AW-10 · Purchase Requests: Requisition, Sourcing, Receipt and Payment Follow-up

1. Purpose and scope

Purpose. To ensure that IoL obtains goods and services through the Dubai Health procurement route, within budget, inside the purchasing window and within delegation, with the requester, the approver and the receiver separated, and with a goods-received record that supports payment, asset registration and, where relevant, the valuation of an in-kind contribution.

Scope statement. This procedure manages IoL purchasing from the identification of a need to the confirmation that the supplier has been paid and the purchase file closed, using Oracle GRP and the HQ e-procurement system.

Applies to. All purchases of goods and services charged to the IoL University or DAHC budget entities, regardless of value: tendered and direct purchases, delivery, inspection, goods receipt, supplier payment follow-up, variation orders and extensions of the supply period.

Does not apply to. Tendering and contracting procedures of HQ Contracting and Procurement; consumables ordered through the HQ inventory system (AW-13); payments to individuals, honoraria and expense claims (AW-11); non-procurement agreements (AW-23); institutional procurement policy and payment execution, which are Dubai Health's.

Rules that hold throughout. Tendering is the standard sourcing route. Only SDO raises requisitions in GRP; departments do not negotiate with, commit to, or place orders with suppliers. Requests are raised inside the purchasing window, April to October, and before the annual cut-off date published under AW-02; needs falling in the blackout, October to March, are raised in the window from the annual purchase plan. Each request names its budget entity, University or DAHC, and its sub-account. Requirements are not split to fall within a lower approval tier. Payment without a purchase order is not an IoL purchasing route. A purchase file is not closed until payment is confirmed. A request returned for revision and not resubmitted within 10 working days is closed.

2. Trigger, boundary and interfaces

3. Roles and accountability

Process owner. Head of Administration and Operations (HAO). Custodian. Administration Affairs (SDO), which operates the procedure and keeps its records.

The Dean holds the highest IoL authority in this procedure; the Dean's own requests are approved by the Dean's superior, named in AW-05.

[CONTROL] Segregation. The requester does not approve. The approver does not receive. The receiver does not release payment. The receipt at step 10 is recorded by SDO or by the asset custodian, not by the requester [SDO to confirm: IOL-OPS-002 v0.1 assigned receipt to the requester; this procedure separates the two because the requester also writes the specification and evaluates the offers].

[CONTROL] Delegation tiers. Tier 1: SDO Head of Finance approves within the internal limit set by the HAO. Tier 2: HAO approves above that limit and up to the HAO limit. Tier 3: Dean approves above the HAO limit and up to the Dean's authority under the DOA Manual. Above the Dean's authority the request goes through HQ for Level 3 approval. The three values are stated in AW-05 [HAO to state; not yet stated in any document].

4. Procedure

1. Identify the need and check existing provision. The requester confirms the requirement is in the departmental purchase plan and the approved budget, is not already held (AW-13), is not covered by an existing contract, and is not available through an HQ framework agreement or the HQ inventory system. Next: step 2.

2. Prepare the request and specification. The requester completes the Purchase Request Form: technical specification, quantity, delivery location, required date, budget entity, sub-account, CAPEX or OPEX, justification, and whether a service agreement will be needed (AW-23). Next: step 3.

3. Endorse the request. The Department Chair reviews the requirement, the specification and the budget line. Decision point. Endorsed: step 4. Returned with comments: step 2. Declined: the request is closed and the requester informed.

4. Completeness and budget review. SDO verifies completeness, specification quality, budget entity, sub-account, budget availability, purchasing window, and CAPEX or OPEX classification under the DOA, consulting the SDO Head of Finance on availability. [CONTROL] No request proceeds to approval outside the purchasing window or without a budget line with capacity. Decision point. Compliant: step 6. Not compliant: step 5.

5. Return the request for correction. SDO returns the request to the requester with written comments and informs the Chair. Resubmitted: step 2. Timeout. Not resubmitted within 10 working days: the request is closed.

6. Approve within delegation. The approver for the value tier (section 3) approves, returns or rejects. [CONTROL] The approval matches the tier for the total value; splitting a requirement to reach a lower tier is a policy breach reported through AW-24. Requests above the Dean's authority are submitted through HQ for Level 3 approval. Decision point. Approved: step 7. Returned: step 5. Rejected: the request is closed and the requester and Chair informed.

7. Raise the requisition in GRP. SDO enters the approved request in Oracle GRP with all supporting documents and informs the requester of the requisition number. [CONTROL] Only SDO raises requisitions; a purchase initiated by any other route is not an IoL purchase. Next: step 8.

8. Determine the sourcing route and source. SDO confirms with HQ Contracting and Procurement whether the purchase meets the criteria for direct purchase. Direct purchase requires written justification approved by the HAO or the Dean, and is held to 5% or less of purchases. Otherwise HQ Contracting and Procurement tenders through the HQ e-procurement system, with SDO coordinating responses to supplier clarifications. Next: step 9.

9. Evaluate offers and award. The requester evaluates the offers against the specification on the HQ evaluation form and signs a conflict-of-interest declaration; the Chair and SDO are consulted. HQ Contracting and Procurement awards and issues the purchase order. [CONTROL] No commitment is made to a supplier before the purchase order is issued. Decision point. Compliant offer received and awarded: step 10. No compliant offer: HQ re-sources under HQ procurement procedures and the purchase returns to step 8.

10. Coordinate delivery and receive. SDO agrees the delivery date and location with the supplier and, for deliveries to University premises, obtains the University Facilities delivery permit before delivery. The receiver checks quantity, condition and specification against the purchase order and signs the delivery note only for a conforming delivery. [CONTROL] Receipt is recorded by a person other than the requester. Decision point. Conforms: step 11. Does not conform: the delivery is rejected, replacement is managed by HQ Contracting and Procurement with the supplier, and the purchase returns to step 10.

11. Record receipt, register the asset and record any in-kind valuation. SDO records the goods or services receipt in GRP within 3 working days of the signed delivery note. Items above the asset threshold or of a controlled type (simulation and biomedical equipment, AV, IT hardware) are handed to AW-13 for tagging and registration before use. Where the item was provided by an external partner free or below market price, SDO records the supplier's stated value and its basis (invoice at zero, list price, independent valuation), the SDO Head of Finance confirms it, and the record is handed to WF-24. [CONTROL] No valuation is recorded without a documented basis. Next: step 12.

12. Follow up payment and close. SDO confirms that the supplier invoice has been received, matched by HQ Finance to the purchase order and the GRN under AW-11, and paid, and escalates delays to HQ Finance. On confirmation of payment SDO completes and archives the purchase file. Renewal dates for subscriptions and maintenance are entered in the AW-25 calendar. [CONTROL] The file is closed only after payment is confirmed. End: supplier paid, file closed.

Exception routes. Variation order or extension of the supply period: SDO prepares the variation request with justification, consulting the requester and the Chair; the HAO or the Dean approves or rejects it, with variations limited to 30% of the order or contract value under Law No. 12 of 2020 and those above the Dean's authority submitted through HQ for Level 3; HQ Contracting and Procurement amends the purchase order or contract. Emergency purchase (safety, learner-facing outage) inside the blackout: no route exists in IOL-OPS-002 v0.1 [HAO to confirm whether the HQ framework provides one; until then the process owner may authorise a purchase ahead of the requisition, with the requisition raised within 2 working days and the emergency recorded]. Supplier failure after order: HQ Contracting and Procurement leads; IoL records the impact for AW-06.

5. Service standards

6. Records, retention and controls

Records are kept in the Administration Affairs (SDO) central repository and in the systems named below, and retained for a minimum of seven years or the period required by the Dubai Department of Finance, whichever is longer.

Key controls. (1) Every purchase has a GRP requisition raised by SDO before commitment. (2) Requester, approver and receiver are distinct. (3) Approval matches the AW-05 tier for the total value; no splitting. (4) Requests are raised inside the purchasing window. (5) No commitment before the purchase order. (6) The delivery note is signed only after inspection confirms conformity. (7) Goods-received note precedes invoice release. (8) In-kind valuations carry a documented basis. (9) The file closes only on confirmed payment.

OBEF touchpoint capture rule. The in-kind valuation is recorded at receipt, by SDO, with its basis. It is not reconstructed at OBEF submission time. Appendix B of the OBEF guide allows the Ministry to demand audit reports, independent valuations or formal market valuations for KPI 3.4.

7. Performance measures

8. Change control