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					  SCHEDULE OF DELEGATION




                   SECTION 7

SUB-DELEGATION ARRANGEMENTS




              Approved Issue 2.1

                     April 2006




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                                         CONTENTS


                                                                          Page
Explanatory Notes                                                         3

      High Risk Contracts                                                 4

      General Rules - Unbudgeted Costs/Matched Funding                    5
                    - Planned Losses/Cost Recovery Below                  5
                      Full Economic Cost
                    - Exceptional Staff Payments                          5
                    - Legal Framework                                     5

   1. Extract from Schedule of Delegation Section 7 – June 2004           6

   2. Notes                                                               7

   3. Confidentiality Agreements                                          7

   4. Commercial Proposal Form                                            7

   5. Commercial Contracts                                                8

   6. Collaboration Agreements                                            9

   7. European Consortium Agreements                                      10

   8. Commercial/Research/EU Sub-Contract Agreements                      11

   9. European Funded Applications, Awards & Contracts                    12

   10. Research Grant Funded Applications & Contracts                     13

   11. Commercial Outcome Funding Applications, Awards & Contracts        15

   12. Commercialisation Agreements                                       16

   13. Knowledge Transfer Partnerships                                    16

   14. Licence/Royalty Agreements                                         18

   15. Intellectual Property Assignation Agreements                       18

   16. Grant & Other Funding Bids                                         19

   Appendix 1 – Contacts                                                  20

   Appendix 2 – Level 2 Budget Holders                                    21




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                       SCHEDULE OF DELEGATION – SECTION 7
                         SUB-DELEGATION ARRANGEMENTS

EXPLANATORY NOTES

Background
In June 04, Court approved a new schedule of delegation setting out its relationship with the
Principal. (currently under review for reissue March 2006).

Section 7 and note l of that document, set out the conditions under which Court expect us to
operate in respect of new business contracts (including research grants, commercial
contracts, European projects and other funding bids). It is not proposed that any
amendments to Section 7 will be made.

The following document and appendixes set out the sub-delegation arrangements which will
operate across the range of our activities and provide guidance on implementation. Acting
outwith the attached delegated authority without formal approval will normally be deemed a
disciplinary offence.

£nil to £150k
In general, under the new arrangements, Level 2 budget holders have full devolved
responsibilities for contracts below £150k for new business contracts (including costing,
pricing, assessing the financial viability and other risks of the project and delivering the
agreed surplus levels), provided all contracts are routed through the Business Appraisal
Office or the other applicable areas as identified in the appropriate section of the attached
document.

The Level 2 budget holders cannot delegate their authority below this level, unless through
formal acting up arrangements to cover illness, holiday cover or extended absence from the
University or where identified as otherwise in the attached document setting out the
arrangements for each business stream.

No-one below the level of Level 2 budget holder has the authority to commit the University
contractually (either in writing or verbally) except where this is defined otherwise within the
attached document or under formal acting up arrangements.

Expert financial and contractual input during the contract negotiation phase can be obtained
from the Business Appraisal Office as required.

£150k to £500k
In general, contracts valued between £150k and £500k must be approved by the Level 2
budget holder (who will continue to have full financial accountability for the project).
However, additionally projects between £150k to £500k must have had expert financial and
contractual input from the Business Appraisal Office, the Research Office or the European
Office where applicable to the business type, during the contract negotiation phase and the
proposal/application should be approved by the Director of Finance or the relevant approved
signatory as identified in the attached document, before the contractual obligations are
finalised.

The authorised signatory cannot delegated below the approved levels, unless through
formal acting up arrangements to cover illness, holiday cover or extended absence from the
University.




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 >£500k
Notification of any contracts above £500k must be advised in advance to the Principal,
subject to the same prior sign off chain and conditions as for contracts below £500k, unless
otherwise identified in the attached document.

HIGH RISK CONTRACTS
The exception to these general rules is any identified high risk contract. Any potential high
risk contract should have a risk assessment carried out and included in the approval
paperwork with the business plan. This full pack of

High risk categories include :-
*       overseas projects, collaboration agreements and EU projects where Napier is the
Lead (the University Secretary shall be notified of any high risk projects prior to signature by
the approved signatory as detailed within, having first been reviewed by all the specialist
approvers as detailed in the sub-delegation schedule attached).

*       any project which could otherwise damage the reputation of the University (for
example, a contract which is inconsistent with the University's declared values or otherwise
has potential ethical considerations, conflicts with other activities the University is engaged
in, or has the potential to under-mine the University's existing partner relationships). All high
risk projects which could damage the reputation of the University must be notified to the
University Secretary for final approval before any commitment is made on behalf of the
University.

The above categorisation is illustrative only and is not intended to be an exhaustive list.

Proposal originators should note that it is their responsibility to identify clearly all foreseeable
risks within a project, including those where the risk might be low but the potential damage
considerable, and to ensure that if there is any doubt, the contract and risk analysis is
brought to the attention of the signatory and the University Secretary.

Reviewers (including the Level 2 budget holder, the Business Appraisal Manager, Research
Officer, EU Office, Director of Finance, other specialist signatories as detailed in the sub-
schedule) as appropriate should clearly identify any additional risks identified during their
review process. Co-ordination of the approvals for high risk categories will be co-ordinated
by the main reviewer for each business type. These are:

Research – Research Officer
Non-Research European – EU Office
Commercial and Other – Business Appraisal Manager

The University Secretary will be the final arbiter of whether the identified risks require
approval from :-

a) the Principal; or
b) Court (under the categories of reserved business as detailed in the Main Schedule of
Delegation)




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GENERAL RULES - UNBUDGETED COSTS/MATCHED FUNDING
In all cases, it is the Level 2 budget holder's responsibility to ensure that all costs and
matched funding requirements are identified before any contractual commitment is entered
into and that other budget holders affected by the proposal are consulted and are content
with the proposal (eg Director of Facilities re: estates; University Secretary re: C&IT, Director
of HR re: personnel related, etc).

In all cases the signature of the Level 2 budget holder generating the new business proposal
will be taken to signify that they are responsible for having fully considered, consulted with
and agreed the way forward with other budget holders affected by the proposal. They will
be taking budgetary responsibility for any unresolved/unidentified costs or matched funding
requirements.

GENERAL RULES - PLANNED LOSSES/COST RECOVERY BELOW FULL ECONOMIC
COST
In line with the government's requirements for funding transparency and full economic
costing, as a general rule, all projects should demonstrate that they will at least cover their
full economic costs. For commercial this is currently defined as making a minimum 40%
surplus after all direct costs. This definition may be refined as the University further refines
its systems for measuring full economic costing across all business types.

In cases where full economic costs are not fully covered the proposal must clearly identify
where the shortfall will be funded from – e.g. planned above 40% recovery on another
project.

GENERAL RULES - EXCEPTIONAL STAFF PAYMENTS
In any case where exceptional staff payments are being made, these should be the
minimum necessary to ensure the work is progressed.

The Level 2 budget holder, by approving any exceptional payments, takes full responsibility
for the payment and must have adequate monitoring systems in place and hold adequate
records to be able to demonstrate to auditors if necessary that the additional payments were
genuinely for work undertaken for activities other than normal contracted duties and do not
exceed the market rate for external contractors.

Staff payments to any individual in any tax year in excess of £5k must be approved in
advance by the Director of Human Resources. All exceptional payments will be reported
monthly by Human Resources to the Principal.

GENERAL RULES - LEGAL FRAMEWORK
Prior written approval from the Director of the Secretariat must be obtained prior to entering
into discussions to contract in a law other than the Laws of Scotland or the Laws of England
& Wales.

All contracts governed by non-UK law, must be reviewed by the University's lawyers prior to
signature. This will be facilitated by the Business Appraisal Manager.

Any non-standard contracts must be approved by the Business Appraisal Office.


Joan Stringer
Principal
January 2006



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1.       EXTRACT FROM SCHEDULE OF DELEGATION SECTION 7
Delegated Authority Section 7. New Business Contracts

Categories of Contractual or quasi-contractual       Suggested Authority                    Notes
arrangements


7.       New Business Contracts

7.1      All new business contracts               Principal                                          l
         (including commercial research,
         consultancy contacts, grants,
         collaborative agreements,
         agreements to provide training to other
         agencies, and other funding bids and
         covering renewal, extensions of existing
         arrangements where a new legal
         obligation is being entered into)

Notes:

l     Full delegation is granted on the basis that Court expects that in all cases :-

      i) the business case will be properly assessed before any contractual commitment is entered
           into, including a full assessment of the project risks, both reputational and financial.
      ii) the full costs of the project will be identified, including any matched funding costs, any
            additional overhead cost, including estates costs.
      iii) where a new business proposal would commit the university to additional costs, the contract
            will not be signed until a decision has been made about where these additional costs are to
            be funded from.
      iv) all contracts would normally be expected to make an appropriate contribution to central
            university overheads in accordance with university policy and the University Finance
            Strategy, although the Principal has authority to chose to cross subsidise projects within the
            overall budgetary limits agreed annually by the Court as outlined in Appendix C.
      v) a legal opinion must be sought on all non standard contracts.

2.       NOTES:
         Sub-Delegation of Section 7- New Business Contracts

         Definitions:
         Issuers – these is the person or department co-ordinating the proposal/application/contract.
         Approvers – these are required to review the proposal/application/contract along with all risk
         assessments and business plans to allow the Signatory to take a valued judgement on
         whether signature is appropriate or further review is required.
         Signatories – this is the person who has to provide a signature to go ahead on a
         proposal/application or to sign the Contract on behalf of the University. The final decision on
         approval rests with the Signatory.

         All Agreements will have to complete the appropriate checklist for the areas they apply.
         Proposal forms and/or the appropriate business plans for all Agreements with financial
         implications (including any match-funding arrangements and risk assessment) will require
         completion and approval prior to or in parallel to any contract negotiation.

         Main signatories are the primary point of contact for normal business. Where the main
         signatory is going to be absent from the University for a long period of time, eg holidays,
         business trips etc, alternative arrangements must be made for signature. Formal acting up



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      arrangements will apply. Any alternative arrangements must be advised in advance to the
      Business Appraisal Manager.

      A full assessment of financial, legal and reputational risk should be clearly identified in
      paperwork for approval using the standard risk assessment form. If any high risk elements
      are identified by any reviewer, then the University Secretary must be notified and any
      additional approval may be sought at the discretion of the University Secretary.

      Where the new business contract does not fit into any of the areas identified in the following
      schedule, advice on signatories and approvals can be obtained from the Business Appraisal
      Manager.

3.    CONFIDENTIALITY AGREEMENTS

3.1   Type of Agreement: Napier Standard Confidentiality Agreement
      (as available from the Business Appraisal Office intranet site)

      To be issued by:                           Business Appraisal Office

      Main Signatories (only one required):      Level 2 Budget Holders
                                                 Head of School/Department
                                                 IP Commercialisation Manager
                                                 Business Appraisal Manager

      One original of signed document to be sent to Business Appraisal Office. One original to be
      retained/returned to Client/External Party. A copy to be retained by NU signatory.

3.2   Type of Agreement:        Napier Non-Standard Confidentiality Agreement
                                (where the client/funder provides terms, drafts or changes to the
                                Napier Standard Agreement)

      To be approved & issued by:                Business Appraisal Office (with advice from Lawyers
                                                 where required)

      Main Signatories (only one required):      Level 2 Budget Holders
                                                 Business Appraisal Manager

      One original of signed document to be sent to Business Appraisal Office. One original to be
      retained/returned to Client/External Party. A copy to be retained by NU signatory.

4.    COMMERCIAL PROPOSAL FORM
4.1   Type of Agreement:        Commercial Proposal Form (internal document)

      All proposals issued for approval prior to commencement of any work and initiating of any
      contract negotiation with the external party. The process for completing and approval of
      these documents can be found on the Finance intranet site. Only once this approval has
      been provided to the Proposer, the quotation can be provided to the external party by the
      Proposer for the next stage of the process. All quotations issued (verbally or written) should
      state that acceptance will be subject to all parties acceptance to appropriate terms and
      conditions.

      All proposals which include exceptional payments to staff or show less than 40% URI must
      also be approved by the Head of School and Level 2 Budget Holder.

      Gross Income up to £20K:
      To be issued by:                           Proposer

      To be approved by:                         Proposer
                                                 Business Appraisal Manager


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      Gross Income between £20K and £50K:
      To be issued by:                  Proposer

      To be approved by:                       Proposer
                                               Head of School/Department
                                               Business Appraisal Manager

      Gross Income between £50K and £150K:
      To be issued by:                  Proposer

      To be approved by:                       Proposer
                                               Head of School/Department
                                               Level 2 Budget Holder
                                               Business Appraisal Manager

      Gross Income over £150K:
      To be issued by:                         Proposer

      To be approved by:                       Proposer
                                               Head of School/Department
                                               Level 2 Budget Holder
                                               Business Appraisal Manager
                                               Director of Finance (on the recommendation of
                                               Business Appraisal Manager)

5.    COMMERCIAL CONTRACTS
5.1   Type of Agreement: Napier Commercial Contracts – Up to an Income Value of £150K

      To be approved by:                       Business Appraisal Office

      Main Signatories (only one required):    Level 2 Budget Holders
                                               Business Appraisal Manager

      One original of signed document to be retained by Business Appraisal Office for storage &
      Agresso logging. One original to be retained/returned to Client/External Party. Copies to be
      sent to Head of School/Department and Project Manager.

      Notes: This level of delegated authority is only provided on the basis that all Contracts are
             reviews by the Business Appraisal Office prior to signature and proposals have been
             approved by the appropriate authority as per Section 4.

5.2   Type of Agreement: Napier Commercial Contracts – Income Value between £150K and
      £500K

      To be approved by:                       Business Appraisal Office (with advice from lawyers
                                               where required)
                                               Level 2 Budget Holder

      Signatory:                               Vice-Principal (Research, Commercialisation &
                                               Knowledge Transfer)

      One original of signed document to be retained by Business Appraisal Office for storage &
      Agresso logging. One original to be retained/returned to Client/External Party.
      Copies to be sent to Head of School/Department and Project Manager.




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5.3   Type of Agreement: Napier Commercial Contracts – Income Value over £500K

      To be approved by:                         Business Appraisal Office (with advice from lawyers
                                                 where required) – Approval of Director of Finance
                                                 and VP (R, C & KT) to be sought by Business
                                                 Appraisal Manager.
                                                 Level 2 Budget Holder

      Signatory:                                 Principal (on the recommendation of Business
                                                 Appraisal Manager)

      One original of signed document to be retained by Business Appraisal Office for storage &
      Agresso logging. One original to be retained/returned to Client/External Party.
      Copies to be sent to Head of School/Department and Project Manager.

6.    COLLABORATION AGREEMENTS
      Under Review by Collaborative Provision Committee. Section 6 subject to change.

6.1   Type of Agreement: Collaboration Agreements for Programmes

      Programmes as covered by the QES Quality Framework (Section A8: Collaborative
      programmes)

      To be issued by:                           Proposer (with approval from Proposing Department
                                                 Head)
      To be approved in parallel by:             Level 2 Budget Holder(s)
                                                 Vice Principals
                                                 Director of Finance (on recommendation of Business
                                                 Appraisal Manager)
                                                 Director of Quality Enhancement Services
                                                 Head of International (for overseas programmes)

      All comments from approvers to be sent back to the Proposer. These comments should be
      collated by the proposer and accompany the final signature documents to the University
      Secretary for review and approval before being passed to the Principal for signature.

      Signatories (both required):               University Secretary
                                                 Principal

      Copies to be sent to Head of School/Department, Business Appraisal Office and Project
      Manager.

      Note: A full assessment of financial, legal and reputational risk should be clearly identified
      in paperwork for approval.

6.2   Type of Agreement: Collaboration Agreements for Non-Programme Activity

      All non-programme collaborative arrangements which are not covered by the QES Quality
      Framework.

      To be issued by:                           Proposer (with approval from Proposing Department
                                                 Head)
      To be approved in parallel by:             Level 2 Budget Holder (s)
                                                 Vice Principals
                                                 Director of Finance (on recommendation of Business
                                                 Appraisal Manager)




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      All comments to be sent back to the Proposer. These comments should be collated by the
      proposer and accompany the final signature documents to the University Secretary for review
      and approval before passed to the Principal for signature.

      Signatories (both required):               University Secretary
                                                 Principal

      Copies to be sent to Head of School/Department, Business Appraisal Office and Project
      Manager.

      Note: A full assessment of financial, legal and reputational risk should be clearly identified
      in paperwork for approval.

7.    EUROPEAN - CONSORTIUM AGREEMENTS BETWEEN
      COLLABORATORS
      Agreements between the collaborating parties, not the agreement with the funder.

      Including:      Framework 5, 6 & 7 Programmes
                      Letter of Intent/Commitment/Award between partners on EU Programmes

      Income limits correspond to the Napier University element of the Consortium unless Napier is
      the lead party.

      Note: A full assessment of financial, legal and reputational risk should be clearly identified
      in paperwork for approval. Any high risk elements identified, then approval must be sought in
      line with the authority of over £500K, below.

7.1   Type of Agreement: European Consortium Agreements – Up to £500K

      To be approved by:                         Level 2 Budget Holder

      To be approved & issued by:                Business Appraisal Office (with advice from Lawyers
                                                 & Research Office where required)

      Signatory:                                 Vice-Principal (Research, Commercialisation &
                                                 Knowledge Transfer)

      One original of signed document to be retained by Business Appraisal Office for storage &
      Agresso logging. One original to be retained/returned to each Collaborator. Copies to be
      sent to Research Office, Head of School/Department and Project Manager.

7.3   Type of Agreement: European Consortium Agreements – Over £500K

      To be approved by:                         Level 2 Budget Holder

      To be approved & issued by:                Business Appraisal Office (with advice from Lawyers
                                                 & Research Office where required)
                                                 Vice-Principal (Research, Commercialisation &
                                                 Knowledge Transfer)

      Signatory:                                 Principal (on recommendation of Business Appraisal
                                                 Manager)

      One original of signed document to be retained by Business Appraisal Office. One original to
      be retained/returned to each Collaborator. Copies to be sent to Research Office, Head of
      School/Department and Project Manager.




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8.    COMMERCIAL/RESEARCH/EU SUB-CONTRACT AGREEMENTS
      Sub-Contract Agreements for Research, Commercial and European projects. Funding for the
      sub-contract element must already have been approved under the main project approval
      process.

      One original of signed document to be retained by Business Appraisal Office. One original to
      be retained/returned to Client/External Party. Copies to be sent to Purchasing, Research
      Office (where applicable), Head of School/Department and Project Manager.

8.1   Type of Agreement: Commercial/Research Sub-Contract Agreements – Up to £150K

      To be approved by:                          Research Office (where Research Sub-Contract)
                                                  Business Appraisal Office (with advice from Lawyers
                                                  where required)
                                                  LLL/EU Office (where EU Sub-Contract)
                                                  Proposer
                                                  Head of School/Department

      To be issued by:                            Business Appraisal Office

      Signatory:                                  Business Appraisal Manager

8.2   Type of Agreement: Commercial/Research Sub-Contract Agreements – between
      £150K and £500K

      To be approved by:                          Research Office (where Research Sub-Contract)
                                                  Business Appraisal Office (with advice from Lawyers
                                                  where required)
                                                  LLL/EU Office (where EU Sub-Contract)
                                                  Proposer
                                                  Head of School/Department
                                                  Level 2 Budget Holder

      To be issued by:                            Business Appraisal Office

      Signatory:                                  Vice-Principal (Research, Commercialisation &
                                                  Knowledge Transfer)

8.3   Type of Agreement: Commercial/Research Sub-Contract Agreements – over £500K

      To be approved by:                          Research Office (where Research Sub-Contract)
                                                  Business Appraisal Office (with advice from Lawyers
                                                  where required)
                                                  LLL/EU Office (where EU Sub-Contract)
                                                  Proposer
                                                  Head of School/Department
                                                  Level 2 Budget Holder
                                                  Vice-Principal (Research, Commercialisation &
                                                  Knowledge Transfer)

      To be issued by:                            Business Appraisal Office

      Signatory:                                  Principal

      One original of signed document to be retained by Contracts. One original to be
      retained/returned to Client/External Party.
      Copies to be sent to Purchasing, Research Office (where applicable), Head of
      School/Department and Project Manager.



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9.    EUROPEAN FUNDED APPLICATIONS, AWARDS & CONTRACTS
      For non-research projects, e.g. ESF, ESRDF
      Excludes:      European Framework 5, 6 & 7 Programmes
                     European Programmes administered by the Research Office

9.1   Type of Agreement: European Funded Applications, Awards & Contracts – up to
      £250K

      To issued by:                               LLL/EU Office (with advice from Contracts where
                                                  required – conditions of funders to be reviewed and
                                                  pre-approved, any additional T&C’s or changes
                                                  require to be approved by Business Appraisal Office
                                                  prior to Application process.)

      To be approved by:                          Level 2 Budget Holder

      Signatory:                                  Vice-Principal (Research, Commercialisation &
                                                  Knowledge Transfer)

      One original of signed document to be retained by LLL/EU Office. One original to be
      retained/returned to Client/External Party.
      Copies to be sent to Project Manager, Business Appraisal Office and Finance Department.

      Note:   Match funding must be in place for this approval level, if not, then approval must be
              sought in line with the authority of over £500K, below.
      Note:   A full assessment of financial, legal and reputational risk should be clearly identified
              in approval paperwork. Any high risk elements identified, then approval must be
              sought in line with the authority of over £500K, below.

9.2   Type of Agreement: European Funded Applications, Awards & Contracts – between
      £250K and £500K

      To be issued by:                            LLL/EU Office (with advice from Contracts where
                                                  required – conditions of funders to be reviewed and
                                                  pre-approved, any additional T&C’s or changes
                                                  require to be approved by Business Appraisal Office
                                                  prior to Application process.)

      To be approved by:                          Level 2 Budget Holder
                                                  Director of Finance (on recommendation of Business
                                                  Appraisal Manager)

      Signatory:                                  Vice-Principal (Research, Commercialisation &
                                                  Knowledge Transfer)

      One original of signed document to be retained by LLL/EU Office. One original to be
      retained/returned to Client/External Party.
      Copies to be sent to Project Manager, Business Appraisal Office and Finance Department.

      Note:   Match funding must be in place for this approval level, if not, then approval must be
              sought in line with the authority of over £500K, below.

              A full assessment of financial, legal and reputational risk should be clearly identified
              in paperwork for approval. Any high risk elements identified, then approval must be
              sought in line with the authority of over £500K, below.




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9.3    Type of Agreement: European Funded Applications, Awards & Contracts – Over
       £500K

       To be issued by:                            LLL/EU Office (with advice from Contracts where
                                                   required – conditions of funders to be reviewed and
                                                   pre-approved, any additional T&C’s or changes
                                                   require to be approved by Business Appraisal Office
                                                   prior to Application process.)

       To be approved by:                          Level 2 Budget Holder
                                                   Vice-Principal (Research, Commercialisation &
                                                   Knowledge Transfer)
                                                   Director of Finance (on recommendation of Business
                                                   Appraisal Manager)

       Signatory:                                  Principal

       One original of signed document to be retained by EU Office. One original to be
       retained/returned to Client/External Party.
       Copies to be sent to Project Manager, Business Appraisal Office and Finance Department.

       Note:   A full assessment of financial, legal and reputational risk should be clearly identified
               in paperwork for approval.

10.    RESEARCH GRANT FUNDED APPLICATIONS & CONTRACTS
       Projects administered via the Research Office
       Excluding:      Knowledge Transfer Partnership Programmes
                       Non-Framework EU Programmes administered by LLL/EU Office

10.1   Type of Agreement: Research Grant Funded Applications & Contracts – under £250K

       To be approved by:                          Research Office (with review of T&C’s by Business
                                                   Appraisal Office - conditions of funders to be
                                                   reviewed and pre-approved, any additional T&C’s or
                                                   changes require to be approved by Business
                                                   Appraisal Office prior to Application process.)
                                                   Head of School/Department/Service

       Applications to be issued by:               Proposer/Applicant
                                                   Research Office

       Contracts or Awards to be issued by:        Research Office (with review of T&C’s by Business
                                                   Appraisal Office where applicable)

       Main Signatory of Applications:             Research Officer
       Main Signatory of Contracts/Awards:         Research Officer

       One original of signed document to be retained by Research Office. One original to be
       retained/returned to Client/External Party.
       Copies to be sent to Project Manager and Finance Department.

       Note:   A full assessment of financial, legal and reputational risk should be clearly identified
               in paperwork for approval. Any high risk elements identified, then approval must be
               sought in line with the authority of over £500K, below.




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10.2   Type of Agreement: Research Grant Funded Applications & Contracts – between
       £250K and £1,000K

       To be approved by:                        Research Office (with review of T&C’s by Business
                                                 Appraisal Office - conditions of funders to be
                                                 reviewed and pre-approved, any additional T&C’s or
                                                 changes require to be approved by Business
                                                 Appraisal Office)
                                                 Level 2 Budget Holder
                                                 Head of School/Department/Service

       Applications to be issued by:             Proposer/Applicant
                                                 Research Office

       Contracts or Awards to be issued by:      Research Office (with review of T&C’s by Business
                                                 Appraisal Office where applicable)

       Signatory of Applications:                Vice-Principal (Research, Commercialisation &
                                                 Knowledge Transfer)
       Signatory of Contracts/Awards:            Vice-Principal (Research, Commercialisation &
                                                 Knowledge Transfer)

       One original of signed document to be retained by Research Office. One original to be
       retained/returned to Client/External Party.
       Copies to be sent to Project Manager and Finance Department.

       Note:   A full assessment of financial, legal and reputational risk should be clearly identified
               in paperwork for approval. Any high risk elements identified, then approval must be
               sought in line with the authority of over £1,000K, below.

10.4   Type of Agreement: Research Grant Funded Applications & Contracts – over £1,000K

       To be approved by:                        Research Office (with review of T&C’s by Business
                                                 Appraisal Office - conditions of funders to be
                                                 reviewed and pre-approved, any additional T&C’s or
                                                 changes require to be approved by Business
                                                 Appraisal Office)
                                                 Level 2 Budget Holder
                                                 Head of School/Department/Service
                                                 Vice-Principal (Research, Commercialisation &
                                                 Knowledge Transfer)
                                                 Director of Finance

       Applications to be issued by:             Proposer/Applicant
                                                 Research Office

       Contracts or Awards to be issued by:      Research Office (with review of T&C’s by Business
                                                 Appraisal Office where applicable)

       Signatory of Applications:                Principal
       Signatory of Contracts/Awards:            Principal

       One original of signed document to be retained by Research Office. One original to be
       retained/returned to Client/External Party.
       Copies to be sent to Project Manager and Finance Department.

       Note:   A full assessment of financial, legal and reputational risk should be clearly identified
               in paperwork for approval.




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11.    COMMERCIAL OUTCOME FUNDING APPLICATIONS, AWARDS AND
       CONTRACTS
11.1   Type of Agreement: Commercial Outcome Funding Applications, Awards and
       Contracts – Up to £150K (eg SE Proof Of Concept, RSE Fellowships, SMART, SCORE,
       SCOPE)

       To be approved by:                          Head of IP Commercialisation
                                                   Business Appraisal Office
                                                   Head of School/Department
                                                   Level 2 Budget Holder

       To be issued by:                            Proposer/Applicant
                                                   Head of IP Commercialisation

       Signatory of Applications:                  Head of IP Commercialisation
       Signatory of Contracts/Awards:              Head of IP Commercialisation

       One original of signed document to be retained by Business Appraisal Office for storage &
       Agresso logging. One original to be retained/returned to Client/External Party.
       Copies to be sent to Head of School/Department, Project Manager and Finance.

       Note:   Match funding must be in place for this approval level, if not, then approval must be
               sought in line with the authority of over £500K, below.

               A full assessment of financial, legal and reputational risk should be clearly identified
               in paperwork for approval. Any high risk elements identified, then approval must be
               sought in line with the authority of over £500K, below.

11.2   Type of Agreement: Commercial Outcome Funding Applications, Awards and
       Contracts – between £150K and £500K (eg SE Proof Of Concept, RSE Fellowships,
       SMART, SCORE, SCOPE)

       To be approved by:                          Head of IP Commercialisation
                                                   Business Appraisal Office
                                                   Head of School/Department
                                                   Level 2 Budget Holder

       To be issued by:                            Proposer/Applicant
                                                   Head of IP Commercialisation

       Signatory of Applications:                  Vice-Principal (Research, Commercialisation &
                                                   Knowledge Transfer)
       Signatory of Contracts/Awards:              Vice-Principal (Research, Commercialisation &
                                                   Knowledge Transfer)

       One original of signed document to be retained by Business Appraisal Office. One original to
       be retained/returned to Client/External Party.
       Copies to be sent to Head of School/Department, Project Manager and Finance.

       Note:   Match funding must be in place for this approval level, if not, then approval must be
               sought in line with the authority of over £500K, below.

       Note:   A full assessment of financial, legal and reputational risk should be clearly identified
               in paperwork for approval. Any high risk elements identified, then approval must be
               sought in line with the authority of over £500K, below.




                          e1ffa8ad-66d9-4611-85e5-6f9e2f3770a3.doc    Page 15
11.3   Type of Agreement: Commercial Outcome Funding Applications, Awards and
       Contracts – over £500K (eg SE Proof Of Concept, RSE Fellowships, SMART, SCORE,
       SCOPE)

       To be approved by:                          Head of IP Commercialisation
                                                   Business Appraisal Office
                                                   Head of School/Department
                                                   Level 2 Budget Holder
                                                   Vice-Principal (Research, Commercialisation &
                                                   Knowledge Transfer)
                                                   Director of Finance (on recommendation of Business
                                                   Appraisal Manager)

       To be issued by:                            Proposer/Applicant
                                                   Head of IP Commercialisation

       Signatory of Applications:                  Principal
       Signatory of Contracts/Awards:              Principal

       One original of signed document to be retained by Business Appraisal Office. One original to
       be retained/returned to Client/External Party.
       Copies to be sent to Head of School/Department, Project Manager and Finance.

       Note:   A full assessment of financial, legal and reputational risk should be clearly identified
               in paperwork for approval.

12.    COMMERCIALISATION AGREEMENTS
12.1   Type of Agreement: Commercialisation Agreements (incl. Option Agreements)

       To be approved by:                 Head of IP Commercialisation
                                          Business Appraisal Office (with advice from Lawyers where
                                          required)
                                          Level 2 Budget Holder

       To be issued by:                   Business Appraisal Office
                                          Head of IP Commercialisation

       Signatory:                         Vice-Principal (Research, Commercialisation & Knowledge
                                          Transfer)

       One original of signed document to be retained by Business Appraisal Office for storage &
       Agresso logging. One original to be retained/returned to Client/External Party.
       Copies to be sent to Project Manager and Finance Department (where applicable).

13.    KNOWLEDGE TRANSFER PARTNERSHIPS

13.1   Type of Agreement: Knowledge Transfer Partnership IPR Agreements &
       Confidentiality Agreements

       To be approved by:                 KT Partnership Ambassador
                                          Business Appraisal Office (with advice from Lawyers where
                                          required)

       To be issued by:                   Research & Knowledge Transfer Office

       Signatory:                         Head of IP Commercialisation




                          e1ffa8ad-66d9-4611-85e5-6f9e2f3770a3.doc    Page 16
       One original of signed document to be retained by Research & Knowledge Transfer Office.
       One original to be retained/returned to Client/External Party.
       Copies to be sent to Project Manager, Business Appraisal Office and Finance Department.

13.2   Type of Agreement: Knowledge Transfer Partnership Applications &
       Awards/Contracts – Up to £250K

       To be approved by:                 KT Partnership Ambassador
                                          Head of IP Commercialisation
                                          Head of School/Department/Service
                                          East of Scotland KTP Centre
                                          Level 2 Budget Holder

       To be issued by:                   Research & Knowledge Transfer Office

       Signatory:                         Head of IP Commercialisation

       One original of signed document to be retained by Research & Knowledge Transfer Office.
       One original to be retained/returned to Client/External Party.
       Copies to be sent to Project Manager, Business Appraisal Office and Finance Department.

13.3   Type of Agreement: Knowledge Transfer Partnership Applications &
       Awards/Contracts – Between £250K and £500K

       To be approved by:                 KT Partnership Ambassador
                                          Head of IP Commercialisation
                                          Head of School/Department/Service
                                          East of Scotland KTP Centre
                                          Level 2 Budget Holder

       To be issued by:                   Research & Knowledge Transfer Office

       Signatory:                         Vice-Principal (Research, Commercialisation & Knowledge
                                          Transfer)

       One original of signed document to be retained by Research & Knowledge Transfer Office.
       One original to be retained/returned to Client/External Party.
       Copies to be sent to Project Manager, Business Appraisal Office and Finance Department.

13.4   Type of Agreement: Knowledge Transfer Partnership Applications &
       Awards/Contracts – Over £500K

       To be approved by:                 KT Partnership Ambassador
                                          Head of IP Commercialisation
                                          Head of School/Department/Service
                                          Level 2 Budget Holder
                                          East of Scotland KTP Centre
                                          Vice-Principal (Research, Commercialisation & Knowledge
                                          Transfer)
                                          Director of Finance (on recommendation of Business
                                          Appraisal Manager)

       To be issued by:                   Research & Knowledge Transfer Office

       Signatory:                         Principal

       One original of signed document to be retained by Research & Knowledge Transfer Office.
       One original to be retained/returned to Client/External Party.
       Copies to be sent to Project Manager, Business Appraisal Office and Finance Department.



                          e1ffa8ad-66d9-4611-85e5-6f9e2f3770a3.doc   Page 17
14.    LICENCE/ROYALTY AGREEMENTS
14.1   Type of Agreement: Licence/Royalty Agreement

       To be approved by:                 Head of IP Commercialisation
                                          Business Appraisal Office (with advice from Lawyers where
                                          required)
                                          Level 2 Budget Holder

       To be issued by:                   Business Appraisal Office
                                          Head of IP Commercialisation

       Signatory:                         Vice-Principal (Research, Commercialisation & Knowledge
                                          Transfer)

       One original of signed document to be retained by Business Appraisal Office. One original to
       be retained/returned to Client/External Party.
       Copies to be sent to Level 2 Budget Holder and Finance Department (where applicable).

15.    INTELLECTUAL PROPERTY ASSIGNATION AGREEMENTS
15.1   Type of Agreement: IP Assignation Agreements (Member of Staff to Napier)

       To be approved by:                 Head of IP Commercialisation
                                          Head of School/Department/Service
                                          Business Appraisal Office (with advice from Lawyers where
                                          required)

       Signatory:                         Head of IP Commercialisation

       One original of signed document to be retained by Business Appraisal Office. One original to
       be retained/returned to Client/External Party.
       A copy to be sent to Level 2 Budget Holder.

15.2   Type of Agreement: IP Assignation Agreements (Napier to any Other Party)

       To be approved by:                 Head of IP Commercialisation
                                          Head of School/Department/Service
                                          Business Appraisal Office (with advice from Lawyers where
                                          required)

       Signatory:                         Vice-Principal (Research, Commercialisation & Knowledge
                                          Transfer)

       One original of signed document to be retained by Business Appraisal Office. A copy to be
       sent to Level 2 Budget Holder.




                          e1ffa8ad-66d9-4611-85e5-6f9e2f3770a3.doc   Page 18
16.    GRANT & OTHER FUNDING BIDS
16.1   Type of Agreement: Grant & Other Funding Bids – Research & Knowledge Transfer
       Related (eg, Scottish Enterprise or SEEL technology grants/initiatives, funding from other
       bodies not cover in preceding document which are research & knowledge transfer related)

       To be co-ordinated by:           Research & Knowledge Transfer Office

       To be Circulated to:             Vice Principals
                                        University Secretary
                                        Director of Finance

       To be approved by:               Vice-Principal (Research, Commercialisation & Knowledge
                                        Transfer)

       Signatory:                       Principal

       Note:   Match funding, where required, must be in place or otherwise approved by Director of
               Finance.
       One original of signed document to be retained by Research & Knowledge Transfer Office.
       Copies to be sent to Level 2 Budget Holder, Business Appraisal Office and Finance.

16.2   Type of Agreement: Grant & Other Funding Bids - Non Research/Knowledge
       Transfer Related (eg, Strategic Research Infrastructure Funding (SRIF), non-standard
       Scottish Funding Council (SFC) funding, Learning & Teaching Infrastructure Fund (LTIF),
       funding from other bodies not cover in preceding document which are non-
       research/knowledge transfer related)

       To be co-ordinated by:           Planning & Intelligence

       To be Circulated to:             Vice Principals
                                        University Secretary
                                        Director of Finance

       To be approved by:               Vice Principal (Academic Quality & Customer Services)

       Signatory:                       Principal

       Note:   Match funding, where required, must be in place or otherwise approved by Director of
               Finance.
       One original of signed document to be retained by Planning & Intelligence.
       Copies to be sent to Level 2 Budget Holder, Business Appraisal Office and Finance.




                        e1ffa8ad-66d9-4611-85e5-6f9e2f3770a3.doc   Page 19
                                             APPENDIX 1

                                             CONTACTS

Any queries on the sub-delegated authority for Section 7 should initially be send to:


Lynne Blackett
Business Appraisal Manager
Business Appraisal Office
Napier University
731, New Craigs
Craighouse Campus
Edinburgh, EH10 5LG

Tel: +44 (0) 131 455 6124
Fax: +44 (0) 131 455 6245
E-Mail: L.Blackett@Napier.ac.uk

Document and form downloads are available from the Business Appraisal Office intranet site and
public folders.



Business Type Specific Contacts:

Research Office:

Colette Pemberton
Research Officer
Napier University

Tel: +44 (0) 131 455 2499
E-Mail: C.Pemberton@Napier.ac.uk

European Office:

Marjorie McEwan
European Projects Finance Manager
Napier University

Tel: +44 (0) 131 455 6341
E-Mail: M.McEwan@Napier.ac.uk

Commercial and Other:

Lynne Blackett
Business Appraisal Manager
Napier University

Tel: +44 (0) 131 455 6124
E-Mail: L.Blackett@Napier.ac.uk




                          e1ffa8ad-66d9-4611-85e5-6f9e2f3770a3.doc     Page 20
                                           APPENDIX 2

                                LEVEL 2 BUDGET HOLDERS


As at 1 January 2006:


Principal

Vice Principals

University Secretary

Deans of Faculty

Director of Finance

Director of Human Resources




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