Printed on: 01/23/2020. Please go to http://policy.umn.edu for the most current version of the Policy or related document.

Administrative Policy

President's Delegations of Authority

Responsible University Officer(s):

University President

Policy Owner(s):

Senior Assistant to the President
Chief Compliance Officer

Policy contact(s):

Michele Gross

Date Revised:

Sep 4, 2019

Effective Date:

May 13, 2011

Policy Statement

The Board of Regents delegates certain authorities to the president to act as chief executive officer of the University of Minnesota, within the constraints of Board policy.

President’s Delegations of Authority

The president may delegate or retain any executive management and administrative authority that has been given to the president by the Board of Regents and not otherwise restricted by specific Board policies or directives. The president’s delegations authorize senior leaders who report directly to the president to act on behalf of the University and to bind the University to a legally enforceable obligation. The president may condition, limit, or revoke any delegated signature authorities at any time. Authorities retained by the president may not be exercised by any other person, unless expressly authorized by administrative policy or presidential directive.

Sub-Delegations of the President’s Authority

Senior leaders who report directly to the president and to whom the president has delegated signature authorities may, but need not, sub-delegate signature authorities to positions who report to them and so on throughout the organization. These leaders are ultimately responsible and accountable for the proper sub-delegation of the president’s authorities throughout their units, in accordance with this policy.

Delegations of Authority Provisions

Delegators may grant signature authorities only to a position within the delegator’s area of managerial control, and the authorities must be granted and exercised consistently with the terms and conditions of the original delegation and with all applicable laws and University policies, including specifically Board of Regents Policies: Reservations and Delegations of Authority, Legal Review of Contracts and Transactions, and Internal Controls.
Delegatees must be currently employed in a position with some responsibility for the activity being conducted. When the incumbent leaves that position, the signature authority remains with the position and is automatically transferred to the successor, unless the delegator removes or limits one or more authorities associated with the position.
Delegators must communicate their delegations of authority (new or revised) to their Delegation of Authority Specialist for their college/campus, in writing and in a format that is accessible to them. The Delegation of Authority specialist will retain this documentation and this documentation must be made available upon request by the Office of Institutional Compliance or Office of Internal Audit. Delegators or representative must also notify the delegatee and review those delegations at least annually to ensure they are up-to-date and appropriate.
In the event that the incumbent in a position to which signature authority has been delegated has an individual or institutional conflict of interest related to that authority as defined by University policy, that person must inform the delegator of the conflict and must not exercise the authority until the conflict has been eliminated or managed by the University.
Delegatees:
- have full discretion to reserve to their position any authority delegated to them;
- may sub-delegate the authority to another position reporting to them if it is not expressly disallowed or limited in any way;
- may not delegate greater responsibility and decision-making authority than their position has been delegated; and
- remain responsible and accountable at all times for the exercise of any authority they choose to delegate.

Scope of Authority

Delegatees must act only within the scope of that delegation, including limiting their actions to the campus, college, or department referenced in the delegation. Delegatees who act outside the scope of their authority and do not have documented authority to do so may be subject to disciplinary action, up to and including termination.

Individuals with delegations of authorities that require additional approvals (e.g., legal or financial) must ensure that these additional approvals are obtained. (See Board of Regents Policies: Reservation and Delegation of Authority, Legal Review of Contracts and Transactions, and Internal Controls.)

Ambiguities involving Delegations of Authority

In the event that there is an ambiguity or an inconsistency involving delegation assignments, the president or the president's delegate will determine who has the ultimate authority.

Reason for Policy

To implement Board of Regents Policies: Reservation and Delegation of Authority, Legal Review of Contracts and Transactions, and Internal Controls. These Board of Regents policies require an administrative framework that protects the University’s interests in the execution of contracts, management of risk, and compliance with the law and University policies. The reason for this administrative policy is also to minimize the risk of unintentional misuse of authority that could potentially bind the University to a contract and to safeguard the University from intentional/misuse of authority.

Procedures

Forms/Instructions

Appendices

Frequently Asked Questions

Contacts

Subject	Contact	Phone	Email
Primary Contact(s)	Michele Gross	612-624-8081	m-gros@umn.edu
Request for changes	Lorelei Smith	612-624-8852	deleg@umn.edu
Questions on the meanings of authorities	Office of the General Counsel	612-624-4100

Definitions

Delegatee: Any employee in a position to whom authority to act on behalf of the University has been delegated.
Delegator: Any employee in a position with authority to take action on behalf of the University or any employee in a position that has assigned authority to another University employee (delegatee).
Senior Leaders: Employees who report directly to the president and who hold the title of executive vice president, senior vice president, vice president, chancellor, chief auditor, general counsel, chief compliance officer, president and chief executive officer of the University of Minnesota Foundation, president and chief executive officer of the University of Minnesota Alumni Association, special assistant to the president for government relations, director of intercollegiate athletics (Twin Cities campus), and the senior assistant to the president..
President’s Delegations of Authority.: Authority that is originally delegated to the president by the Board of Regents, enables senior leaders of the University to act on behalf of the University, and binds the University within the scope of authority to a legally enforceable obligation.
Signature Authority: The authority to bind the University by executing an agreement or contract or taking a personnel action. This authority may only be exercised after obtaining any required approval, funding approval, and legal approval. Signature Authority is invalid without the other required approval(s).

Responsibilities

Delegatee: A delegatee is responsible for executing the delegated or sub-delegated authority associated with their position, as needed, within the limitations of their duties and this policy.
Delegator: A delegator is responsible for communicating delegations and sub-delegations of authorities to delegatees (electronically or in writing); reviewing their delegations annually to ensure they are up-to-date, achieving ongoing consistency and alignment between management authority, responsibility, and accountability, and making adjustments as appropriate; and for providing delegatees with sufficient training to enable them to carry out their responsibilities and respective authorities effectively.
Delegations of Authority Specialists: Employees designated by a dean or administrative officer who are responsible for supporting units in complying with this policy and updating the Delegations of Authority system with their unit delegations. Review exception reports and make corrections in the system as needed.
General Counsel: The Office of the General Counsel is responsible for verifying delegations of authority before approving signed contracts. The General Counsel is also responsible for informing the Board of Regents of any existing Board policy or directive that is inconsistent with or alters the delegations of authority as provided for in Board of Regents Policy: Reservations and Delegations of Authority, and for advising the Regents, the president, and other University officials on the proper administration of delegations and sub-delegations of authority for the institution.
Office of Institutional Compliance: The Institutional Compliance Office is responsible for educating and supporting senior leaders and delegation specialists to promote unit compliance with this policy, for working with the president, chief auditor, and others to monitor overall institutional compliance with this policy, for maintaining the central Delegations Library, and update delegations to the senior leaders..
Office of Internal Audit: The Office of Internal Audit reviews unit documentation of delegations and sub-delegations of authority., including advising the president and institutional compliance officer on issues of concern regarding policy compliance.
President: The president is responsible for ensuring alignment of this policy with Board of Regents Policy: Reservations and Delegations of Authority; for reviewing and updating the president’s delegations of authority assignment annually; for aligning the senior leader appointment letters, job descriptions, presidential delegations of authority, and president’s Board of Regents policy assignments with their delegated authorities; and for providing direction to the chief compliance officer on the proper communication and education of this policy as appropriate to the University community.

Related Information

Board of Regents Policy: Reservation and Delegation of Authority
Board of Regents Policy: Internal Control
Board of Regents Policy: Accessioning and Deaccessioning Museum Collections
Board of Regents Policy: Attorneys and Related Services
Board of Regents Policy: Legal Claims and Settlements
Delegations of Authority Website

History

Ameneded:

September 2019 - Comprehensive Review:

Policies and procedures revised to change the delegations from an individual level to the position level.
Minor policy changes to reflect title changes.
Clarified that delegations must be made in writing and in a format accessible to each unit’s DOA specialist.

Amended:

October 2018 - Delegations assigned by position rather than person. Other minor changes for clarification.