60.20 - Contracts and Agreements Approval Matrix

Last updated August 24, 2005

A. General. As UI enters and engages in multiple contracts and agreements during a fiscal year, the requirement for continuing proper and adequate authorization becomes paramount. Given the extreme variety of contractual and agreement types, the number and type of administrative reviews and approvals become somewhat complex. The following group of approval matrixes identify minimum review and approval processes, but in no way relieve departments or colleges from ensuring that any unusual or unique agreements are properly reviewed and authorized by appropriate levels of administration. The following transaction types are identified by subject:

Section A-1: Construction Projects

Section A-2: Real Estate Transactions

Section A-3: Tangible Property Purchases

Section A-4: Professional Services Contracts/Agreements

Section A-5: Disposal of Personal Property/Sale of Services/Transfers

Section A-6: Research Grants/Contracts

Section A-7: Student Fees and/or Tuition

Section A-8: Miscellaneous Contracts and/or Agreements

A-1. Construction Projects. The following matrix serves as a guide for determining the types of authorization required for various funding levels of UI Capital Construction Projects on or off-campus locations.

Construction Projects by Funding Levels

Initial Review and Approval

Admin Review and Approval

VP Approval

Regents Approval

$1 to $10,000

Supervisor or Foreman

FMO Manager

No

No

$10,001 to $250,000

Program Manager

FMO Director

No

No

$250,001 to $500,000

AES Director

VP Fin & Admin

Yes

Yes, Exec Director

$500,001 plus

AES Director

VP Fin & Admin

Yes

Yes


FMO = Facilities Maintenance & Operations AES = Architectural Engineering Services

A-1. Construction Projects (cont). The following matrix serves as a guide for Agency Option Contracts (AOC), basically light construction operations.

Construction Projects by Funding Levels

Initial Review and Approval

Admin Review and Approval

VP Approval

Regents Approval

AOC: $1 to $100,000

Program Manager

FMO Director

No

No


A-2. Real Estate (purchase, sale, lease easements, exchange, transfer, etc.). The following matrix serves as a guide for determining the types of authorization required for various contracts or agreements for Real Estate transactions on or off-campus locations.

Real Property Transactions

Initial Review and Approval

Admin Review and Approval

VP Approval

Regents Approval

Temporary Permits

Real Estate Officer

Legal Counsel (LC) Cap Plan/Budget Dir

Yes

No

Leases of Institutional Property

Real Estate Officer

Legal Counsel Cap Plan/Budget Dir

Yes

Yes

Easements

FMO Director/ Real Estate Officer

Legal Counsel Cap Plan/Budget Dir

Yes

Yes

Transfers

Real Estate Officer

Legal Counsel Cap Plan/Budget Dir

Yes

Yes

Acquisitions (options, leases, etc. -other than temporary permits

FMO Director/ Real Estate Officer

Legal Counsel Cap Plan/Budget Dir

Yes

Yes

Leases of Office Space

FMO Director/ Real Estate Officer

Legal Counsel Cap Plan/Budget Dir

Yes

Yes

Exchanges

Real Estate Officer

Legal Counsel Cap Plan/Budget Dir

Yes

Yes

Land Use for Test Plots at No Cost for Research

Director IAES Real Estate Officer

Director, B&A

No

No


A-3. Tangible Property Transactions. The following matrix serves as a guide for determining the types of authorization required for various Purchases of UI Tangible Property on or off-campus.

Tangible Property Purchases

Initial Review and Approval

Admin Review and Approval

VP Approval

Regents Approval

Equipment Items: $1 to $5,000

Dept Chair/Dean/ and/or Director

Dean and/or Director

No

No

Equipment Items: $5,001 to $50,000 (need RFQ)

Dept Chair

Dean and/or /Director Purchasing Manager

No

No

Equipment Items: $50,001 to $250,000 (need RFB)

Dept Chair

Dean and/or Director Purchasing Manager

Yes

No

Equipment Items: $250,000 to $500,000 (need RFB)

Dept Chair

Dean and/or Director Purchasing Manager

Yes

Yes, Exec Director

Equipment Items: $500,000 +

Dept Chair

Dean and/or Director Purchasing Manager

Yes

Yes

Data Processing Equipment $250,000 to $500,000

Dept Chair

Dean and/or Director Purchasing Manager

Yes

Yes, Exec Director

Data Processing Equipment $500,000 +

Dept Chair

Dean and/or Director Purchasing Manager

Yes

Yes

Administrative Systems Software

Dept Chair

Dean and/or Director Purchasing Manager

Yes

Yes, Exec Director


RFQ = Request for Quotation [See 60.10] RFB = Request for Bids [See 60.11] Note: All equipment that requires utilities, i.e., electrical, water, air, gas, campus backbone, etc., should have FMO Director review and approval.

A-4. Professional Services. The following matrix serves as a guide for determining the types of authorization required for various contracts or agreements for Professional Services on or off-campus locations.

Professional Services

Initial Review and Approval

Admin Review and Approval

VP Approval

Regents Approval

Continuing or retainer capital projects expertise.

Project Manager

AES Director

Yes

Reported

Consulting Agreements * To $250,000

Dean/Director

Asst VP, BAAS

Yes

No

Consulting Agreements * $250,000 to $500,000

Dean/Director

Asst VP, BAAS

Yes

Yes, Exec Director

Consulting Agreements * $500,000+

Dean/Director

Asst VP, BAAS

Yes

Yes,

Research Assignments

Dean

VP Research

Yes & Provost

Reported

Teaching Assignments

Dean

VP Research

Yes & Provost

Reported

Maintenance Agreements

FMO Director

Purchasing Mgr, LC

No

No

Utilities (Gas/Electric)

FMO Manager

FMO Director, LC

Yes

No

Airplane Charters

Dean/Director

Purchasing Mgr Admin Affairs Dir

No

No

Police and Fire Agreements

Risk Manager

Asst VP, BAAS, LC

Yes

Reported

Banking Institutions

Asst VP, BAAS

Asst VP, BAAS, LC

Yes

Yes

Banking Agreements

Asst VP, BAAS

Asst VP, BAAS, LC

Yes

No

External Auditors

VP Fin & Admin

Asst VP, BAAS, LC

Yes

Yes

Misc Service Contracts

Asst VP, BAAS

Legal Counsel

Yes

No


* Non-facility related LC = Legal Counsel BAAS = Business and Accounting Services


A-5. Disposal of Personal Property/Sale of Services/Interagency Transfers. The following matrix serves as a guide for determining the types of authorization required for Disposal of Personal Property, Sale of Services and/or Interagency Transfers.

Sales and/or Transfers

Initial Review and Approval

Admin Review and Approval

VP Approval

Regents Approval

Disposal of UI Chattel Property (over $15,000)

Dept Chair/Dean and/or Director

Director, Auxiliaries

Yes

Yes

Sale of UI Services (over $15,000 proceeds)

Dept Chair/Dean and/or Director

Various Purchasing Mgr

Yes

Yes

Interagency Transfers (State Board Institutions) (over $15,000)

Dept Chair/Dean and/or Director

Director, Auxiliaries

Yes

Yes


A-6. Research Grants and Contracts. The following matrix serves as a guide for determining the types of authorization required for UI Research Grants and Contracts.

Research Grants & Contracts

Initial Review and Approval

Admin Review and Approval *

VP Approval

Regents Approval

Proposals from UI Depts/Colleges

University Research Office (URO)

Delegated to URO/ Asst VP, BAAS

No

No

Acceptance

Grants & Contracts Office

Asst VP, BAAS

No

Reported

Subgrants or Contracts

Grants & Contracts Office

Asst VP, BAAS

No

Reported

Waiver of Indirect Cost --Any Amount

Grants & Contracts Office

VP Research

No

Reported

Future Institutional Funding or Facilities Obligations (Impact)

Grants & Contracts Office

Asst VP, BAAS

Yes

Yes, Exec Director


* Approval of Risk Manager required for non-student insurance/indemnification premiums


A-7. Student Fees and/or Tuition. The following matrix serves as a guide for determining the types of authorization required for various Student Fees and/or Tuition.

Student Fees and/or Tuition

Initial Review and Approval

Admin Review and Approval

VP Approval

Regents Approval

 

 

 

 

 

Student Health Insurance

Risk Manager

Purchasing Mgr

Yes

UI President Reported

Student Board and Room Rates

Director Housing

Director, Auxiliaries

Yes

UI President Reported

Activity and Facility Fees

Director/Manager

Director, Auxiliaries

Yes

UI President Reported

Special Course Fees or Student Assessments

Dept Chair and/or Director

Provost

Yes

UI President Reported

Student Tuition

Dean/Director

Provost

Yes

Yes

Student Matriculation Fees

Dean/Director

Provost

Yes

Yes

Part-time Education Fees

Dean/Director

Provost

Yes

Yes

Graduate Fee

Dean/Director

Provost

Yes

Yes

Summer School Fee

Dean/Director

Provost

Yes

Yes

Professional Fees

Dean/Director

Provost

Yes

Yes

Course Overload Fees

Dean/Director

Provost

Yes

Yes

Vocational Education Fees

Dean/Director

Provost

Yes

Yes


A-8. Miscellaneous Contracts and/or Agreements. The following matrix serves as a guide for determining the types of authorization required for various funding levels of Miscellaneous Contracts and/or Agreements on or off-campus locations.

Miscellaneous Grants and/or Contracts

Initial Review and Approval

Admin Review and Approval

VP Approval

Regents Approval

 

 

 

 

 

Entertainment *

Events Director

Risk Manager Asst VP, BAAS

No

No

License Agreements *

Misc

Risk Manager Asst VP, BAAS

No

No

Insurance: Small Group Accident; Employee Medical, etc.

Risk Manager

Legal Counsel

Yes

Yes

Facilities Use *

Events Director

Director, Auxiliaries Dean and/or Director

Yes & Provost

No

Cooperative Educ Agreements -Domestic & International *

Dept Head

Dean and/or Director

Yes

Yes

Affiliation and/or Articulation Agreements; Memoranda of Under-standing [See 60.21] *

Dept Head

Dean and/or Director

Yes & Provost

No ---- unless fiscal obligation

Interagency Agreements with Idaho Agencies (I.C. 67-2332)

Dean/Director Risk Manager

Legal Counsel

Yes

Yes


* Risk Manager reviews and approves all insurance/indemnification agreements

B. Contract/Agreement Review & Approval Log. Any contracts entered into based on the above approval matrix requiring the signature of the Vice President for Finance and Administration or his/her designee, also require authorization via the Contract/Agreement Review & Approval Log. [See 60.22] This particular document is required of the administrator initiating the agreement and/or contract.