement of a legal case under an insurance policy

Finance Office

Finance Office Insurance Manager

Financial Operations Accountant

Financial Controller

Finance Office

16.3

Settlement agreements: i.e. any document that settles a legal claim against the University (excluding insurance claim documentation)

Office of the Chief Operations Officer

Finance Office/HR/Office of the COO/VPAA/VPR depending on the nature of the claim

 

Chief Operations Officer

Director of Finance

Office of the Chief Operations Officer

16.4

     Affidavits

(A written statement confirmed by oath or affirmation, for use as evidence in court)

Relevant DCU Department

Finance Office/HR/Office of the COO/VPAA/VPR depending on the nature / context of the affidavit

Chief Operations Office

Director of Finances

Finance Office

16.5

Settlement agreements arising from employment law cases

1) Human Resources Office

&

2) Office of the Chief Operations Officer

Senior Management Group

Deputy Director of Human Resources

Human Resources Manager / Officer

Human Resources Office

16.6

Contracts for the provision of legal services to university

Office of the Chief Operations Officer

1) Governing Authority

&

2) Audit Committee

&

  1. Central Procurement Team

Chief Operations Officer

None

Office of the Chief Operations Officer

&

Copy to the Central Procurement Team

16.7

Sealing of documents: Application of the University seal to contracts and other legal agreements and instruments

Office of the Chief Operations Officer

Chief Operations Officer

Chief Operations Officer

None

Office of the Chief Operations Officer

16.8

Contract to appoint an insurance broker

Finance Office

Central Procurement Team

Director of Finance

None

Central Procurement Team

17.  Student Recruitment Documentation

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

17.1

Documentation setting out fees applicable to certain categories of students:

- Fee status / category assessment decisions

- Decisions made following a simple / initial appeal

External Engagement Office

Not Applicable

Manager in  Office of External Engagement

Executive Director for Engagement

External Engagement Office

17.2

Documentation setting out fees applicable to certain categories of students:

 

- Decisions made following a further appeal

Office of the Vice President for Academic Affairs

Not Applicable

Manager in  Office of the Vice President for Academic Affairs

None

Office of the Vice President for Academic Affairs

17.3

US Federal Loans

- Loan requests / loan agreements

- Loan approval letters

- Student progress reports

- Loan deferrals

- Loan agreements between DCU and US Government Departments

External Engagement Office

Not Applicable

Manager in  Office of External Engagement

None

External Engagement Office

17.4

US Federal Loans

- Eligibility certificate

External Engagement Office

 

Executive Director for Engagement

President

None

External Engagement Office

17.5

US Federal Loans

- Compliance audit documentation / assertion letter

External Engagement Office

DCU External Auditors

President

None

External Engagement Office

17.6

Documentation for International students

- Offer letters

- Payment receipts for visa application

- Visa support letters

- Certificates of enrolment

- Enrolment letters for GNIB

- Enrolment letters for bank

- Enrolment letters for PPS

- Work availability letter

- Third level graduate scheme support letter

- Completion verification documentation

External Engagement Office

Office of External Engagement

 

(All signed documents listed  must use the template for the document approved by the External Engagement Office)

Manager in  Office of External Engagement

None

External Engagement Office

17.7

Agency agreements - where an external agent promotes or acts on behalf of the External Engagement Office

External Engagement Office

Director of External Engagement

&

Central Procurement Team

Director of External Engagement

Head of Student Recruitment

External Engagement Office

17.8

Overseas offices contracts - Lease or purchase of property

External Engagement Office

1) External Engagement Office

&

2) Central Procurement Team

Director of External Engagement

None

External Engagement Office

 

18.  Letter of Intent, Memorandum of Understanding, Memorandum of Agreement

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

18.1

Letter of Intent (LoI)

Level 1 - between an individual acting on behalf of the university and another individual

All Units

Head of School

Head of School

Not Applicable

School Office

18.1.1

Letter of Intent (LoI)

Level 2 – Between a Faculty & Another Faculty

All Academic Units

Executive Dean

Executive Dean

Not Applicable

Faculty Office

18.1.2

Letter of Intent (LoI)

Level 3 - Between the University and another 3rd level Institution where it involves one or more of the following:

a) Financial obligation of €250k or more;

b) More than one University faculty;

c) A significant number of students

All Units

Director of External Engagement

 

Other members of senior management as appropriate.

 

  1. Deputy President

or

  1. Vice President for Research

or

  1. Vice President for Academic Affairs

Not Applicable

Office of External Engagement

18.1.3

Letter of Intent (LoI)

Level 4 - Between the University and a Strategic Partner where it involves one or more of the following:

a) Financial obligation of €250k or more

b) More than one University faculty

c) A significant number of students

All Units

President

Other members of senior management as appropriate.

Nominee of the Governing Authority

Not Applicable

Office of External Engagement

18.2

Memorandum of Understanding (MoU)

Level 1 - between an individual acting on behalf of the university and another individual

All Units

Head of School

Head of School

Not Applicable

School Office

18.2.1

Memorandum of Understanding (MoU)

Level 2 - Between a Faculty and another Faculty

All Academic Units

Executive Dean

Executive Dean

Not Applicable

Faculty Office

18.2.2

Memorandum of Understanding (MoU)

Level 3 - Between the University and another 3rd level Institution where it involves one or more of the following:

a) Financial obligation of €250k or more

b) More than one university faculty

c) A significant number of students*

*Collaborative provision falls under the relevant section above

All Units

Director of External Engagement

 

Other members of senior management as appropriate.

  1. Deputy President

or

  1. Vice President for Research

or

  1. Vice President for Academic Affairs

 

Not Applicable

Office of External Engagement

18.2.3

Memorandum of Understanding (MoU)

Level 4 - Between the University and a Strategic Partner where it involves one or more of the following:

a) Financial obligation of €250k or more

b) More than one university faculty

c) A significant number of students*

*Collaborative provision falls under the relevant section above

All Units

President

 

Other members of senior management as appropriate.

  1. Deputy President

or

  1. Vice President for Research

or

  1. Vice President for Academic Affairs

 

Not Applicable

Office of External Engagement

18.3

Memorandum of Agreement (MoA)

Level 1 - between an individual acting on behalf of the university and another individual

All Units

Head of School

Head of School

Not Applicable

School Office

18.3.1

Memorandum of Agreement (MoA)

Level 2 - Between a Faculty and another Faculty

All Academic Units

Executive Dean

Executive Dean

Not Applicable

Faculty Office

18.3.2

Memorandum of Agreement (MoA)

Level 3 - Between the University and another 3rd level Institution where it involves one or more of the following:

a) Financial obligation of €250k or more

b) More than one university faculty

c) A significant number of students*

*Collaborative provision falls under the relevant section above

All Units

Director of External Engagement

 

Other members of senior management as appropriate.

 

  1. Deputy President

or

  1. Vice President for Research

or

  1. Vice President for Academic Affairs

Not Applicable

Office of External Engagement

18.3.3

Memorandum of Agreement (MoA)

Level 4 - Between the University and a Strategic Partner where it involves one or more of the following:

a) Financial obligation of €250k or more

b) More than one university faculty

c) A significant number of students*

*Collaborative provision falls under the relevant section above

All Units

President

 

Other members of senior management as appropriate.

Nominee of the Governing Authority

Not Applicable

Office of External Engagement

 

19.  Miscellaneous   

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

19.1

Any agreement for the transfer or sharing of personal data with a party external to the university

(Excluding category # 19.1.1)

All Academic & Support Units

Data Protection Unit

Member of the SMG responsible for the DCU unit processing the data.

Head of Unit

Unit involved

&

Copy to Data Protection Unit

19.1.1

Any agreement for the transfer or sharing of personal data where it relates to research collaborations with Industry or publicly funded Research Performing Organisations (RPOs)

All Academic & Support Units

Data Protection

Unit

IP Operations Manager

Senior Research Officer

Unit involved

&

Copy to Data Protection Unit

19.2

Academic related communications to current or past students - Transcript of Training for nursing graduates seeking registration abroad

Faculty of Science & Health

Not Applicable

Programme Chairperson (Co-ordinator)

Pathway leader (General, Mental Health etc.); Allocations Officer

Faculty Office

19.3

Academic-related communications to current or past students - Offer of Exit Award to nursing students who have successfully completed required theory modules but who have not successfully completed practice modules and cannot therefore practice as Nurses

Faculty of Science & Health

Not Applicable

Programme Chairperson (Co-ordinator)

Not Applicable

School & Faculty Offices

19.4

Any document giving rise to a commitment of €750,000 or more on behalf of the University

All Academic & Support Units

Governing Authority

President

Chief Operations Officer

President’s Office

19.5

Agreements for live animal purchases or sales

Biological Resources Unit

Not Applicable

Chief Technical Officer - Bio Resources Unit

None

Biological Resources Unit

19.6

Postgraduate research student related letters on behalf of the University other than those referred to in Section 17, 22 or 25.

Graduate Studies Office

None

GSO Research Administrator

None

Graduate Studies Office

19.7

SSL Certificates (Secure Sockets Layer), miscellaneous software / hardware licence agreements

ISS

Not Applicable

Appropriate Team Manager in ISS

Appropriate Team Leads in ISS

ISS

19.8

Domain name registrations

ISS

DCU Executive

Director of ISS

None

ISS

 

19.9

Online purchase of centrally provided (i.e. ISS) cloud-based services

ISS

Director of ISS

Director of ISS

None

ISS

19.10

Audit engagement letter - for provision of audit services related to University Financial Statements

Finance Office

1) Governing Authority

&

2) Audit Committee

President

Deputy President

Finance Office

19.11

Agency agreements - where an external agent promotes or acts on behalf of the DCU Estates Office

Estates Office

1) Chief Operations Officer

&

2) Central Procurement Team (Depending upon value / scope)

Director of Estates

Chief Operations Officer

Estates Office

&

Central Procurement Team

19.12

Agreement for the acquisition of collections

Library

Deputy President

Director of Library Services 

Sub Librarian - Collections and Systems Services

Library

19.13

Consortial agreement for the acquisition of information resources and complementary products for resale

Library

Director of Library Services

Director of Library Services

1) Head of Collections and Systems Services

2) Acquisition Librarian (books and electronic books).

3) Periodicals and E-resource Librarian (e-resources and periodicals).

Library

19.14

Activation form for an External Framework established by Central Purchasing Body (e.g. Office of Government Procurement - OGP)

Central Procurement Team

Central Procurement Team

Strategic Procurement & Supply Chain Manager

Procurement & Contracts Manager

or

Deputy Director of Finance

Central Procurement Team

19.15

Non-Disclosure Agreements - Placement Students

 

Office of the Vice President for Academic Affairs

Director of Placement

Vice President for Academic Affairs

Director of Placement

Office of the VPAA

19.16

Non-Disclosure Agreements - Research Students

Office of the Vice President for Academic Affairs

Dean of Graduate Studies

Vice President for Academic Affairs

Dean of Graduate Studies

 

Office of the VPAA

               

20.  Purchasing – Departmental (Excluding Construction and Consultancy)  

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

20.1

Contracts (not invoices) for goods, services and equipment purchases up to €5,000

All Academic & Support Units

 

Budget Holder

Budget Holder

None

Unit managing the purchase

20.2

Contracts (not invoices) for goods, services and equipment purchases between €5,001 & €25,000

All Academic & Support Units

Senior Management in the Academic or Support Unit as applicable

Budget Holder

None

Unit managing the purchase

20.3

Contracts (not invoices) for goods, services and equipment purchases between €25,001 & €50,000

All Academic & Support Units

1) Central Procurement Team

&

2) Senior Management in the School or Support Unit as applicable

Senior Manager in academic or support unit as applicable

None

Unit managing the purchase

20.4

Contracts (not invoices) for goods, services and equipment purchases between €50,001 & €75,000

All Academic & Support Units

1) Central Procurement Team

&

2) Senior Management in the School or Support Unit as applicable

Member of the Senior Management Group

None

Unit managing the purchase

20.5

Contracts (not invoices) for goods, services and equipment purchases between than €75,001 & €250,000

 

All Academic & Support Units

1) Central Procurement Team

&

2) Senior Management in the School or Support Unit as applicable

Deputy President

Chief Operations Officer

or

Director of Finance

Unit managing the purchase

20.6

Contracts (not invoices) for goods, services and equipment purchases greater than €250,001

All Academic & Support Units

1) Central Procurement Team

&

2) Senior Management Group

&

3) Governing Authority if value of contract is greater than €750,000

President

Deputy President

or

Chief Operations Officer

Unit managing the purchase

20.7

Building maintenance agreements & associated service level agreements for goods or services provided with an annual value up to €1,000,000

All Academic & Support Units

1) Estates Manager or the Assistant Estates Manager

&

2) Central Procurement Team if value greater than €25,000

&

3) Governing Authority if value is greater than €750,000.

Director of Estates

Estates Manager

or

Assistant Estates Manager

Unit managing the purchase

20.8

Building maintenance agreements & associated service level agreements for goods or services provided with an annual value greater than €1,000,000

All Academic & Support Units

1) Estates Manager or the Assistant Estates Manager

&

  1. Central Procurement Team if value greater than €25,000

&

  1. Governing Authority if value is greater than €750,000.

Chief Operations Officer

Director of Estates

Unit managing the purchase

 

21.  Purchasing - Research        

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

21.1

Contracts (not invoices) for goods, services and equipment purchases up to €5,000

All Academic Units

Principal Investigator

Principal Investigator

Head of School

School Office

21.2

Contracts (not invoices) for goods, services and equipment purchases between €5,001 & €25,000

 

All Academic Units

1) Senior Management in the Academic Unit as applicable

&

2) Fund provider if required under fund agreement

Head of School

None

Unit Office

21.3

Contracts (not invoices) for goods, services and equipment purchases between €25,001 & €50,000

All Academic Units

1) Central Procurement Team

&

2) Senior Management in the Academic Unit as applicable

&

3) Fund provider if required under fund agreement

Head of School

None

Unit Office

21.4

Contracts (not invoices) for goods, services and equipment purchases between €50,001 and €750,000

All Academic Units

1) Central Procurement Team

&

2) Senior Management in the Academic Unit as applicable

&

  1. Fund provider if required under fund agreement

Dean of Faculty

None

Faculty Office

21.5

Contracts (not invoices) for goods, services and equipment purchases for greater than €750,000 where funding has (or will be) provided by an external provider to the extent that DCU will not incur any net cost.

The funding must either have been received in advance of the purchase or reflected in a legally binding agreement with the funder.

All Academic Units

1) Central Procurement Team

&

2) Senior Management in the Academic Unit as applicable

&

3) Fund provider if required under fund agreement

&

4) Governing Authority

Vice President for Research

Dean of the Faculty

Faculty Office

 

22.  Registry Documentation     

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

22.1

Student registration letters to government departments, agencies, employers and banks

Registry

Must use the standard templates drafted and approved by members of the Registry management team

Managers in Registry Office

Director of Registry

Registry

22.2

Appointment letters for University External Examiners

Registry

1) Graduate Studies Board

&

2) University Standards Committee.

Awards Officer in Registry

None

Registry

22.3

IT licensing and service agreements

Registry (& ISS in some instances)

Registry Management Team and ISS in some instances.

Managers in Registry Office

Director of Registry

Registry

22.4

Agreement with Placement Setting Providers for purposes of Student Vetting

Registry

Director of Registry

Director of Registry

Admissions Officer

Registry

22.5

Transcripts of student results

Registry

Results will already have been approved by Progression & Award Boards or Faculty Research Award Boards

Director of Registry

None

Registry

22.6

Parchments

Registry

Results will already have been approved by Progression & Award Boards or Faculty Research Award Boards

President

VP Academic Affairs (Registrar)

Held by recipient

22.7

Admission postgraduate offers by letter

Registry

Programme Chairperson

Senior Enrolment Coordinator

None

Held by recipient

22.8

Admission undergraduate offers by letter

Registry

Deans / Programme Chairperson

Registry Admissions Officer

None

Held by recipient

22.9

Admission direct offers to international students by letter

Registry

&

Student Recruitment Office

1) Programme Chairperson

&

2) Student Recruitment Office

Registry Admissions Officer

Senior /  Deputy Enrolment Officer

Held by recipient

22.10

1st year students - invitation to register by letter

Registry

Not Applicable

Registry Admissions Officer

 

None

Held by recipient

22.11

External examiner expense claims

Registry

Registry Admin Staff

Director of Registry

1) Student Enrolment Officer

or

2) Student Awards Manager

Registry

23.  Research & Intellectual Property Contracts 

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

23.1

Application for research funding

All Academic Units

1) Research Support (& IP Team in Invent if applicable)

&

2) Finance Office

&

3) Budget Holder / Principal Investigator

Director of Research

VP for Research 

or

Director of Commercialisation or

IP Operations Manager

Research Support

23.2

Grant / research contracts

All Academic Units

1) Research Support (& IP Team in Invent if applicable)

&

2) Finance Office

&

3) Budget Holder / Principal Investigator

Director of Research

VP for Research 

or

Director of Commercialisation or

IP Operations Manager

Research Support

23.3

Consortium agreements

All Academic Units

1) DCU Executive

&

2) Research Support (& IP Team in Invent if applicable)

&

3) Finance

&

4) Budget Holder / Principal Investigator

Director of Research

VP for Research

Research Support

23.4

Propriety rights and associated documentation from inventions e.g. assignment agreements, powers of attorney etc.

DCU Invent DAC

DCU Invent DAC

Director of Commercialisation

VP for Research

or

IP Operations Manager

DCU Invent DAC

23.5

Licence / options to license to make use or sell the product of an invention (including sub-licencing)

 

DCU Invent DAC

1) DCU Invent DAC

&

2) Research Support

&

3) Finance Office

&

4) Budget Holder / Principal Investigator

Director of Commercialisation

VP for Research

or

IP Operations Manager

DCU Invent DAC

23.6

Patent ownership - assignment to a third party

 

DCU Invent DAC

DCU Invent DAC

Director of Commercialisation

VP for Research

or

IP Operations Manager

DCU Invent DAC

23.7

Material Transfer Agreements

DCU Invent DAC

DCU Invent DAC

IP Operations Manager

1) VP for Research

or

2) Director of Research

or

3) Director of Commercialisation

DCU Invent DAC

23.8

Confidentiality agreements relating to Intellectual Property

DCU Invent DAC

DCU Invent DAC

Director of Commercialisation

1) VP for Research

or

2) Director of Research

or

3) IP Operations Manager

DCU Invent DAC

23.9

Researcher undertakings regarding confidentiality

DCU Invent DAC

DCU Invent DAC

Director of Commercialisation

1) VP for Research

or

2) Director of Research

or

3) IP Operations Manager

DCU Invent DAC

23.10

Joint Ownership Management agreements

 

DCU Invent DAC

DCU Invent DAC

Director of Commercialisation

 

Director of Research

or

IP Operations Manager

DCU Invent DAC

23.11

Agreements for the creation or dissolution of research centres or research institutes

All Academic Units

President

Director of Research

 

VP for Research

Research Support

23.12

Other technology transfer and industrial interaction related matters

All Academic Units

DCU Invent DAC

Director of Commercialisation

1) VP for Research

or

2) Director of Research

Or

3) IP Operations Manager

DCU Invent DAC

23.13

Transfer of research assets to other parties

Research Support

 

After consultation with Head of School or Centre Director

Director of Research

VP for Research

Research Support

23.14

Transfer of research contracts from / to other institutions and related documentation

Research Support

Research Support (& IP Team in Invent if applicable)

Director of Research

VP for Research

Research Support

23.15

Research contract with an industry partner that does not contain an unlimited liability clause (See Ref 23.16 below)

Research Support

1) Research Support (& IP Team in Invent if applicable)

&

2) Finance Office

&

3) Budget Holder / Principal Investigator

Director of Research

1) VP for Research

or

2) Director of Research

 

Research Support

23.16

Research contract with an industry partner that contains an unlimited liability clause

 

 

 

Research Support

1) Research Support (& IP Team in Invent if applicable)

&

2) Senior Management Group

&

3) Executive

&

  1. Governing Authority Risk Committee

&

  1. Governing Authority

President

VP for Research

Research Support

23.17

IP Declarations to Enterprise Ireland

DCU Invent DAC

IP Operations Manager

IP Operations Manager

Director of Commercialisation

or

VP for Research

Research Support

 

 

24.  Revenue Returns       

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

24.1

Intrastat returns (details of DCU trade, both imports & exports with intra community suppliers & customers) - prepared by Multi Cargo Ltd on DCU's behalf.

Finance Office

Controller Group Financial Operations

Controller Group Financial Operations

None

Finance Office

24.2

PAYE / PRSI / USC - monthly (P30) and annual returns (P35)

Finance Office - Payroll Section

Payroll Manager

Payroll Administrator responsible for ROS processing

N/a

Finance Office - Payroll Section

24.3

Professional Services Withholding Tax - monthly return (F30) and annual return (F35)

Finance Office

Controller Group Financial Operations using ROS login

Finance Office Staff responsible for ROS processing

N/a

Finance Office

24.4

VAT Return - Bi-monthly     (VAT 3)

Finance Office

Controller Group Financial Operations using ROS login

Finance Office Staff responsible for ROS processing

N/a

Finance Office

24.5

VAT Return - annual return of trading details

Finance Office

Controller Group Financial Operations using ROS login

Controller Group Financial Operations using ROS login

N/a

Finance Office

24.6

Annual return of 3rd party information - Form 46G

Finance Office

Controller Group Financial Operations using ROS login

Controller Group Financial Operations using ROS login

N/a

Finance Office

24.7

Returns to Revenue in relation to payments to students under the studentship concession

Graduate Studies Office

Dean of Graduate Studies

Dean of Graduate Studies

None

Graduate Studies Office

25.  Scholarships      

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

25.1

Endorsing Irish Research Council (IRC) postgraduate fellowship applications on behalf of the University

Graduate Studies Office

GSO scholarship administrator

Dean of Graduate Studies

Research Administrator in GSO

Graduate Studies Office (on the IRC System)

 

25.2

Terms and conditions agreements with external funder for directly funded student fellowships (e.g. IRC)

Graduate Studies Office

 

GSO scholarship administrator

Dean of Graduate Studies

Director  Research Support

Graduate Studies Office

25.3

Agreements with external research funder which encompass funding for scholarships

All Academic Units

Research Support

or

Academic Affairs depending on student type and context

Director of Research 

or

Dean of Graduate Studies

or

Dean of Teaching and Learning

VP for Research

or

VP Academic Affairs

Research Support

or

Graduate Studies Office

 

 

25.4

Letters of offers of research student scholarships funded from internal budgets

All Academic Units

&

Graduate Studies Office

Depends on scholarships scheme. All offers should be subject to meeting academic entry or progress criteria.

Budget holder:

PI or Head of School for School / Group funded scholarships;

Chair / Secretary of Faculty Research Committee for Faculty specific scheme;

Dean of Graduate Studies for university level schemes

None

Unit of signatory

25.5

Terms and conditions agreements for research student scholarships funded from internal budgets

All Academic Units

&

Graduate Studies Office

Faculty research administrator

or

GSO scholarship administrator

Budget holder:

PI or Head of School for School/ Group funded scholarships;

Chair / Secretary of Faculty Research Committee for Faculty specific scheme;

Dean of Graduate Studies for university level schemes

None

Unit of signatory

25.6

Approval for postgraduate research travel grant payments (internal scheme)

Graduate Studies Office

GSO travel grant scheme administrator

Research Administrator in GSO

None

Graduate Studies Office

25.7

Approval for stipend payments to research students

All Academic Units & Graduate Studies

Faculty Office and GSO stipend administrator

Budget holder

Research Administrator in GSO

Graduate Studies Office

25.8

Student progress reports shared by DCU with external government (non-Irish) funding agencies

Student Recruitment Office

Not applicable, but

subject to student permission having been given in accepting funding.

Head of Student Recruitment Office

Manager in Student Recruitment Office

Student Recruitment Office

25.9

Student progress reports shared with other external funding or partner agencies

All Academic Units

Not applicable, but

subject to student permission having been given in accepting funding of engaging with the scheme.

Research Supervisor or Head of School or Programme Chair

Dean of Graduate Studies

or

Dean of Teaching and Learning

Unit of signatory

 

26.  Subsidiary / Joint Ventures

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

26.1

Acquisition or creation of a wholly owned subsidiary company

Office of the Chief Operations Officer

Governing Authority

Chief Operations Officer

Director of Finance

Office of the Chief Operations Officer

26.2

Sealing of documents on behalf of a subsidiary company

Office of the Chief Operations Officer

Chief Operations Officer

Chief Operations Officer

Designated Deputy Chief operations Officer

Office of the Chief Operations Officer

26.3

100% wholly owned subsidiary documents to be signed on behalf of the shareholder (DCU)

Office of the Chief Operations Officer

Chief Operations Officer

Chief Operations Officer

Director of Finance

Office of the Chief Operations Officer

26.4

Contracts signed on behalf of a subsidiary company

Office of the Chief Operations Officer

1) Company Board

&

2) Chief Operations Officer

Chief Operations Officer

Director of Finance

Office of the Chief Operations Officer

26.5

Disposal of a subsidiary or joint venture company

Office of the Chief Operations Officer

1) Company Board

2) Chief Operations Officer

&

3) Governing Authority

Chief Operations Officer

None

Office of the Chief Operations Officer

 

27.  Supply of Utilities – Contracts or Agreements      

Ref

Description of Document

Unit(s) Responsible

Review Steps

Document to be reviewed & recommended for approval, prior to signing, by

Primary signatory

Delegated or alternative signatory

Location where final signed document is to be held

27.1

All utility contracts

Estates Office

Central Procurement Team if the value is greater than €25,000

Director of Estates

Chief Operations Officer

Estates Office

&

Copy to the Central Procurement Team

27.2

Review of existing contracts

Estates Office

Central Procurement Team if the value is greater than €25,000

Director of Estates

Chief Operations Officer

Estates Office

&

Copy to the Central Procurement Team

 

Private
Off