VERSION CONTROL
Date of Approval:
1 September 2017
Authorization: Director-General
Current Version:
03
Effective Date:
1 September 2017
DELEGATION OF AUTHORITY
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
1 | P a g e
TABLE OF CONTENTS
DEFINITIONS AND ABBREVIATIONS………………………………………………………………………………………….2
STANDARD AUTHORTY CODES………………………………………………………………………………………………...3
A. PURPOSE AND OBJECTIVES…………………………………………………………………………………………………4
B. GUIDING PRINCIPLES………………………………………………………………………………………………………....4
C. GENERAL PROVISIONS………………………………………………………………………………………………………..6
D. DELEGATION OF AUTHORITY MATRIX…………………………………………………………………………………...8
I. PROCUREMENT………………………………………………………………………………………………………….8
II. FINANCE………………………………………………………………………………………………………………...17
III. CORPORATE SERVICES……………………………………………………………………………………………..21
IV. HUMAN RESOURCES…………………………………………………………………………………………………25
V. AUDITING………………………………………………………………………………………………………………..41
VI. BUDGET………………………………………………………………………………………………………………....42
VII. ADMINISTRATION…………………………………………………………………………………………………...44
VIII. GOVERNANCE, OUTREACH AND COMMUNICATIONS………………………………………………..........47
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
2 | P a g e
DEFINITIONS
Acting Officer
An officer who has officially been designated by the Director-General to assume
management functions for a position that is vacant.
Concerned Country Representative
The country representative to whose responsibilities the instrument, action or activity most
closely relates.
Concerned Director
The Director or Department Head to whose responsibilities the instrument, action or
activity most closely relates.
Concerned Division Head
The Division Head to whose responsibilities the instrument or action most closely relates.
Concerned Manager
The manager or supervisor to whom the initiator of the instrument, action or activity
directly reports.
Concerned Task Manager
The person who is functionally responsible for that activity or action.
Concerned Unit Head
The Head of Unit to whose responsibilities the instrument, action or activity most closely
relates.
Officer-in-Charge
An officer designated to assume management functions for an encumbered position, when
the incumbent is absent or incapacitated.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
3 | P a g e
STANDARD AUTHORITY CODES
The standard authority codes used in the Delegation of Authority are as follows:
Initiate/Originate/Prepare
To initiate an action or activity and prepare the relevant instrument supporting documents.
Recommend/Review
To review and make a recommendation on which a decision will be made or an action taken.
Clear
To permit an action or decision to proceed to the next step for approval or signature after ensuring that
all relevant preconditions have been satisfied and that the action or decision is in compliance with
GGGI regulations, rules, policies, processes and procedures.
Approve
To provide the final approval that an action or decision can be undertaken or made following
appropriate consultations.
Sign
To append one’s signature on a document to signify acknowledgement, agreement, approval or
acceptance and consent to be bound.
Informed
To be informed of the decision made or action undertaken.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
4 | P a g e
A. PURPOSE AND OBJECTIVE
The purpose of this Delegation of Authority (“DoA”) is to ensure the efficient operation of GGGI by establishing levels of authority
and/or designate officers who may sign written instruments or take other actions in the name of and on behalf of GGGI.
This DoA also serves to provide a strong foundation for a country-based operations model, while ensuring that the necessary control measures
are in place. Implementation of this DoA will facilitate the effective devolution of activities, transfer of required decision-making powers
and better segregation of duties and responsibilities.
This DoA is a living corporate instrument and is the starting point upon which periodic reviews and continuous improvements will be made
in response to evolving business demands.
In exercising the authority delegated herein, consideration should be given to:
(a) the relevant GGGI Regulations, Rules, Policies, Guidelines and Procedures, as then in effect;
(b) the role of the Management Team, the Procurement Review Committee, Procurement Committees and other committees that may be
established from time to time by the Director-General; and
(c) functional responsibilities within the organization.
B. GUIDING PRINCIPLES
1. All authority delegated herein derives from the authority of the Director-General and is delegated for the effective administration of
GGGI’s operations. The Director-General at all times reserves the right to exercise any of the delegated authority.
2. Subject to paragraph B.1. above, the exercise of authority for all matters shall be in accordance with this DoA and the Delegation of
Authority Matrix (the “DoA Matrix”) attached hereto. All authority not delegated pursuant to the DoA Matrix or paragraph B.10. below
is reserved for the Director-General.
3. The delegation of authority set out in the DoA Matrix is functional and not personal in nature, and shall be exercised in the best interest
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
5 | P a g e
of GGGI.
4. Any authority delegated in the DoA Matrix may be exercised by an officer of a higher function, taking into account paragraph B.9.
below.
5. The delegation of authority to a certain officer does not relieve such officer of the responsibility to obtain the required technical advice
and to carry out the appropriate consultations which would inform the exercise of such authority.
6. Officers with delegated authority are responsible for assuring the following, as applicable:
a. An understanding of what is being approved;
b. The information and supporting documentation is accurate and complete;
c. The transaction or action is allowable, reasonable and justified;
d. The transaction is charged to the correct project(s) / account(s);
e. There are adequate funds to cover the expense; and
f. The funding source is appropriate to the expenditure.
7. An Acting Officer has the delegated authority of the function he or she has been designated to assume.
8. An Officer-in-Charge has the same authority of his or her incumbent.
9. When officers of one or more divisions, departments, units or offices are delegated authority for the purposes of any particular
instrument or action, the authority so conferred should be exercised by the officer to whose responsibilities the instrument or action
most closely relates.
10. This DoA and the DoA Matrix do not preclude the special designation by the Director-General of officers to sign written instruments
or undertake actions in particular cases.
11. Officers may not approve transactions for themselves or their relatives or approve transactions that directly benefit themselves or their
relatives or that in any way create a conflict of interest with the officer’s responsibilities to GGGI. Such transactions must be approved
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
6 | P a g e
by the officer of next higher authority.
12. The same officer may not initiate, review and approve the same action. The same officer may not approve and reconcile the same
expenditure.
13. It is not permitted to divide a contract into two or more contracts to reduce the amounts thereof and thereby change the required level
of authority.
14. Cumulative amount in reference to any contract for acquisition of any goods or works or engagement of any services refers to the
cumulative amount of the contract for the contract period. Where acquisitions of the same or similar type are recurring, the total
cumulative estimated amount for the calendar year shall be used to determine the procurement method, procurement contract type and
procurement contract signatory.
15. Abuse of delegated authority or violation of the provisions of this DoA (including these Guiding Principles) or the relevant underlying
GGGI regulation, rule, policy, guideline or procedure shall constitute misconduct, leading to appropriate disciplinary action.
16. Any action taken or any instrument signed by anyone other than the Director-General or those officers who have delegated authority in
accordance with this DoA and the DoA Matrix, may be declared null and void unless formally ratified by the Director-General or
authorized officer.
C. GENERAL PROVISIONS
1. Each Division Head shall be responsible for the proper implementation of this DoA in their respective division.
2. This DoA and the DoA Matrix may be amended, modified or repealed, in full or in part, by the Director-General. Any such amendment,
modification or repeal shall be evidenced by a writing.
3. The Head of Management and Administration is responsible for the overall interpretation and consistent application of this DoA
and the DoA Matrix, in consultation with the Head of Legal Services.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
7 | P a g e
DELEGATION OF AUTHORITY MATRIX
I. PROCUREMENT (GOODS, WORKS AND CONSULTING FIRMS)
1
ACTION
Director
-General
Management Team
Deputy Director
-
General
Concerned Division
Head
Concerned Director
Concerned Unit Head /
Country Representative
Head of Procurement
Concerned Task
Manager
Procurement Committee
Procurement Review
Committee
Finance Director
1.
Annual Procurement Plan
(i)
A
I
R
(i)
1
This Procurement section relates to the procurement of goods, the procurement of works and the procurement of services from any entity other than an individual.
This section does not apply to the engagement of individual consultants, which is covered under Section IV Human Resources.
Authority Codes
I
Initiate/Originate/Prepare
R
Recommend/Review
C
Clear
A
Approve
S
Sign
(i)
To be informed
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
8 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division
Head
Concerned Director
Concerned Unit Head /
Country Representative
Head of Procurement
Concerned Task
Manager
Procurement Committee
Procurement Review
Committee
2.
Raising purchase requisition
2
2.1
USD 1,000 or less
3
(cumulative amount)
A
2.2
USD 1,001 to USD 10,000
C
A
I
2.3
USD 10,001 to USD 100,000
A
C
I
R
I
2.4
USD 100,001 to USD 500,000
A
C
I
R
2.5
USD 500,001 and above
A
R
I
R
2
All purchases of ICT hardware, software, furniture and the like must be cleared by ICT & Facilities Manager prior to purchase.
3
For “Minor Purchase” items as defined in the Procurement Rules, no documentation in the form of procurement request or purchase order needs to be submitted
and acquisition of such services, goods or works may be conducted without using a specific procurement method, however, supporting documents for the acquisition
should be submitted when making a disbursement request. Where Minor Purchases of the same or similar type are recurring, the total cumulative estimated amount
for the calendar year shall be used to determine the procurement method, procurement contract type and procurement contract signatory. As of the date of approval
of this DoA, “Minor Purchase” items are defined as purchases with a value of USD 1,000 or less.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
9 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division
Head
Concerned Director
Concerned Unit Head /
Country Representative
Head of Procurement
Concerned Task
Manager
Procurement Committee
Procurement Review
Committee
3.
Direct Procurement
4
3.1
USD 1,000 or less
5
(cumulative amount)
A
3.2
USD 1,001 to USD 10,000
A
I
3.3
USD 10,001 to USD 100,000
A
I
R
3.4
USD 100,001 to USD 500,000
A
I
6
R
3.5
USD 500,001 and above
A
R
I
R
3.6
Approval of direct procurement in cases not
specifically provided for in Procurement Rules
7
A
8
A
9
C
R
I
R
4
Where permitted in accordance with the provisions of the Procurement Rules.
5
Subject to footnote 3 above.
6
Where no Director, Unit Head to initiate or, where purchase is for Country Office, Country Representative to initiate.
7
To be reported to the Council in accordance with Procurement Rule 3.5(i) periodically.
8
For procurement USD 500,001 and above.
9
For procurement up to USD 500,000.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
10 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division
Head
Concerned Director
Concerned Unit Head /
Country Representative
Head of Procurement
Concerned Task
Manager
Procurement Committee
Procurement Review
Committee
3.7
Honorarium (irrespective of the amount)
A
R
I
4.
Competitive bidding
4.1
Advertising / tender invitations
A
4.2
Forming an evaluation committee
C
A
4.3
Preparation of short list and request for proposal
C
A
4.4
Bid proceedings, bid evaluation and reports
C
A
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
11 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division
Head
Concerned Director
Concerned Unit Head /
Country Representative
Head of Procurement
Concerned Task
Manager
Procurement Committee
Procurement Review
Committee
4.5
Approval of award recommendations / contract
award
a. USD 10,000 or less (cumulative amount for
contract period)
A
I
b. USD 10,001 to USD 100,000
R
10
A
I
c. USD 100,001 to USD 500,000
A
R
I
d. USD 500,001 and above
A
R
I
R
10
Where no Director, Concerned Division Head to Review.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
12 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head /
Country Representative
Head of Procurement
Concerned Task Manager
Procurement Committee
Procurement Review
Committee
4.6
Signing of (i) contracts, (ii) purchase orders and
(iii) call-off contracts (framework agreements)
4.6.1
USD 10,000 or less (cumulative amount for contract
period)
S
4.6.2
USD 10,001 to USD 100,000
S
4.6.3
USD 100,001 to USD 500,000
S
4.6.4
USD 500,001 and above
S
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
13 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-
General
Concerned Division
Head
Concerned Director
Concerned Unit Head /
Country Representative
Head of Procurement
Concerned Task
Manager
Procurement
Committee
Procurement Review
Committee
5.
Contract Modifications
5.1
Decreased value or no cost amendment
AS
11
AS
12
I
5.2
Cumulative value of modifications less than or equal
to 20% of initial contract amount
Approval and Signature by the level corresponding to the added
(cumulative) value of the contract as modified, as indicated in parts 4.5
and 4.6 above.
5.3
Cumulative value of modifications greater than 20%
of initial contract amount
Shall be handled, approved as Direct Procurement, but may be executed
as an amendment to the original contract with signature authority based
on the cumulative value.
5.4
Exercising contract options already provided for in
the approved contract (for example, extension of
term or additional quantity)
C
A
13
A
14
I
11
For contracts with cumulative value for full contract period of USD 10,000 or less, taking into account the modification.
12
For contracts with cumulative value for full contract period of USD 10,001 and above, taking into account the modification.
13
For contracts with cumulative value of USD 10,000 or less.
14
For contracts with cumulative value of USD 10,001 and above.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
14 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division
Head
Concerned Director
Concerned Unit Head /
Country Representative
Head of Procurement
Concerned Task
Manager
Procurement Committee
Procurement Review
Committee
Finance Director
6.
Waiver of procurement rule and/or procedure or
exercise exception provided for in relevant rule or
procedure
6.1
USD 10,000 or less (cumulative amount for contract
period)
R
A
I
C
15
6.2
USD 10,001 to USD 100,000
A
C
R
R
I
C
15
6.3
USD 100,001 to USD 500,000
A
C
R
R
I
C
15
6.4
USD 500,001 and above
A
R
C
R
R
I
C
15
6.5
Use of credit card or cash payment for General
Expense Claim of USD 10,000 or less
16
A
C
I
C
15
Finance Director clearance required only in cases of advance payment without a performance guarantee.
16
This is an exceptional method of payment that may only be used with prior written authorization from the relevant Division Head and clearance from the Finance
Director when it is demonstrated that a supplier or service provider is unable to provide an invoice and/or payment can only be made using cash or a credit card.
The inability of the supplier or service provider to provide an invoice or the requirement for payment by cash or credit card must be sufficiently documented as
part of the request from the initiating party.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
15 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head /
Country Representative
Head of Procurement
Concerned Task Manager
Procurement Committee
Procurement Review
Committee
Head of Legal
7.
Cancellation of procurement process
(i)
I
A
8.
Contractor Performance Evaluation
A
C
C
(i)
I
9.
Examination of Complaints
17
(i)
I
R
17
Complaint review process to be undertaken in accordance with relevant provisions of the Procurement Rules.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
16 | P a g e
II. FINANCE
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Finance Director
Concerned Country
Representative
Concerned Task
Manager
Finance
Officer
/Specialist
(HQ)
Finance Officer (Field)
1.
Payment Processing
18
1.1
Payable up to USD 10,000
C
19
(i)
C
19
A
1.2
Payable USD 10,001 to USD 100,000
C
19
A
A
1.3
Payable USD 100,001 to USD 500,000
A
C
19
A
1.4
Payable USD 500,001 and above
A
C
19
A
18
Dual approval for limits up to USD 10,000 by Finance Specialist and Finance Officer.
19
Confirmation of successful completion of work / delivery of goods of appropriate quality and quantity.
Authority Codes
Initiate/Originate/Prepare
Recommend/Review
Clear
Approve
Sign
To be informed
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
17 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Finance Director
Concerned Country
Representative
Concerned Task
Manager
Finance Officer (HQ)
Finance Officer (Field)
2.
Petty Cash
20
2.1
Establish petty cash fund
A
R
I
C
I
2.2
Payment of expenditures using petty cash
A
(i)
I
2.3
Determination of limit of petty cash usage
A
I
R
I
2.4
Replenishment of petty cash / Petty cash reimbursement
A
I
3.
Corporate Credit Card
3.1
Establish and adjust limits on corporate cards (including
determination of eligibility)
A
C
I
I
21
3.2
Issuance of corporate cards
A
I
I
22
20
At the time of approval of this DoA Matrix, petty cash may be used for expenditures incurred in a country office in an amount up to (and less than) USD 1,000.
This amount may be adjusted periodically in line with this DoA Matrix.
21
For Country Offices or persons based in Country Offices.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
18 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Finance Director
Concerned Country
Representative
Concerned Task
Manager
Finance Officer (HQ)
Finance Officer (Field)
Investment Committee
4.
Foreign Exchange / Currency
4.1
Hedging instruments / derivative transactions / risk
mitigation instruments
A
R
I
5.
Investment
5.1
Short-term investments
A
R
I
R
6.
Bank Accounts
6.1
Issuing RFP for global banking
A
R
I
6.2
Issuing RFP for local (field office) banking
A
C
R
R
I
6.3
Selection of banks
A
C
R
R
IR
22
I
22
22
For bank accounts for Country Offices, the Finance Officer in respective country office to initiate and Finance Officer (HQ) to review; for all others or where no
Finance Officer in country office, Finance Officer (HQ) to initiate.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
19 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Finance Director
Concerned Country
Representative
Concerned Task
Manager
Finance Officer (HQ)
Finance Officer (Field)
6.4
Opening and closing of bank accounts
A
C
R
IR
23
I
23
6.5
Appointment of signatories
A
C
R
IR
23
I
23
6.6
Bank Reconciliation Statements
A
IR
23
I
23
7.
Accounting
7.1
Journal Entries
A
IRC
I
7.2
New chart of accounts
A
I
IR
8.
Reporting
8.1
Annual Financial Statement
A
C
C
IR
8.2
Various finance reports – such as, fixed assets variance,
contributions in arrears, etc.
A
IR
IR
23
For bank accounts for Country Offices, the Finance Officer in respective country office to initiate and Finance Officer (HQ) to review; for all others or where
no Finance Officer in country office, Finance Officer (HQ) to initiate.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
20 | P a g e
III. CORPORATE SERVICES
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Head of Corporate
Services
ICT and Facilities
Manager
Concerned Country
Representative
Concerned Task
Manager
Finance Director
ICT & Facilities Team
Concerned
Unit Head
1.
Asset Inventory
1.1
Asset Inventory Verification (Physical Count) for HQ
A
R
I, C
(i)
1.2
Asset Inventory Verification (Physical Count) for other
offices
R
A
I, C
(i)
1.3
Write-offs for USD 10,000 or less for HQ
A
C
I
A
1.4
Write-offs for USD 10,000 or less for other offices
(i)
C
A
I
A
Authority Codes
I
Initiate/Originate/Prepare
R
Recommend/Review
C
Clear
A
Approve
S
Sign
(i)
To be informed
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
21 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Head of Corporate
Services
ICT and Facilities
Manager
Concerned Country
Representative
Concerned Task
Manager
Finance Director
ICT & Facilities Team
Concerned
Unit Head
1.5
Write-offs for USD 10,001 and above for HQ
A
A
C
I
A
1.6
Write-offs for USD 10,001 and above for other offices
A
A
C
A
I
A
2.
ICT & Facilities
2.1
Connection to GGGI Network
(i)
A
I
C
I
2.2
Software Installation
(i)
A
I
C
I
2.3
Access Permission
(i)
A
I
C
I
2.4
Desk Allocation & Assignment
C
A
C
I
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
22 | P a g e
ACTION
Director
-General
Deputy Director
-General
Concerned Division Head
Concerned Department
Head
Budget Owner
Concerned Manager
(Direct Supervisor)
Concerned Staff
(Traveler)
Events & Travel Manager
Travel Focal Point
Travel Management
Company
Finance (Treasury) Officer
Head of Corporate
Services
3.
Mission (Travel) Program/Plan - Annual/Quarterly
A
R
I
(i)
(i)
(i)
(i)
4.
Mission (Travel) Authorization on Purpose & Cost
24
4.1
Domestic travel
A
25
R
R
I
(i)
(i)
(i)
4.2
International travel
A
R
R
C
I
(i)
(i)
(i)
5.
Travel Advance Payment
26
A
C
I
(i)
(i)
6.
Travel Claim Processing
27
6.1
Domestic travel
A
C
I
(i)
(i)
(i)
6.2
International travel
A
C
I
(i)
(i)
(i)
24
For staff in the Executive category, the direct supervisor will have approval authority.
25
In this case, the Concerned Department Head is the Concerned Country Representative.
26
Finance office will authorize release of funds based on compliance with applicable procedures.
27
For staff in the Executive category, the direct supervisor will have approval authority.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
23 | P a g e
ACTION
Director
-General
Deputy Director
-General
Concerned Division Head
Concerned Department
Head
Budget Owner
Concerned Manager
(Direct Supervisor)
Concerned Staff
(Traveler)
Events & Travel Manager
Travel Focal Point
Travel Management
Company
Finance (Treasury) Officer
Head of Corporate
Services
7.
Back to Office Report (BTOR)
A
C
(i)
I
(i)
8.
Waivers or exceptions from Travel Policy or
Guidelines
8.1
USD 1,000 or less
A
R
I
R
C
(i)
8.3
USD 1,001 or above
A
R
I
R
C
R
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
24 | P a g e
IV. HUMAN RESOURCES
28
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
1.
Resource Planning
1.1
Recruitment Plan (Annual and Quarterly Review)
A
R
I
C
(i)
C
28
The parts of this Section IV on Resource Planning, Vacancy Management, Management of Personnel/Transfer of Personnel, Job Descriptions, Payroll, Payment
Processing, Leave and other Absences and Performance Evaluation and Training apply equally to positions held by Staff and positions held by Individual
Contractors engaged under an Individual Contractor Agreement between the Individual Contractor and UNOPS on behalf of GGGI (“ICA Holders”).
Individual consultants are considered human resources of GGGI and the engagement and use of individual consultants is undertaken and managed by the Human
Resources Services unit of M&A under rules prescribed by the Director-General. Accordingly, delegations of authority concerning the engagement, use and
management of individual consultants (other than ICA Holders) are contained in part 13 Individual Consultants of this Section IV Human Resources of the DoA
Matrix.
Authority Codes
Initiate/Originate/Prepare
Recommend/Review
Clear
Approve
Sign
To be informed
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
25 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
1.2
Deviation from Recruitment Plan
1.2.1
Non-executive position
A
C
R
I
C
C
1.2.2
Executive position
I/A
R
C
C
2.
Vacancy Management
2.1
Requisition (includes job description)
2.1.1
Non-executive position
A
28
C
I
A
29
C
2.1.2
Executive position
IA
C
C
2.2
Advertising (outreach)
I
C
R
2.3
Maintenance of Candidate Roster
A
I
29
Head of Human Resources to approve for national non-executive positions and Deputy Director-General to approve for international non-executive positions.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
26 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
2.4
Short listing
2.4.1
Non-executive position
R
I
A
C
2.4.2
Executive position (other than DG)
IA
RC
2.5
Interview panel composition
2.5.1
Non-executive position
I
A
30
R
2.5.2
Executive position
31
R
I
2.6
Final Selection Decision
2.6.1
Non-executive position
A
A
I
I
C
30
Deviation Only.
31
Determined in accordance with applicable provisions of Staff Regulations and Rules.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
27 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
2.6.2
Executive position (other than DG)
32
A
C
I
2.7
Determination of Salary / ICA Holder Fee
2.7.1
Non-executive position
A
C
A
I
2.7.2
Executive position (other than DG)
A
33
R
I
2.8
Offer letter / appointment letter / contract
2.8.1
Non-executive position
S
33
S
34
I
2.8.2
Executive position (other than DG)
S
I
2.9
Probation assessment
AS
C
I
32
Decision made by Selection Committee in accordance with applicable provisions of the Staff Rules.
33
Authorization to submit salary level to Council for approval in accordance with applicable provisions of Staff Rules.
34
Head of HR to sign for offer/appointment letters and contracts with a cumulative value up to USD 100,000. DDG to sign offer/appointment letters and contracts
with cumulative value of USD 100,001 and above.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
28 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
3.
Management of positions/ Transfer of
Personnel
3.1
Creation of new positions / Deletion of positions /
Headcount changes
A
IC
I
R
R
3.2
Transfer within a department
(i)
A
I
C
R
3.3
Transfer of position within division
(i)
A
IC
I
C
R
3.4
Transfer of position between divisions
A
A
IC
I
C
R
4.
Job descriptions
4.1
Establish and update job descriptions (specific)
A
R
I
A
R
4.2
Evaluation / re-evaluation of jobs
A
R
I
A
R
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
29 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
5.
Compensation and Benefits
5.1
Compensation framework / salary adjustments
A
R
C
I
R
(i)
5.2
Salary increments / ICA Fee increase
5.2.1
Non-executive position
A
R
C
I
R
(i)
5.2.2
Executive position
35
C
I
R
(i)
5.3
Determination of individual personnel eligibility
to receive allowances (in line with Staff Rules)
A
I
I
5.4
Determination of individual personnel eligibility
to receive tax reimbursement (within Staff Rules)
A
C
I
5.5
Granting of salary advance (within Staff Rules)
A
R
C
C
35
Reserved power of Council.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
30 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
6.
Payroll
6.1
Addition to payroll database
A
C
I
(i)
6.2
Changes to entitlements in payroll database
A
C
I
(i)
7.
Payment Processing (benefits, others and
deductions)
7.1
Payroll execution and approval
A
C
I
C
7.2
ERP HR master data (personnel, salaries, ICA
fees, benefits, dependents, etc.)
C
I
7.3
Adjustments / correction for accounting entries
A
C
I
C
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
31 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
8.
Leave and other Absences
8.1
Normal leave (annual and home)
A
36
I
8.2
Special leave in connection with new duty station
A
35
(i)
I
8.3
Special leave for other reasons (with/without pay)
A
C
C
35
R
(i)
I
8.4
Compensatory leave
A
35
(i)
I
8.5
Sick leave
A
35
(i)
I
8.6
Maternity leave / Paternity leave / Adoption leave
A
35
(i)
I
36
For personnel assigned to a Country Office, the Concerned Manager is the Country Representative of the assigned duty station.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
32 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
8.7
Official holidays
A
C
I
(i)
8.8
Working hours
A
C
I
9.
Performance Evaluation
9.1
Preparation and launch of performance evaluation
campaign and mid-year review
(i)
(i)
A
(i)
9.2
Setting performance objectives
9.2.1
Non-executive position
R
R
A
I
9.2.2
Executive position (other than DG)
A
I
9.3
Performance Assessment
C
C
A
I
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
33 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human
Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
10.
Training
10.1
Determining individual training needs and
proposing corresponding plans and schedules
A
R
I
37
R
I
10.2
Corporate Training Plans
A
C
C
R
I
10.3
Training Requisition
10.3.1
Within approved training plan
A
C
C
I
10.3.2
Outside approved training plan
A
C
C
I
37
For personnel assigned to a Country Office, the Concerned Manager is the Country Representative of the assigned duty station.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
34 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Manager
Head of Human
Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned Staff
11.
Separation from Service
11.1
Termination
AS
R
C
R
I
C
11.2
Acceptance of resignation
11.2.1
Non-executive position
(i)
(i)
A
AS
(i)
(i)
(i)
I
11.2.2
Executive position (other than DG)
AS
(i)
(i)
(i)
(i)
(i)
I
11.3
Extension of retirement age in specific cases
A
R
C
R
I
C
(i)
12.
Medical / Pension Plan Administration
12.1
Approval of medical and non-medical benefit
policies and pension plan terms
A
C
C
I
R
R
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
35 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
/
Country Representative
Concerned
Task
Manager
Head of Human
Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned
Consultant
13.
Individual Consultants
13.1
Raising request (including job description)
13.1.1
USD 10,000 or less
C
A
I
R
13.1.2
USD 10,001 to USD 100,000
A
C
I
I
R
13.1.3
USD 100,001 to USD 500,000
A
C
I
I
R
13.1.4
USD 501,000 and above
A
R
I
R
13.2
Direct Engagement
38
(cumulative amount)
13.2.1
USD 100,000 or less
A
I
C
13.2.2
USD 100,001 to USD 500,000
A
C
I
R
38
Where permitted in accordance with the provisions of the Rules Concerning the Procedures for the Engagement of and Use of Individual Consultants.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
36 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
/
Country Representative
Concerned
Task
Manager
Head of Human
Resources
Applicable HR Officer
Head of Corporate
Services
Finance
Director
Concerned
Consultant
13.2.3
USD 501,000 and above
A
R
I
R
13.3
Competitive Selection
13.3.1
Advertising / Consultant Roster
I
A
13.3.2
Forming Evaluation Committee
C
A
13.3.3
Short listing
C
A
13.3.4
Approval of Selection Decision
a. USD 10,000 or less
(i)
IA
I
R
b. USD 10,001 to USD 100,000
A
R
I
C
c. USD 100,001 to USD 500,000
A
C
IR
I
C
d. USD 501,000 and above
A
R
R
R
C
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
37 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
/
Country Representative
Concerned
Task
Manager
Head of Human
Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned
Consultant
13.4
Determination of Fee
39
A
C
A
I
13.5
Signing of Contracts
13.5.1
USD 10,000 or less
S
13.5.2
USD 10,001 to USD 100,000
S
13.5.3
USD 100,001 and above
S
13.5.4
USD 501,000 and above
S
39
HR to establish fee scale for Individual Consultants as provided in the Rules Concerning the Procedures for the Engagement and Use of Individual Consultants.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
38 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
/
Country Representative
Concerned
Task
Manager
Head of Human
Resources
Applicable HR Officer
Head of Corporate
Services
Finance Director
Concerned
Consultant
13.6
Contract Modifications / Extensions
13.6.1
Contract modification
Approval and Signature by the level corresponding to the cumulative value of the
contract as modified, as indicated in parts 13.3.4 and 13.5 above.
13.6.2
Extension / Renewal of Contract
Extensions and renewals of contracts shall be treated as new engagements and
follow standard processes and procedures in relation to request, selection,
approval and signature.
13.7
Cancellation of process
A
(i)
(i)
I
13.8
Contract Management
13.8.1
Contractor Performance Evaluation
A
C
IR
(i)
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
39 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
/
Country Representative
Concerned
Task
Manager
Head of Human
Resources
Applicable HR Officer
Head of
Corporate
Services
Finance Director
Concerned
Consultant
Head of Legal
13.9
Payment Processing
A
C
A
I
13.10
Leave and other absences
A
(i)
I
13.11
Termination of Contract
(i)
A
40
C
I
A
41
13.12
Examination of Complaints
42
(i)R
R
IC
R
13.13
Annual Post Review of Consultant
Recruitment Processes
(i)
(i)
IA
(i)
R
40
For contracts with a cumulative value of USD 100,001 and above.
41
For contracts with a cumulative value of USD 100,000 or less.
42
To be handled in accordance with the procedures established in the Rules Concerning the Procedures for the Engagement and Use of Individual Consultants.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
40 | P a g e
V. AUDITING
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Country
Representative
Head of Internal Audit
Governance and Outreach
(for transmission to Audit
Focal Points
and MPSC
)
Annual Risk Assessment
A
(i)
C
I
(i)
Annual Audit Plan
A
(i)
C
I
(i)
Internal Audit Reports
A
C
(i)
(i)
(i)
(i)
I
(i)
Annual OIAI Activity Report
A
(i)
C
I
(i)
Special Investigations
A
I
(i)
Authority Codes
Initiate/Originate/Prepare
Recommend/Review
Clear
Approve
Sign
To be informed
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
41 | P a g e
VI. BUDGET
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Country
Representative
Govern
ance & Outreach
Head of Strategy &
Donor Relations
Finance Director
1.
Annual budget preparation
A
43
R
I/C
(i)
(i)
C
2.
Budget portion of Work Program and Budget
(WPB)
44
A
43
R
C
R
C
43
Authorization to submit to Council for approval.
44
Work Program portion of WPB to be prepared under direction of Strategy & Donor Relations as indicated in line item 7 of Part VIII Governance, Outreach
and Communications.
Authority Codes
I
Initiate/Originate/Prepare
R
Recommend/Review
C
Clear
A
Approve
S
Sign
(i)
To be informed
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
42 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned Unit Head
Concerned Country
Representative
Governance & Outreach
Head of Strategy &
Donor Relations
Finance Director
3.
Supplementary and revised budget preparation
3.1
Within approved budget limit
A
R
R
C
3.2
Above approved budget limit
A
45
R
R
C
4.
Budget Implementation / Transfers
4.1
Transfers between divisions
A
R
C
I
C
4.2
Transfers within a division
(i)
A
I
C
5.
Advances from the Working Capital Fund
46
A
R
(i)
C
6.
Monthly Budget Reporting
(i)
A
45
Approval of submission to Council.
46
Director-General to periodically report to Council advances made from the Working Capital Fund.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
43 | P a g e
VII. ADMINISTRATION
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Head of M&A
Concerned Director
Concerned Unit Head
Concerned Country
Representative
Concerned Task
Manager
Head of Strategy &
Donor Relations
Finance Director
1.
Institutional Arrangements / Financing
Agreements (loan or grant financing from GGGI)
AS
R
I
I
2.
Contribution / Funding Agreements (funds
coming into GGGI)
AS
R
I
3.
Defrayment of Attendance Costs
AS
I
4.
Arbitration and mediation services
(i)
AS
R
Authority Codes
I
Initiate/Originate/Prepare
R
Recommend/Review
C
Clear
A
Approve
S
Sign
(i)
To be informed
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
44 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Head of M&A
Concerned Director
Concerned Unit Head
Concerned Country
Representative
Concerned Task
Manager
/ Staff
Governance & Outreach
Finance Director
5.
Non-Disclosure/Confidentiality Agreements
AS
I
6.
Approvals under Guidance on Gift Acceptance
A
I
7.
Revising the organizational structure
IA
R
R
R
8.
Establishing management subcommittees
IA
(i)
R
9.
Communications with members, prospective
members and other parties relating to legal status,
privileges and immunities of GGGI and related
agreements
AS
(i)
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
45 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Head of M&A
Concerned Director
Concerned Unit Head
Concerned Country
Representative
Concerned Task
Manager
Governance & Outreach
Finance Director
Head of Legal
10.
Policy
10.1
Preparation and revision of regulations relating to
Management and Administration including, without
limitation, those related to Procurement, Finance,
Corporate Services, HR, Governance & Outreach and
Monitoring, Evaluation and Reporting (M&E)
A
47
(i)
I
I
(i)
R
10.2
Preparation and revision of rules relating to
Management and Administration including, without
limitation, those related to Procurement, Finance,
Corporate Services, HR, Governance & Outreach and
M&E
A
I
I
R
10.3
Preparation and revision of guidelines, manuals and
related procedures relating to Management and
Administration including, without limitation, those
related to Procurement, Finance, Corporate Services,
HR, Governance & Outreach and M&E
A
I
R
47
Authorization to submit to Council for approval.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
46 | P a g e
VIII. GOVERNANCE AND OUTREACH AND COMMUNICATIONS
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned
Division Head
Concerned Director
Concerned
Country
Representative /
Concerned
Manager
48
Head of Communications
Governance and
Outreach
Head of Strategy and
Donor Relations
Finance D
irector
Head of Legal
1.
Routine communications with current and
prospective members
49
AS
I
2.
Assembly and Council decisions and related
correspondence
A
CS
R
50
IC
51
C
3.
Non-routine communications with current or
prospective members
50
AS
R
(i)
I
(i)
48
Concerned Manager for projects or activities not under a country program.
49
Other than communications relating to legal status, privileges and immunities and related agreements (see Part VII Administration, line 9).
50
Concerned Division Heads to review underlying documentation, if any, that relates to their respective areas of responsibility.
51
Governance & Outreach to Clear where document not initiated by Governance & Outreach.
Authority Codes
I
Initiate/Originate/Prepare
R
Recommend/Review
C
Clear
A
Approve
S
Sign
(i)
To be informed
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
47 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned
Country
Representative /
Concerned
Manager
52
Head of Communications
Governance and Outreach
Head of
Strategy and
Donor Relations
Finance Director
Head of Legal
4.
Routine communication with current and
prospective donors
52
AS
C
I
5.
Non-routine communications with current or
prospective donors
53
AS
R
(i)
I
(i)
(i)
6.
Routine communication relating to project
operational activities with focal agencies/co-
implementers
(i)
A
IS
7.
Non-routine communication relating to project
operational activities with focal agencies/co-
implementers
(i)
(i)
AS
IC
I
(i)
(i)
8.
Publications and Communications with the
media and press
54
A
(i)
I
I
55
IC
9.
Annual Report
A
(i)
R
I
10.
Work Program portion of Work Program and
Budget (WPB)
56
A
(i)
R
I
R
52
Concerned Manager only for projects or activities not under a country program.
53
Other than communications relating to legal status, privileges and immunities and related agreements (see Part VII Administration, line 9).
54
The clearance of the Head of Communications is required for all communications with the media and the press.
55
For communications relating to project operational activities.
56
Budget portion of WPB to be prepared by Finance per line item 2, Section VI Budget.
DELEGATION OF AUTHORITY
Version 03 – Effective 1 September 2017
48 | P a g e
ACTION
Director
-General
Management Team
Deputy Director
-General
Concerned Division Head
Concerned Director
Concerned
Country
Representative
Head of Communications
Governance and
Outreach
Head of Strategy and
Donor Relations
Finance Director
Head of Legal
11.
Policy
11.1
Preparation and revision of governance / outreach
/ communications-related regulations
A
57
(i)
C
I
I
I
R
11.2
Preparation and revision of governance / outreach
/ communications-related rules
A
R
I
I
I
R
11.3
Preparation and revision of governance / outreach
/ communications-related guidelines, manuals and
related procedures
(i)
A
I
I
I
R
57
Authorization to submit to Council for approval.