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Signature Authority for Financial Transactions

Title:

Signature Authority for Financial Transactions

Publication date:

11/25/2013

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:

11/25/2013

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

12/25/2013

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

1.1

Publication date:

11/25/2013

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


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