AW-05 — Delegation of Authority and Approval Routing

1. Purpose and scope

Purpose. To ensure that every approval given in IoL's name is given by someone who holds the authority to give it, at the value and for the category concerned, that no one approves their own transaction, that authority does not lapse when a post-holder is absent, and that the approval routing built into MBRU's systems matches the written register rather than the other way round. An approval outside delegation is not an approval, however senior the person who gave it.

Scope statement. This procedure manages the IoL delegations register from the receipt of MBRU's delegation to the head of IoL, through sub-delegation, acting arrangements and system configuration, to the annual attestation that the register and the systems agree.

Applies to. Approvals for purchasing, payments and claims, contracts and MoUs, staff appointments and changes, leave, external communications, and learner-facing decisions where IoL holds delegated authority (fee waivers, holds, adjustments, letters). Committee authority stated in terms of reference under AW-01 is cross-referenced here.

Does not apply to. The institutional matrix itself; academic decisions vested in academic bodies by MBRU's academic regulations (WF-01, WF-09, WF-10, WF-11); authority MBRU has not delegated to IoL, which is routed to MBRU and never assumed.

2. Trigger, boundary and interfaces

3. Roles and accountability

Process owner. IoL Operations Manager or equivalent [IoL to confirm], with authority to suspend any system routing that does not match the register.

[CONTROL] Segregation. The person who maintains the register does not hold a delegation above the lowest band in it, or where unavoidable the Senior Director, IoL, approves every change to that person's own entry. The system administrator configures routing but holds no approval authority. A delegate never approves a transaction they requested, benefit from, or are the subject of.

4. Procedure

1. Receive the institutional delegation. The Senior Director, IoL, obtains the current MBRU delegation to the head of IoL in writing and the process owner files it as an external document of origin under AW-03. [CONTROL] IoL sub-delegates only what MBRU has delegated; the register cites the institutional clause for every entry.

2. Build the register. For each approval category the register states the role (not the person) holding authority, the value band, the conditions, whether sub-delegation is permitted, and the system in which the approval is given. Categories and placeholder bands [IoL to confirm all values]:

   Category	Band 1 up to ______	Band 2 up to ______	Band 3 up to ______	Above Band 3
   Purchase requisitions (AW-10)	Budget holder	Operations Manager	Senior Director, IoL	MBRU
   Payments, claims, external faculty fees (AW-11)	Budget holder	Operations Manager	Senior Director, IoL	MBRU Finance
   Contracts and MoUs (AW-23)	Not delegated	Not delegated	Senior Director, IoL, after legal review	MBRU signatory
   Virement (AW-02)	Not delegated	Senior Director, IoL	Senior Director, IoL	MBRU Finance
   Staff requisitions and appointments (AW-07, AW-08)	Line manager to recommend	Senior Director, IoL	Senior Director, IoL	MBRU HR
   Leave (AW-07)	Line manager	Line manager	Senior Director, IoL for own reports	MBRU HR policy
   External communications (AW-22)	Communications lead for routine	Senior Director, IoL for positions and media	Senior Director, IoL	MBRU communications
   Learner-facing decisions (AW-18, AW-19)	Learner services lead within policy	Programme lead	Senior Director, IoL	MBRU registrar or committee

3. Approve sub-delegations. Each sub-delegation is approved in writing by the Senior Director, IoL, names the role, the limit and any conditions, and is entered in the register with the date. A delegate may not sub-delegate further unless the register expressly permits it. [CONTROL] No sub-delegation exceeds the authority of the person granting it.

4. Confirm delegates on appointment. When a post-holder changes (AW-07), the process owner issues the new incumbent a statement of the authority attached to the role and obtains a signed acknowledgement before any approval is given. The outgoing incumbent's routing is removed the same day.

5. Arrange acting authority. For a planned absence longer than ______ working days [IoL to confirm] the post-holder's line manager nominates an acting delegate at the same or higher grade; the Senior Director, IoL, approves; the arrangement has a start and end date and is entered in the register and the system. For unplanned absence the line manager assumes the authority until an acting delegate is approved. [CONTROL] Acting authority is never assumed by the absentee's subordinate without written approval, and it expires on the stated date.

6. Apply the register at every approval. Each interfacing procedure checks that the approver holds the category and band before treating the approval as valid. [CONTROL] Self-approval is prohibited: a requester, claimant, contracting party or subject of a decision never approves it, and the next level up approves instead. [CONTROL] Splitting a transaction, invoice, contract or claim to bring parts under a threshold is a breach; related items within a quarter are assessed together at their combined value and reported to AW-24 where splitting is found.

7. Configure system routing. The process owner specifies routing rules for the procurement, finance, HR and learner-records systems [IoL to confirm systems] from the register, and the AW-15 system administrator or MBRU system owner implements them. Where a system cannot enforce a band, the manual check in step 6 is documented as the compensating control. [CONTROL] No routing change is made without a register change approved first.

8. Reconcile routing to the register. Quarterly, the process owner obtains the routing configuration from each system and reconciles it to the register. Differences are corrected within the service standard and any approval given under an incorrect routing is reviewed and ratified or reversed.

9. Attest annually. Each delegate confirms in writing that they hold the authority shown, have not approved outside it, have not self-approved and are not aware of splitting. The Senior Director, IoL, attests the whole register to MBRU where MBRU requires it [IoL to confirm]. [CONTROL] The attestation is evidenced by a sample of approvals from each system tested against the register by AW-24.

10. Report and treat breaches. Any approval found outside delegation, any self-approval and any splitting is logged, the transaction is referred to the Senior Director, IoL, for ratification or reversal, and a non-conformity is raised through AW-24. Repeated breach by the same delegate leads to withdrawal of the delegation.

Exception routes. Emergency approval where no delegate is available: the Senior Director, IoL, or the acting head approves and the process owner records the emergency and the reason. Where MBRU changes the institutional matrix mid-year, the register is updated within 10 working days and routing within a further 10; approvals in the interval are given at the lower of the old and new limits.

5. Service standards

6. Records, retention and controls

Key controls. (1) Every entry in the register cites the MBRU authority it derives from. (2) No sub-delegation exceeds the grantor's authority. (3) No self-approval. (4) No splitting; related items are assessed at combined value. (5) Acting authority is written, dated and expiring. (6) System routing matches the register, reconciled quarterly. (7) Departing incumbents lose routing the same day. (8) Annual attestation with sample testing by AW-24.

OBEF touchpoint. None.

7. Performance measures

8. Change control