Notice: System upgrade outage scheduled for Saturday, September 5th, 9:00am to Noon
Lawrence Berkeley National Laboratory masthead LBNL Home A-Z Index U.S. Department of Energy logo Phone Book Jobs Search

RPM

REQUIREMENTS AND POLICIES MANUAL

Search the RPM
 
Home

Signature Authority for Financial Transactions

    Title:

    Signature Authority for Financial Transactions

    Publication date:

    12/17/2014

    Effective date:

    10/26/2011

    BRIEF

    Policy Summary

    This policy and procedure defines (a) the process by which financial signature authority is delegated at Berkeley Lab, and (b) the roles and responsibilities of Laboratory and/or University of California (UC) employees who have been designated as authorized signers for approving financial transactions.

    Who Should Read This Policy

    • Persons who initiate or manage financial transactions and/or expenditures on behalf of Berkeley Lab
    • Persons who have been delegated signature authority to approve expenditures for Berkeley Lab

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    General Accounting Manager

    Title:

    Signature Authority for Financial Transactions

    Publication date:

    12/17/2014

    Effective date:

    10/26/2011

    POLICY

    A. Purpose of This Policy

    This policy and procedure defines (a) the process by which financial signature authority is delegated at the Lawrence Berkeley National Laboratory (Berkeley Lab), and (b) the roles and responsibilities of Berkeley Lab and/or UC employees who have been designated as authorized signers for approving financial transactions.

    B. Persons Affected

    This policy applies to persons who initiate or manage financial transactions and/or expenditures on behalf of Berkeley Lab, and to persons who have been delegated signature authority to approve expenditures for Berkeley Lab.

    C. Exceptions

    None

    D. Policy Statement

    1. The Laboratory Director (or designee) is responsible for approving (or delegating the authority to approve) all financial transactions at Berkeley Lab, per authorization of the President of the University of California, Standing Order of the Regents 100.4, UC Delegation of Authority (DA) 2100.
    2. Delegation:
      1. The following are authorized to delegate (assign) signature authority to approve expenditures for Laboratory and/or UC employees:
        • Laboratory Director
        • Deputy Director
        • Associate Laboratory Director
        • Chief Financial Officer
        • Division Directors
        • Department Heads
        • Business Manager
        • Other (with prior approval on file from one of the above)
    3. Changes to Delegation List
      1. On an annual basis, the Office of the Chief Financial Officer (OCFO) will formally request that each division review its list of individuals with signature authority and submit an updated list to the Controller's Office. A list of individuals with signature authority can be retrieved from the Signature Authorization System (SAS).
      2. Department or division managers are responsible for submitting a Delegation of Signature Authority form to the Controller's Office:
        1. When an employee having signature authority transfers to another department or division (the employee's new department or division submits the form)
        2. When the signature authority limit of an employee with signature authority has changed, or
        3. When an employee is delegated signature authority, or
        4. When signature authority of an employee is cancelled
    4. Responsibilities of Delegated Individuals
      1. Individuals delegated to approve financial transactions or expenditures are responsible for assuring the following:
        • There is an understanding of what is being approved.
        • The information and supporting documentation is accurate and complete.
        • The transaction is allowable, reasonable, and justified.
        • The transaction is charged to the correct project(s).
        • There are adequate funds to cover the expense.
        • The funding source is appropriate for the expenditure.
      2. Individuals with signature authority must comply with all applicable Department of Energy (DOE), UC, and Laboratory policies, laws, regulations, and special restrictions on the use of funds. Unauthorized transactions will be subject to management review. Failure to comply may result in financial and/or criminal liabilities for the individual or UC.
      3. Individuals must complete online Laboratory Signature Responsibility Training prior to obtaining signature authority.
    5. Evidence of Signature Authority: Financial transactions may only be approved by Laboratory and/or UC employees with signature authority:
      1. By personally signing the required document, or
      2. By personally endorsing their approval online (if appropriate)
    6. Signature Authority Limits
      1. Individuals with signature authority may only approve financial transactions within their authorized dollar limit.
      2. Signature authority and corresponding approval limits are to be granted by the individual's division and must have formal approval by the appropriate division management via the Delegation of Signature Authority form.

    E. Roles and Responsibilities

    See Section D.4, Policy Statement.

    F. Definitions/Acronyms

    Term

    Definition

    Employee

    For the purposes of this policy, any Laboratory employee who receives a paycheck from the Laboratory and any UC employee who has been granted signature authority at the Laboratory

    Signature Authorization System (SAS)

    A database located on the BLIS Reporting System (BRS) Web site that lists the dollar limits for each individual with signature authority

    G. Recordkeeping Requirements

    Copies of completed Delegation of Signature Authority forms are to be kept on file by the responsible division delegating the signature authority.

    H. Implementing Documents

    Document number

    Title

    Type

    11.07.005.001

    Delegation of Signature Authority form

    Form

    11.07.005.002

    Signature Authority Guidelines

    Guidelines/manual

    11.07.005.003

    Laboratory Signature Responsibility Training

    Online training

    I. Contact Information

    General Accounting Manager

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    12/17/2014

    1.2

    Jeppson

    Updated Signature Authority; updated "Contact Information" on the Brief page to link to sashelp@lbl.gov.

    Brief contact info and Sections D.3.b, D.6.b, G and H.

    Editorial

    12/25/2013

    1.1

    Beedle

    Editorial fixes

    Various and D.3.a and F

    Minor

    1/2/2011

    1

    Hegarty

    Conversion to wiki format

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Signature Authority for Financial Transactions

    Document number

    11.07.005.000

    Revision number

    1.2

    Publication date:

    12/17/2014

    Effective date:

    10/26/2011

    Next review date:

    10/31/2015

    Policy Area:

    Financial General Policies and Information

    RPM Section (home)

    Financial Management

    RPM Section (cross-reference)

    Section 11.43

    Functional Division

    OCFO

    Prior reference information (optional)

    RPM Section 11.43

    Source Requirements Documents

    Implementing Documents

    Document number

    Title

    Type

    11.07.005.001

    Delegation of Signature Authority form

    Form

    11.07.005.002

    Signature Authority Guidelines

    Guidelines/manual

    11.07.005.003

    Laboratory Signature Responsibility Training

    Online training

    Adaptavist ThemeBuilder EngineAtlassian Confluence