60.20 - Contracts and Agreements Approval Matrix
Owner:
- Position: Purchasing Services Director
- Email: purchasing@uidaho.edu
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 Transactions | 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.