Delegation of Authority Procedure

Effective Date:

October 16, 2018

Function:

The Office of Compliance Services

Contact:

Chief Compliance Officer

518.434.7145

RFCompliance@rfsuny.org

Basis for Procedure

This procedure implements The Research Foundation for The State University of New York’s ("Research Foundation" or "RF") Delegation of Authority Policy.

Procedure Summary

This procedure outlines the process to ensure delegations are properly executed, documented and maintained, pursuant to the RF’s Delegation of Authority Policy.

The three required elements of effective delegation of authority at the RF are:

Delegating Authority

Updating Delegations

Record Keeping

Procedure

I. Delegating Authority

Submit a delegation of authority form, consistent with the method for your location detailed below:

Delegations of authority at Central Office:

Submit a completed Central Office Transaction Authority form to the Office of Compliance Services (OCS) for each Designee.

If there is a need to delegate authority not addressed in the Central Office Transaction Authority form, specific delegations via delegation of authority memorandum is suggested.

For guidance and assistance with this, contact the RF OCS via RFCompliance@rfsuny.org or 518.434.7145.

Delegations of authority at campus operating locations:

Operations Managers (OMs) must submit a completed Campus Delegation of Authority form through the RF Compliance Management System to designate Key Employees and individuals with specific authority. For example, any Sponsored Program Office Director(s) or equivalent at the campus operating location.

Any Deputy Operations Manager appointments will also require a formal appointment using the Deputy OM Letter Template.

OM or Designee must complete and maintain detailed delegations to be made available upon request. This will capture all Designees with authority including specific delegated job functions at the campus operating location.

Campuses may use the following template Detailed Delegation (Template) or a similar form of the campus’ design.

OM or Designee must complete an RF Campus Authorized Signatures Form.

Send to the Office of Compliance Services via RFCompliance@rfsuny.org.

OM or Designee notify all designees of their granted authority in writing, including, but not limited to:

the date authority will be effective;

list of authorities delegated;

any limits to authority; and

the following statement:

"No person may authorize a payment to oneself or benefitting oneself, including but not limited to: personnel transactions, reimbursements, and travel expenditures. Any transaction that benefits, or could be perceived as benefiting, an individual with approval authority requires approval by another Qualified Designee of equal authority or greater.”

II. Updating Delegations

All delegations of authority must be reviewed at the beginning of each fiscal year, consistent with the annual delegation of authority process administered by the OCS.

Changes to existing delegations of authority must be submitted consistent with the steps outlined in section I above.

III. Record Keeping

The RF Office of Compliance Services is the office of record for Campus Delegations of Authority submitted through the RF Compliance Management System, all Central Office delegations of authority and any delegations of authority that are submitted to the attention of the OCS.

The Operations Manager or Designee must maintain record of completed detailed delegations for their operating location.

Definitions

Term 1- Definition [Provide terms and definitions that help the reader understand be specific items in the procedure or those that may have multiple meanings but one for the purpose of this procedure. These should be capitalized in the above sections. Enter "None" if there aren’t any for the procedure.]

Related Information

Delegation of Authority Policy

RF Compliance Management System

Forms

Central Office Transaction Authority Form

Deputy OM Letter Template

Detailed Delegation (Template)

RF Campus Authorized Signatures Form

Change History

Date

Summary of Change

TBD

Revised for clarity and broke down procedure into the three required elements of an effective delegation of authority: Delegating Authority, Updating Delegations, and Record Keeping.

Added instructions for Central Office.

Added the link to the Central Office Transaction Authority form.

Updated definitions that were updated in the Delegation of Authority Policy.

11/15/2013

Updated for new process

6/15/2013

New document created from CO procedure

 

 

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