Table of Contents
Legal and Compliance
Purchasing and Contracting (Procurement)
January 15, 2016
Other Related Information
This procedure sets forth guidelines to assist
state-operated campuses of the State University of New York (University) in the procurement
of materials, supplies, equipment and services (including printing). Specifically,
it outlines procedures necessary to enter into valid, binding contracts on behalf
of the University; describes the steps appropriate for internal review, where required,
prior to execution; and specifies those officers authorized to execute contracts and
other documents on behalf of the University. This procedure applies to
consultant contracts but does not apply to employment contracts. Institutions
conducting procurement for construction projects (Item
) or for construction-related consulting services (Item 7555
) must follow those procedures where they differ
from this document.
Should you have question regarding this procedure please contact your
I. Objectives and Standards
- The University's basic procurement objective is to secure the most appropriate
materials, supplies, equipment and services from the most reasonable and responsible
sources, consistent with quality requirements and delivery needs as will best promote
the interests of the University. The practice of competitive bidding, whether formal
(sealed bids or proposals) or informal (quotations), not only tends to assure reasonable
prices, but also guards against favoritism, improvidence and fraud, and should therefore
be used to the extent practicable, as provided herein. Purchases may be made directly
by a campus or pursuant to any contract for commodities or services let by the Office
of General Services, a consortium or any other state or federal agency.
- Certain procurements shall require program approval by system administration
as listed below. Campuses should forward details of those proposed procurements directly
to the appropriate system administration office described below. Approval and/or recommendations
will be sent to the campus in writing by the reviewing office. After approval, all
resulting contracts shall be executed by an authorized campus officer, except as otherwise
provided in Section II.G.2. & 3. below.
- The University Provost:
- Academic program contracts which:
- affect the Master Plan of the University in any way;
- affect the relationship between the University and the New York State Education
Department or the Board of Regents in any way; and
- would make use of institutions external to the University when the services needed
are conveniently available at another University institution.
- University/industry cooperative research contracts entered into pursuant to University
policy, involving use of University equipment exceeding $20,000, or use of University
real property, exceeding $50,000. The provost must be informed of these; however,
his/her prior approval is not required.
- The Chief Financial Officer or designee:
- Multi-campus or University wide contracts (e.g., overseas programs, U-wide technology
- Leases of real property by the University as lessee, where the value of the lease
- All deeds, maps, adjustment agreements or other documents relating to the acquisition
or disposal of real property.
- University Controller
- Contracts with campus related organizations (e.g., college foundations, alumni
associations, auxiliary service foundations).
- While no prior review is required, copies of contracts of the following kinds
shall be sent to the following offices after completion, for information and record
- assistant vice chancellor for University life or chancellor's designee:
- campus contracts for student health insurance.
- associate vice chancellor for health sciences and hospitals or chancellor's designee:
- academic program affiliation contracts which are clinical in nature;
- medical equipment purchases or leases exceeding $150,000 per unit; and
- medical service contracts.
- It is the University's policy to take affirmative action to ensure that New York
State certified minority and women owned business enterprises ("M/WBEs")
are given the opportunity to demonstrate their ability to provide the University with
commodities and services at competitive prices.
- It is the declared policy of the University that utilization of preferred sources
(Corcraft, Industries for the Blind of New York State, Inc., New York State Industries
for the Disabled, Inc., New York State Office of Mental Health) occur whenever possible.
In accordance with the provisions of the NYS Finance Law §162 and NYS State Corrections
Law §184, preferred sources must be considered whenever purchases of commodities
or services are required. Form, function and utility requirements may be considered.
Where a preferred source is to be used for the provision of commodities or services,
no competitive selection process or publication in the New York State Contract Reporter
(NYSCR) is required. In the event a preferred source is to be rejected, that source
must be given prior written notice with an explanation and an opportunity to respond.
- The standard State University of New York contract clauses ("Exhibit A")
shall be made a part of all the University's contracts and purchase orders. In the
alternative, purchase orders may contain a statement that the provisions of Exhibit
A are incorporated by reference, in accordance with OSC
Guide to Financial Operations. These clauses include provisions mandated by state
law, and also provide notice to vendors that they must comply with various laws, including
but not limited to, the requirements of the MacBride Fair Employment Principles and
the provisions of the Omnibus Procurement Act. In addition, the provisions of Exhibit
A-1 (Affirmative Action Clauses) should be attached to every contract or purchase
order exceeding $25,000, construction contract exceeding $100,000. Exhibit A-1 need
not be attached to contracts under which the University provides consideration other
than money, regardless of amount. (See Appendix Section for Exhibit A and Exhibit
- NYS Finance Law §165(2) provides that, with very limited exceptions, the
University, as a state agency, may not purchase tropical hardwoods or products in
any form for any purpose. Every RFP or IFB must contain a statement that any bid or
response which calls for the use of any tropical hardwood or wood product in its performance
shall be considered non-responsive. (NYS Finance Law §165(2) (c) (i)).
- Consistent with the provisions of Section I.C.& D. above, campuses shall purchase
recycled, remanufactured or recyclable commodities when such commodities meet their
form, function and utility requirements, taking into consideration the cost of the
commodity over its life cycle. If the cost of a recycled product (but not recyclable
or remanufactured commodities unless also recycled) does not exceed the cost of a
product made without recycled content by 10% (or by 15% if over 50% of the recycled
materials are generated from the New York State waste stream), the recycled product
must be purchased. (NYS Finance Law §165(3)). Campuses shall have the authority
to determine that for reasons of public health or safety, a recycled, remanufactured
or recyclable commodity should not be purchased. Such determinations shall be documented
in the procurement record.
- In accordance with Executive Orders directing state agencies to be more energy
efficient and environmentally aware:
- Consistent with the provisions of Sections I.C. & D. above, campuses shall
purchase energy-efficient commodities (ENERGY STAR) when acquiring new energy-using
products or replacing existing equipment. All products must meet the efficiency standards
as specified in Executive Order 111 and the State Energy Law. Campuses shall procure
increasing percentages of alternative-fuel vehicles, including hybrid electric vehicles.
At least 50% of new light-duty vehicles acquired by each campus shall be alternative-fueled
vehicles. 100% of all new light-duty vehicles shall be alternative-fueled vehicles,
with the exception of specialty, police or emergency vehicles as designated by the
New York State Division of the Budget.
- Campuses shall seek to purchase sufficient quantities of energy generated from
renewable sources so that 20% of the overall annual electric energy requirements of
buildings owned, leased or operated by the campus are met through renewable sources
- In the design, construction, operation and maintenance of new buildings, campuses
shall, to the maximum extent practicable, follow guidelines for the construction of
"Green Buildings" including guidelines set forth in the NYS Tax Law §19,
which created the Green Buildings Tax Credit, and the United States Green Buildings
Council's Leadership on Energy and Environmental Design (LEED) rating system. Campuses
engaged in the construction of new buildings shall achieve at least a 20% improvement
in energy efficiency performance relative to levels required by New York State's Energy
Conservation Construction Code. For substantial renovation of existing buildings campuses
shall achieve at least a 10% improvement. Campuses shall incorporate energy efficient
criteria consistent with ENERGY STAR and any other energy efficiency levels as may
be designated by New York State Energy Research and Development Authority (NYSERDA)
into all specifications developed for new construction and renovation.
- When letting contracts for the purchase of food products, the University may require
products that are grown, produced, harvested or processed in New York State, in accordance
with the NYS Finance Law §165(4).
- MacBride Fair Employment Principles:
University purchases, as described in Subparts 1 and 2 below, must comply with
the requirements of NYS Finance Law §165(5), which establishes the MacBride Fair
Employment Principles as standards for employment in Northern Ireland. Every prospective
University vendor will be required to stipulate that either (1) it has no business
operations in Northern Ireland, or (2) it will conduct its business in Northern Ireland
in accordance with the MacBride Principles relating to non discrimination in employment
and freedom of workplace opportunity and shall permit independent monitoring of its
compliance with such principles.
Refusal to stipulate to one of the above will result in further review of the
vendor's proposal, as follows:
- In the case of contracts let by a competitive process, when there is another
bidder which has agreed to stipulate to such conditions and which has submitted a
bid within 5% of the lowest responsible bid, a campus shall refer such bids to the
New York State Commissioner of General Services for consultation, after which the
University may determine that it is in the University's best interest for the contract
to be awarded to other than the lowest price or best value offer.
- In the case of contracts let by other than competitive process for commodities
or services in excess of $50,000 or for construction in excess of $15,000, the campus
may not award to such vendor unless it is determined in writing that the commodities,
services or construction are necessary, and there is no other responsible contractor
who can supply commodities, services or construction of comparable quality at a comparable
- New York State Vendors:
- In accordance with NYS Finance Law §139-i (Omnibus Procurement Act, referred
to as "Section 139-i"), all bid documents must include a statement that
information concerning the availability of New York State subcontractors and suppliers
is available from the New York State Empire State Development agency, which shall
include the directory of certified M/WBEs, and that it is the policy of New York State
to encourage the use of New York State subcontractors and suppliers, and to promote
the participation of certified M/WBEs where possible, in the procurement of commodities
- It is further required that subsequent to the award of procurement contracts
of $1 million or more, all state agencies shall ensure that:
- contractors have documented their efforts to encourage the participation of the
New York State business enterprises as suppliers and subcontractors by showing that
- solicited bids in a timely and adequate manner from New York business enterprises
including New York State certified M/WBEs; or
- contacted the New York State Empire State Development agency to obtain listings
of New York business enterprises; or
- placed notices for subcontractors or suppliers in newspapers, journals or other
trade publications distributed in New York State; or
- participated in bidder outreach conferences.
If a contractor determines that New York business enterprises are not available
to participate in such contract, the contractor shall provide a statement indicating
the method by which such determination was made. If a contractor does not intend to
use subcontractors, the contractor shall provide a statement verifying such intent.
- contractors have attested to compliance with the Federal Equal Employment Opportunity
Act of 1972 (P.L. 92 261), as amended.
- contractors have documented their efforts to provide notification to New York
State residents of employment opportunities through listing any positions with the
Community Services Division of the New York State Department of Labor or provide for
such notification in such manner as is consistent with existing collective bargaining
- Form I is a suggested document to be completed and returned by contractors to
fulfill the campus's responsibility to assure contractor compliance with terms (a)
- (c) above on contracts of $1 million or more.
- For contracts of $1 million or more for the purchase of commodities and services
from a foreign business enterprise, Section 139-i requires notification to the New
York State Commissioner of the Empire State Development agency of the award simultaneously
with notifying the successful bidder. Such notice shall be at least 15 business days
prior to contract signing (except for contracts awarded on an emergency or critical
basis or where the Commissioner of the Empire State Development agency has waived
this requirement) and shall include: firm name, address, telephone number, facsimile
number, brief description of the commodities or services, the amount and term of the
proposed contract and the name of the principal contact person at the firm (See Form
II for a proposed Standard 15 Day Notification form).
- All bid documents shall contain a statement notifying bidders located in foreign
countries that the University may assign or otherwise transfer offset credits created
by any procurement contract of $1,000,000 or more to third parties located in New
- Section 139-i requires that all state agencies annually report to the Empire State
Development agency, before the first business day each June, all procurement contracts
of $100,000 or more during the previous year. This report is produced by system administration
based on information entered into the University online purchasing module.
- In addition, NYS Economic Development Law §142 requires that every notice
in the NYSCR must contain a statement as to whether the commodities or services sought,
had in the immediately preceding three year period, been supplied by a foreign (out-of-state)
- NYS Finance Law §165(6) requires the Commissioner of the Empire State Development
agency to maintain a list of states which discriminate against New York vendors. State
agencies are prohibited from soliciting proposals from, or entering into contracts
with, businesses from such states. Such prohibition is subject to waiver, in writing,
by a campus president, if in the best interest of the State.
- Procurement Lobbying: The Procurement Lobbying Law restricts communications between
a potential vendor, or person acting on behalf of a vendor, and officers or employees
of the procuring agency, between the time a procurement/contract procedure begins
and the time it is completed. The agency must record all Contacts. Vendors must certify
that they understand the agency's policies and procedures with regard to this law
and disclose whether they have been found, by any other State agency, to be non-responsible
because of violations of this law. No contract shall be awarded to any offerer found
to be in violation of this law or that intentionally provided false or incomplete
information unless the award of the procurement contract to the offerer is necessary
to protect public property or public health or safety, and that the offerer is the
only source capable of supplying the required article of procurement within the necessary
timeframe. In addition, all contracts must include a certification that the vendor
has complied for purposes of this agreement law and a provision that the contract
may be terminated if this is found not to be the case. More complete information is
available at Procurement Lobbying Procedure for State University of New York.
- Tax Law Section 5-a requires certain contractors awarded certain state contracts
(e.g., real property leases are exempt, as are construction contracts and construction-related
consultant contracts) valued at more than $100,000 to certify to the Tax Department
that they are registered to collect New York State and local sales and compensating
use taxes, if they made sales delivered by any means to locations within New York
State of tangible personal property or taxable services having a cumulative value
in excess of $300,000, measured over the prior four quarters. In addition, contractors
must certify to the Tax Department that each affiliate and subcontractor of such contractor
exceeding such sales threshold during a specified period is registered to collect
New York State and local sales and compensating use taxes. See Form III. Contractors
must also certify to the procuring state entity that they filed the certification
with the Tax Department and that it is correct and complete. See Form IV. For more
information, see http://www.tax.ny.gov/pdf/publications/sales/pub223.pdf
- Vendor Responsibility: Section 163 of the State Finance Law requires that contracts
for services and commodities be awarded "to a responsive and responsible offerer."
Section 163 (9) f of the SFL requires that prior to making an award of a contract;
each contracting agency shall make a determination of responsibility of the proposed
The Office of the
State Comptroller (OSC) Guide to Financial Operations requires a contracting agency
to make a determination of responsibility prior to the award of a contract as follows:
- for all contracts, the agency must consider any information that has come to its
attention that raises issues concerning the proposed contractor's responsibility,
- for contracts exceeding $100,000, the agency must require written disclosure by
the contractor of all information that the agency deems relevant to a responsibility
- for all contracts, the agency must include in the procurement record certification
that it has reasonable assurances that the contractor is responsible and documentation
of the basis for its determination. Additional information about vendor responsibility,
including suggested forms and templates, and links to useful resources, can be found
at the OSC web site on Vendor
Responsibility and the Office of General Services (OGS) web site under Procurement
Law, Guidelines and Procedures, Procurement Council/Procurement Guidelines, Guide
to Financial Operations and Related Procurement Information, Best Practices-Determining
- Consulting Services Reporting: State Finance Law Sections 8 and 163 require that
State contractors disclose by employment category, the number of persons employed
to provide services under a contract for consulting services, the number of hours
worked and the amount paid to the contractor by the State as compensation for work
performed by these employees. This includes information on any persons working under
any subcontracts with the State contractor. A contract for consulting services is
defined as any contract entered into by a State agency for analysis, evaluation, research,
training, data processing, computer programming, engineering, environmental, health,
and mental health services, accounting, auditing, paralegal, legal, or similar services.
- Campuses must include Form V in the Procurement Record submitted to OSC for new
consultant contracts. The completed form must include information for all employees
providing service under the contract whether employed by the contractor or a subcontractor.
Please note that the form captures the necessary planned employment information prospectively
from the start date of the contract through the end of the contract term.
- Campuses must require State contractors to report annually on the employment information
described above, including work performed by subcontractors. Form VI will be submitted
each year the contract is in effect and will capture historical information, detailing
actual employment data for the most recently concluded State fiscal year (April 1
– March 31).
- Additional information can be found in OSC
Guide to Financial Operations.
- Vendor's Proof of Insurance
- Workers' Compensation Law (WCL) requires the University ensure that businesses
entering into a contract carry workers' compensation and disability benefits insurance.
This requirement applies to both original issuances and renewals. (Refer to the NYS
- Any out-of-state employer with employees working in NYS needs a full NYS workers'
compensation insurance policy.
II. Procedures Governing Procurements of Commodities, Services, and Printing.
- Publication in the NYSCR:
- Preferred Sources: No publication is required at any dollar level.
- Up to $10,000: no publication is required.
- $10,000.01 to less than $50,000: quarterly publication of a list of projected
procurements by commodity and/or service, together with an explanation of how to apply
for placement on any bidder lists and the procedure for providing advance notice by
mail to those on the campus bidders list.
- $50,000 and above: An individual notice for each proposed procurement must be
published at least 15 business days in advance of the date on which a bid or proposal
is due, unless a shorter period is specifically authorized by law. The NYSCR accepts
only online submissions through its web site.
- Sole Source, Single Source and Emergency Procurements for $50,000 or Greater:
- Where publication would otherwise be required, but is not feasible due to the
sole source, single source or emergency nature of a commodity or service, the campus
must make a prior written request for an exemption and provide supporting documentation
to OSC, in accordance with OSC
Guide to Financial Operations. For emergency purchases, subsequent to approval
by a campus senior officer, a verbal request for approval of an exemption, followed
up with a written request, may be made to OSC, which will respond verbally as soon
as practicable, and follow up with a written confirmation of its determination.
- Campuses receiving an exemption from publication must subsequently publish a notice
of either the letting or award of the purchase/contract, and the reasons for such
exemption, in the NYSCR. For purchases/contracts which received an exemption and which
require OSC approval, the campus must provide to OSC, prior to OSC approval, proof
that the campus has requested the Empire State Development agency to publish the notice
of exemption in the NYSCR. The notice should be placed as soon as practicable. Campuses
granted an exemption must maintain documented proof of compliance with the foregoing.
- Competitive selection process:
- Purchases/Contracts up to $50,000: A campus may purchase commodities or services
directly from a responsible vendor of its choice. While no competition is required,
a campus should take the steps necessary to ensure that prices are reasonable. For
purchases above $2,500.00 written documentation should be maintained by the campus
to support both the selection of the vendor and the reasonableness of the price.
- Purchases/Contracts from $50,000.01 to $125,000: A campus must solicit a minimum
of three informal quotations or proposals from responsible vendors offering such commodity/services.
At the campus' option and depending upon the situation, a more formal process may
be used, but is not required.
- Purchases/Contracts over $125,000: A campus must solicit a minimum of five formal
sealed bids or proposals from responsible vendors. Where the solicitation of sealed
bids or proposals is not practical, the campus may solicit, with the written approval
of the campus president or designee, a minimum of five formal written quotations.
Written documentation of such approval shall be maintained by the campus.
- Exemptions from competitive selection requirements:
Consistent with State Finance Law Section 163, except where otherwise provided
by law, procurements shall be competitive. NYSCR notification is still required as
applicable. Exemptions are as follows:
- NYS Preferred Sources: The acquisition of commodities and/or services from preferred
sources is exempted from statutory competitive procurement requirements. It is the
declared policy of the University to purchase from preferred source suppliers whenever
possible, after determining that the form, function and utility of preferred source
products and services meet the University's requirements.
- Centralized State Contracts: A campus may elect to purchase any commodities or
services, regardless of amount, from an existing Office of General Services (OGS)
centralized state contract following the procedures and requirements established by
OGS, as appropriate for the University.
- Campus Submitted "Filed Requirement" with OGS: Where a campus has previously
submitted a "filed requirement" with OGS under a specific term contract
(e.g. fuel oil, college catalogues), the campus must honor its commitment to the centralized
State contract vendor in accordance with the provisions of the term contract.
- Campus Requests OGS to Purchase: A campus may at any time request OGS to purchase
a required commodity or service. The campus should submit the appropriate information
to OGS and request that OGS complete the purchasing process, subject to OGS' agreement
to do so.
- Small Business, New York State Certified M/WBEs, Recycled or Remanufactured Purchases:
Where commodities or services are available from small businesses New York State certified
M/WBEs; or New York State Certified Service Disable Veteran-Owned Businesses (SDVOBs);
or where commodities or technology that is recycled or remanufactured is available,
purchases may be made in amounts not exceeding $200,000 without competitive bidding,
in accordance with Section II (B)(1) above. Advertising requirements under NYS Economic
Development Law still apply.
- New York State Labeled Wines: New York State labeled wines, produced by a winery
licensed in accordance with the requirements of NYS Alcoholic Beverage Control Law
§76, shall be exempt from competitive requirements, regardless of amount. (State
Finance Law §165(4-a)). A list of currently eligible wines shall be maintained
by the Office of General Services.
- Sole Source, Single Source or Emergency Contracts: Where competition would otherwise
be required, but is not feasible due to the sole source, single source or emergency
nature of a commodity or service, the campus must be able to justify and document
the selection of the vendor and establish the reasonableness of the price. In accordance
with the State Finance Law, exceptions to the general requirement for competitive
selection shall only be made under unusual circumstances. The campus must maintain
in its Procurement Record written justification supporting the sole source, single
source or emergency determination. An example of substantiating single source procurement
(limited number of suppliers) might be written documentation detailing prior substantial
experience of the contractor in provision of the products or services customized to
the University environment or a certain service that only one contractor provides
in addition to the service or technology being procured. An example of substantiating
sole source procurement (only one supplier) would be written documentation detailing
the unique nature of the requirement, how it was determined only one vendor could
meet the need, and how it was determined the cost is reasonable. One method available
to document the sole source status is to advertise in the NYSCR and only receive one
- Revenue Contracts greater than $25,000: Under many circumstances, contracts which
require the University to provide consideration other than money (generally, "revenue
contracts") do not require a formal competitive selection process. While the
State Finance Law does not expressly require competitive bidding for revenue contracts
as it does for expenditure contracts, it is good practice to seek competition unless
there is strong justification for proceeding with a "single" or sole source
award. In those instances in which the campus determines that competition is appropriate,
the procedures in Paragraph II. B. above shall apply.
- Intercollegiate Athletics NCAA Division 1 program contracts up to $250,000, as
described in Section III.D. below.
- Consortia Purchases: Commodities purchased via Consortia or Group Purchasing Organization
(GPO) contracts as outlined in the NYS Procurement Council's Consortia
Purchasing Guidelines - (Rev., September 2009).
- Competitive Bid or Proposal Considerations:
- An initial review of the services or commodities required must be made in order
to determine whether a Request for Proposals (RFP) or an Invitation for Bid (IFB)
is to be used. (Refer to NYS Procurement
When competitive bidding is required, in accordance with New York State Labor Law
for a procurement of apparel or textiles or sports equipment, campuses must add a
statement to their bid documents that the campus will not enter into a contract to
purchase or obtain for any purpose any apparel or textiles or sports equipment with
a bidder unable or unwilling to provide documentation that:
a) Such apparel or sports equipment was manufactured in compliance with all applicable
labor and occupational safety laws, including, but not limited to, child labor laws,
wage and hour laws and workplace safety laws;
b) If known, the name and address of each subcontractor to be utilized and all
manufacturing plants utilized by the bidder or subcontractor.
Form VII is a vendor certification statement that should be included in all apparel
or textiles or sports equipment bids to ensure compliance with the fair labor conditions.
c) The above provisions may be waived by the campus president or his/her duly
appointed designee (See Paragraph G.1. below) where it is determined in writing and
included in the procurement record that it is in the best interests of the state to
Pursuant to NYS Finance Law §165(7), campuses (and their not-for-profit affiliates)
have the "option" to decide, on the basis of the campus' or affiliates'
local determination of what constitutes appropriate labor standards, that a prospective
supplier on a contract for the purchase of apparel or sports equipment is not a responsible
bidder under NYS Finance Law §163 (9)(f). Such a determination applies whether
or not the procurement must be competitively bid. The following criteria may be used
by the campus or affiliate to determine whether or not the bidder is "responsible":
a) The labor standards, including but not limited to employee compensation, working
conditions, employee rights to form unions, and the use of child labor; or
b) The bidder's failure to provide information sufficient for the campus or affiliate
to determine the labor conditions applicable to the manufacture of the apparel or
See also SUNY Item 7560 Anti-Sweatshop Procedure for additional requirements for all
purchases (both non-competitive and competitive processes).
- When making an award based on best value pursuant to a competitive proposal, offerers
must be apprised of the relative importance or weight of the cost criteria compared
with all non-cost criteria. Failure to provide this information will result in rejection
of the contract by OSC. Every effort should be made to provide sufficient information
on the evaluation criteria that will be applied to technical proposals to aid bidders
in appropriately developing their responses.
- The following provisions are either recommended or required to be included in
- "The State University reserves the right to request clarifications from offerers
for purposes of assuring a full understanding of responsiveness and further reserves
the right to permit revisions from all offerers determined to be susceptible to being
selected for contract award, prior to award." (Strongly recommended - in the
absence of this statement the University is not allowed to consider revisions or clarifications).
- "The State University reserves the right to reject separable portions of
any offer, to negotiate terms and conditions consistent with the solicitation, and
to make an award for any or all remaining portions." (Recommended - in the absence
of this statement the University is not allowed to reject or award separate portions
of an offer).
- "The University reserves the right to eliminate mandatory requirements unmet
by all offerers." (Recommended - in the absence of this provision no mandatory
requirement may be waived. Please note that a mandatory requirement unmet by all offerers
can only be waived if: (1) doing so is of benefit to the State; (2) doing so does
not either advantage or disadvantage any offerers; and (3) potential bidders were
not discouraged from submitting proposals because of that mandatory requirement.)
- A copy of or hyperlink to Exhibit A, (and Exhibit A-1 if the contract exceeds
- "Any additional vendor terms which are attached or referenced with a submission
shall not be considered part of the bid or proposal, but shall be deemed included
for informational purposes only." (Recommended - will reduce the need for lengthy
negotiations after receipt of bids or proposals, and avoids claims of favoritism).
- "The University reserves the right to terminate any resulting contract in
the event it is found that (1) the certification filed by the offerer in accordance
with State Finance Law Sections 139-j and 139-k was intentionally false or intentionally
incomplete; and/or (2) the submission of offerer in accordance with Tax Law Section
5-a was false or incomplete. Upon such finding, the University may exercise its termination
right by providing written notification to the contractor in accordance with the written
notification terms of the contract." (Required)
- The Federal Trade Commission (FTC) promulgated the Safeguards Rule pursuant to
the Gramm-Leach-Bliley Act to insure the security and confidentiality of customer
records and information emanating from such customer's receipt of a campus' financial
product or service (i.e., loans or "affinity" credit cards). Campuses must
require service providers by contract to implement and maintain safeguards of nonpublic
personal information they possess. Relevant contracts that campuses enter into must
include the required safeguarding provision:
"In performing any resulting contract, you will receive, maintain, process
or otherwise will have access to confidential information on students and/or customers
(Name of Campus). Pursuant to the Gramm-Leach-Bliley Act (P.L. 106-102) and the Federal
Trade Commission's Safeguards Rule (16 CFR Part 314), you must implement and maintain
a written Information Security Program in order to protect such customer information.
Customer Information is defined in relevant part under the Safeguards Rule as ‘any
record containing nonpublic personal customer information as defined in 16 CFR §313(n)'
(the FTC's Privacy Rule)' about a customer of a financial institution, whether in
paper, electronic, or other form' (16 CFR §314.2). Examples of nonpublic personal
customer information include, but are not limited to, name, address, phone number,
social security number, bank and credit card account numbers and student identification
The safeguards that you implement under the Program must comply with the elements
set forth in 16 CFR §314.4 and must achieve the objectives enunciated in 16 CFR
§314.3, namely to: 1) insure the security and confidentiality of student and/or
campus customer records and information; 2) protect against any anticipated threats
or hazards to the security or integrity of such records; and 3) protect against unauthorized
access to or use of such records or information which could result in substantial
harm or inconvenience to any student and/or campus customer.
If you subcontract with a third party for any of the services that you are required
to undertake in furtherance of this contract, you must ensure that such third parties
implement practices, which protect nonpublic personal information of students and/or
campus customers with which they receive, maintain, process or otherwise are permitted
You are required to (return) or (destroy) (Campus to choose method) all customer
information in your possession upon your completion of this contract. Furthermore,
the safeguarding requirements set forth above shall survive termination of this contract."
- The following language should be included in contracts in which the offerer will
have access to nonpublic personal information: "Contractor shall comply with
the provisions of the New York State Information Security Breach and Notification
Act (General Business Law Section 899-aa; State Technology Law Section 208). Contractor
shall be liable for the costs associated with such breach if caused by Contractor's
negligent or willful acts or omissions, or the negligent or willful acts or omissions
of Contractor's agents, officers, employees or subcontractors."
- The following language should be included in consultant contracts: "State
Finance Law Section 163(4)(g) imposes certain reporting requirements on contractors
doing business with New York State. In furtherance of these reporting requirements
the Consultant agrees to complete and submit an initial planned employment data report
and an annual employment report, which are attached as Consulting Reporting Forms
A and B respectively."
- Evaluation of Proposals:
- Written evaluation criteria must be established prior to initial receipt of proposals,
must be applied uniformly, and may not be changed after receipt of proposals. (Refer
to NYS Procurement
Guidelines, Section V (E) for guidance).
- When cost factors (e.g., extended warranty coverage, maintenance, supply costs,
etc.) in addition to the base bid price are to be considered in an IFB, each factor
must be identified in the IFB. When evaluating bids, the cost of each such factor
must be calculated and added to the base in order to determine the lowest price.
- Notification of Award and Debriefing:
Campuses are encouraged to notify all offerers as to whether they are successful
or unsuccessful. For procurements let through the RFP or IFB process, upon request,
an unsuccessful offerer must be provided a debriefing as to why it was unsuccessful
(NY Sate Finance Law §163(9)(c)).
- Authority to Execute Contracts on Behalf of the University
- Resolution 83 17 of the University Board of Trustees authorizes the chancellor
and the chancellor's designees on the system administration staff, as well as presidents
of state operated campuses and their duly appointed designees, to execute specific
types of contracts, revocable permits and agreements for and in the chancellor's name,
place and stead.
- The chancellor has designated and authorized the University provost, the chief
financial officer, the vice chancellor and chief of staff, and the presidents of state
operated campuses or designees of said presidents duly appointed in accordance with
and subject to the chancellor's guidelines, to execute contracts necessary or proper
for the conduct of the University's business.
- The chancellor has also authorized the chief financial officer, or the chancellor's
designee to execute any and all contracts, deeds, maps, adjustment agreements, leases,
permits or any other documents in relation to the acquisition or disposal of real
property and leasehold interests.
- The chief financial officer, or the chancellor's designee has been authorized
to execute documents necessary for properly carrying out the functions or operation
of the facilities of system administration.
- Exceptions to the above, and guidelines governing appointment of designees by
the campus presidents, appear below.
- All contracts of the following nature are to be executed on behalf of the University
by the chief financial officer, or the chancellor's designee:
- Multi campus contracts (in the alternative, such contracts may also be executed
by each campus involved); and
- University wide contracts.
- Leases of real property by the University as lessee, where the value of the lease
- Deeds, maps, adjustment agreements or other documents relating to the acquisition
or disposal of real property.
- The following contracts are to be executed by the University Controller:
- Contracts between the University and campus-related organizations, such as college
- The following shall constitute the guidelines under which the campus president
may appoint designees who shall have the authority to execute contracts on behalf
of the University:
- The number of presidential designees. In order to expedite approval of contracts
by external agencies and to assure an appropriate level of coordination, the number
of campus officials to be designated by the campus president should ordinarily not
exceed four per campus.
- The organizational level of designees. In order to assure that designees have
up to date knowledge of University and campus fiscal and program directives and goals,
the designees appointed by the campus presidents should ordinarily occupy positions
which are the vice-presidential level or equivalent.
- Method of appointment of designees. The president of each state operated campus
shall make all appointments of designees in writing and shall ensure that appropriate
evidence of such appointments is maintained in campus files. Changes in assignments
or other personnel actions should be updated periodically. Presidential designees
shall not further delegate such authority.
Notice of appointment of designees.
- As required by Trustee Resolution 50 106, as last amended by Trustee Resolution
83 17, each state operated campus president shall provide the secretary of the University
and the office of the University counsel with a list of the names and titles of campus
officers appointed as designees to sign University contracts.
- Each campus shall file a signature authorization form with OSC and the office
of University counsel containing the signature of each campus official authorized
to sign University contracts. (See Form VIII, AC 1782, Authorized Signatures for Contract
- Certification of authority of designees to sign contracts. Whenever it shall be
necessary to provide formal certification that a campus designee has been appointed
to sign contracts such certification may be provided by the secretary of the University
in such form as the secretary shall determine.
- Review by the office of University counsel. The office of University counsel,
in order to provide the campuses with appropriate legal advice on contracts entered
into on behalf of the University, is responsible for review of all contracts prior
to execution. Review by the office of University counsel shall be performed by personnel
assigned to the office of University counsel unless otherwise provided in writing
by the University counsel. Therefore, every proposed contract, unless previously reviewed
and approved in similar form, should be submitted to the office of University counsel
as soon as possible, in accordance with the following procedures.
- If it is necessary to have a contract drafted by the office of University counsel,
all information relevant to the contract should be submitted to such office. Such
information should include the name and address of the vendor, state of incorporation
if applicable, a copy of the bid proposal, a description of the commodities or services
to be provided, dates of performance, conditions of payment, the term of the contract,
and any other information deemed pertinent.
- If a written contract is already available, a copy should be sent to the office
of University counsel for review.
- The office of University counsel will draft the requested contract and return
it to the campus, or will return the form contract after review, with appropriate
comments. Response may be made by phone.
- Contracts Requiring No Outside Agency Approvals:
- Contracts and purchase orders for materials, equipment, supplies (including computer
equipment), motor vehicles, construction, construction-related services, and printing
shall require no prior approval by any state agency.
- In the case of the following exceptions (which do not apply to NCAA Division I
Agreements), contracts for materials, equipment, supplies (including computer equipment),
motor vehicles, and printing exceeding $125,000, or construction-related services
exceeding $25,000, or construction exceeding $20,000 are subject to the approval of
the campus president or designee, after consultation with the campus counsel and purchasing
- a bid protest has been received prior to the time the contract or purchase order
is fully executed;
- the apparent low bid or best value is not selected;
- the award is not made in accordance with the provisions of the IFB or RFP;
- a single or sole source procurement.
III. Required External Agency Approvals of Contracts and Purchase Orders:
(For Contracts Requiring No Outside Agency Approvals see IV. B. 1.)
The following approval levels shall apply under University flexibility, except
as required in Section C below.
- Service contracts and service purchase orders up to $250,000 shall require no
prior approval by any state agency, subject to the following exceptions (these exceptions
do not apply to NCAA Division I Agreements described in Section D below):
- a bid protest has been received prior to the time the contract or purchase order
is fully executed;
- the apparent low bid or best value is not selected;
- the award is not made in accordance with the provisions of the IFB or RFP;
- a single or sole source procurement.
- In the case of the above exceptions, contracts exceeding $125,000 are subject
to the approval of the attorney general and OSC, after consultation with, but not
prior approval of, any other state agency.
- If none of the above exceptions apply, service contracts exceeding $250,000 are
subject to the approval of the attorney general and OSC, after consultation with,
but not prior approval of, any other state agency.
- The University has committed to performing campus internal control reviews of
the procurement function. An annual certification letter will be submitted to OSC
denoting those campuses which have been determined to have adequate internal controls
pertaining to Section C.
- For those contracts in Section A above, for those campuses which lack adequate
controls, the approval of the attorney general and OSC, but no other state agency,
may be required for all contracts and purchase orders in excess of $50,000, or in
excess of $75,000 for hospital contracts and purchase orders, until such time as the
adequacy of internal controls can be certified.
Intercollegiate Athletics NCAA Division I Programs: For service procurements related
to Intercollegiate Athletics, NCAA Division I programs, OSC has advised the University
that the campus president or designee may, upon written determination, decide that
competition is not feasible due to the unique nature of the program or circumstances,
and authorize a procurement without competition, except that such authority shall
not exist for contracts funded by personal service appropriations.
- The circumstances supporting such determination must be consistent with standard
NCAA Division I practices used for intercollegiate athletics programs nationally.
The selection must be justified and the prices demonstrated to be reasonable and competitive.
This authority shall apply to intercollegiate athletics program agreements up to $250,000.
- For all intercollegiate athletics NCAA Division I agreements, the exceptions noted
in Paragraph B.1. above shall not apply, and no approval shall be required by any
state agency for such transactions up to $250,000.
- OSC approval is required for contracts where the University provides consideration
other than money (generally revenue contracts), with a reasonably estimated value
in excess of $25,000.
- NY State Finance Law §163 6-b, obligates the University to aggregate expected
purchases for the same commodities or services within twelve months from the date
of purchase to determine whether the procurement falls within the discretionary threshold.
This section of State Finance Law also prohibits split ordering. It is important to
note that when determining the contract value the total contract term must be considered.
Campuses should not continually enter into one-year contracts with the same vendor
(below prior approval thresholds) to avoid obtaining a multi-year contract that would
require prior approval.
- Contract work should not begin until all necessary approvals are received. Authorizing
the start of work before all approvals are received is beyond the scope of a State
employee's authority, and the employee may be held personally liable.
IV. Procurement Record Requirements:
- NYSCR Documentation
- Purchases over $10,000 to less than $50,000 must contain a certification of compliance
with the requirements for publication in the NYSCR. The campus must maintain documentation
that a quarterly listing of projected procurement purchases was published. If the
campus instead chooses to publish a planned procurement not exceeding $50,000, then
proof of publication is to be submitted with the voucher package.
- Purchases over $50,000 must include proof of publication in either of the following
- a statement specifying the date of appearance and other relevant information related
to the notice in the NYSCR, or
- a copy of the original notice.
- Where an exemption from pre award publication requirements has been granted by
the Office of the State Comptroller, regardless of amount, the campus must maintain
documentation that a request to publish a notice stating the reason for the exemption
has or will be submitted as soon as practicable.
- Contracts Requiring No Outside Agency Approvals
- Contracts exempted by NYS Education Law § 355 (i.e., (i) materials, equipment
and supplies, including computer equipment; (ii) motor vehicles; (iii) construction
and construction-related services contracts; and (iv) printing) shall not require
prior approval by any other state officer or agency.
- The Procurement Record shall include:
- all associated documentation required by NY State laws and SUNY policies and procedures;
- for contracts (not purchase orders) with a total value of $125,000.00 or greater,
the completed Procurement Record Checklist (Form XII) or a campus specific checklist
that at minimum includes the information in the Office of the State Comptroller Bureau
of Contracts Procurement Record Checklist at: http://www
- for contracts (not purchase orders) with a total value of $250,000.00 or greater:
- a completed and signed Campus Procurement Certification (See form XV);
- a copy of the signed certification and completed checklist must be uploaded to
the SUNY internal document repository.
- After selection of the appropriate vendor, the campus shall enter into a contract
for the commodities or services required. Upon execution of such contract by the vendor
and an authorized campus or system administration officer, the contract shall be binding
without further processing. Note, that an acknowledgment by a notary public is desirable,
but not required on such contracts.
- Contracts between $5,000 and the approval levels in Section III. A.. C. &
D. above, requiring more than two payments in a fiscal year must be encumbered by
an Contract Encumbrance Request (AC340) using the appropriate "T" contract
- Contracts up to the approval levels in Section III B. C. & D. above, which
do not require more than two payments in a fiscal year, or contracts below $5,000
requiring any number of payments may be encumbered either by a purchase order or an
AC340, at the option of the campus.
- At the time payment is required for those contracts described in Section IV.B.5.or
6. above, notice of publication as described in Section IV.A above, and an appropriate
invoice must be submitted to OSC. If the invoice does not clearly indicate the commodity
or service being purchased, the purchase order or AC340 should also be submitted.
- Contracts Requiring Outside Agency Approvals (see Section III above)
After selection of the appropriate vendor, the campus shall enter into a contract
which shall include the standard State contract provisions when applicable (see Section
II.D.5.d. above). Upon execution of such contract by the vendor and acknowledgment
by a notary (See Form IX), and execution by an authorized campus or system administration
officer, the contract shall be prepared for submission for approvals by the attorney
general and OSC. Without such approvals, the contract will not be binding on the University
or the contractor.
All Copy Purchase Orders, Purchase Authorization agreements and contract amendments
where there is no change in scope do not require approval of the Attorney General.
- The campus must ensure that the contract contains:
- A notary acknowledgment of the Vendor's signature
- Exhibit A, State University of New York Standard Contract Clauses
- Exhibit A-1, Affirmative Action Clauses, State University of New York (if contract
- A termination clause that, at a minimum, gives SUNY the right to terminate the
contract in the event of the following:
- it is determined that the vendor's submissions with respect to State Finance Law
§§ 139-j and 139-k were intentionally false or intentionally incomplete.
- it is determined that the vendor's submissions with regard to Tax Law §
5-a were false or incomplete.
- Only one original contract document along with additional signature pages (at
least one for each signatory) should be submitted to the Attorney General utilizing
a transmittal letter similar to that illustrated in Form X. This submission should
comply with the provisions of OSC Guide to Financial Operations and should include
the appropriate system generated Batch Control Listing (BCL), Batch Transmittal Document
(AC 2387), and AC 340.
- The following information must accompany the proposed contract:
- A transmittal letter to the Office of the State Comptroller similar to that provided
here as Form XI.
- Where bids or proposals have not been competitively solicited, based on a sole
source, single source or emergency transaction: justification for the selection of
the vendor and reasonableness of price must be provided.
- Notice of publication as described in Section IV.A above or documentation of exemption
- Certification of Bid Opening, if appropriate.
- Bid Tabulation listing in tabular form all pertinent information including a description
of commodities or services to be provided, the identity of each bidder, the quoted
unit and total price if appropriate. Notation should be made where prospective vendors
have not returned a bid, or have declined to bid.
- Supporting justification if the proposed contract is not awarded to the lowest
cost bidder under an IFB.
- Original copies of bids or proposals as required by OSC
Guide to Financial Operations.
- The following forms in connection with Vendor
- Vendor Responsibility Questionnaire (if appropriate)
- Vendor Responsibility Profile
- Agency Certification and supporting documentation of Vendor Responsibility
- The following in connection with Procurement Lobbying Law:
- Vendor's Affirmation of Understanding of and Agreement pursuant to State Finance
- Vendor's Disclosure and Certification with respect to State Finance Law §139-k(5)
- Governmental Entity Representation Concerning Compliance with State Finance Law
Sections 139-j and 139-k
- Record of Contact forms, if applicable
- Form ST-220-CA, Contractor Certification to Covered Agency (not leases) in accordance
with Tax Law Section 5-a.
- State Consultant Services Contractor's Planned Employment From Contract Start
Date Through the End of the Contract Term (if applicable).
- The completed Procurement Record Checklist (See Form XII).
- Proof of Vendor's Insurance
- Upon receipt of the above, the attorney general's office will review the proposed
contract as to form, and upon approval, forward all materials directly to the OSC
Bureau of Contracts, using the State Comptroller's Transmittal Letter provided.
If not approved, the proposed contract will be returned by the attorney general
with an explanation. The campus may respond directly to the attorney general with
appropriate information. If contract terms require modification the office of the
University counsel must be consulted, in accordance with Section II.H., above. All
revisions of the proposed contract must be initialed by the vendor and the campus
or system administration official who executed the contract on behalf of the University,
prior to return to the attorney general. After approval, all materials will be forwarded
by the attorney general directly to OSC.
- OSC will review the proposed contract and upon approval, will retain one original
contract document and return all remaining copies of the contract and/or certified
signature pages to the campus.
If not approved, the proposed contract will be returned to the campus by OSC with
an explanation. The campus may respond directly to OSC with appropriate information,
or may make such change(s) in supporting documentation as required. If contract terms
require modification the office of the University counsel must be consulted, in accordance
with Section II. H., above. All revisions to the proposed contract must be initialed
by the vendor and the campus or system administration official who executed the contract
on behalf of the University, prior to return to OSC.
- Upon receipt of the approved contract and/or signature pages, the campus will
attach the signature pages to additional copies of the contract and will provide both
the vendor and the office of the University counsel with a complete copy of the approved
contract, and will retain the remaining copy(s) as required.
- At the time payment is required for contracts in Section C, the campus will forward
a completed Standard State Voucher (AC92) to OSC, accompanied by the associated Batch
Transmittal Document (AC2387) and an error-free Batch Control Listing (BCL).
- Chapters 552-555 of the Laws of 1985, amending
NYS Education Law §§350 et seq., authorized the University to enter into
contracts and make purchases in a more efficient and timely manner than under the
prior law. This statutory authorization required the University Board of Trustees
to establish rules and regulations, subject to the approval of the office of the New
York State Comptroller (OSC), governing the procedures to be followed when entering
into such contracts or making such purchases. Accordingly, these rules and regulations
apply to all purchases under the University's flexibility program, made by state-operated
campuses and by the University's system administration.
- The Procurement Stewardship Act of 1995 (Chapter 83 of the Laws of 1995), as most
recently amended by Part D of Chapter 56 of the Laws of 2006, recodified those provisions
of the NYS Finance Law which govern state procurement, clarified the procedures for
technology acquisitions and added procedures for the acquisition of services. (NYS
Finance Law §§160 et seq). The provisions of the Act will continue to apply
to the University's procurements which fall outside the scope of this procedure, that
is, those contracts in excess of the level described in Sections III.B through III.E.
- The conflict of interest and code of ethics provisions of NYS Public Officers
Law §§73 & 74 shall apply to all purchasing activities of the University.
Campuses are required to inquire as to the status of entities with which they intend
to contract or lease. To accomplish this, campuses must utilize Form XIII in the initial
phase of the purchasing/contracting process. Form XIII is a standard form designed
in accordance with NYS Public Officers Law §73(4) to ascertain ownership of or
a controlling interest of greater than 10% by an officer or employee of the State
of New York in a prospective vendor/contractor or a public benefit corporation of
the State of New York. If the answer to such inquiry is in the affirmative, campuses
must use the formal competitive bidding process described in Section II.B.3. above
or the State Procurement Guidelines, if applicable, before a valid agreement may be
entered into with such individual or organization, in order to comply with provisions
of NYS Public Officers Law §73.
- Chapter 58 of the Laws of 2011 amended Education Law § 355.5 by removing
the requirement for prior approval by any other state officer or agency for contracts
made for or by the University for the purchase of: (i) materials, equipment and supplies,
including computer equipment; (ii) motor vehicles; (iii) construction and construction-related
services contracts; and (iv) printing. This amendment is effective through June 30,
Amount of contract - The total financial obligation incurred by the University.
In a multi-year contract, the obligation incurred over the entire set term must be
considered, rather than the annual amount alone.
Apparel - Apparel shall mean goods, such as, but not limited to sports
uniforms, including gym uniforms, required school uniforms, shoes, including, but
not limited to athletic shoes or sneakers, sweatshirts, caps, hats and other clothing,
whether or not imprinted with a school's name or logo, academic regalia, lab coats
and staff uniforms. This definition is applicable to Section III(D)(3).
Apparel or Textiles - All articles of clothing or goods produced by weaving,
knitting or felting or any similar production process for such articles of clothing
and all goods produced by the apparel industry as defined by sub division (c) of section
three hundred forty of the labor law. This definition is applicable for requirements
denoted in Section III(D)(2). Best Value - The basis for awarding contracts
for services and technology that optimizes quality, cost and efficiency, among responsive
and responsible offerers, which shall reflect, wherever possible, objective and quantifiable
analysis. Certificate of Bid Opening - A certification by the person conducting
a bid opening that the opening of all timely proposals received was held at the specified
time and place.
Commodity(ies) - Material goods, supplies, products, construction
items, electronic information resources or other standard articles of commerce which
are the subject of any purchase or other exchange. The State Finance law requires
commodity contracts to be awarded based on lowest price from a responsive and responsible
Contract - A new agreement, permit, memorandum of understanding or lease,
or an amendment of same.
Contractor - A vendor from whom the University obtains commodities, services
Computer - a computer central processing unit (CPU) and, where
attached to a CPU, such computer cases, computer memory, cards and other peripheral
devices as may reasonably be viewed functionally as one unit.
Computer software - executable computer programs and related data
files on computer-related media, including but not limited to floppy disks, hard disks,
optical and magneto-optical computer data storage devices.
Computer equipment - computers, computer memory, cards, and associated
peripheral devices, including but not limited to floppy disk drives, hard disk drives,
printers, modems, computer-related cables and networking devices, scanners, computer
monitors, and computer software.
Emergency - Is defined as "an urgent and unexpected requirement where
health and public safety or the conservation of public resources is at risk."
A failure to properly and timely plan in advance for a procurement, which then results
in a situation in which normal procurement practices cannot be followed, will not
constitute an "emergency."
Encumbrance – An amount set aside to reserve all, or a portion, of
an appropriation for payment of future expenses i.e., payments for capital construction,
monthly lease or maintenance agreements, or other contracts (including purchase orders).
Energy Efficient - Is defined as meeting ENERGY STAR criteria and therefore
qualifying for the ENERGY STAR label or meeting New York State Energy Research Development
Authority (NYSERDA) guidelines for target efficiency levels.
Invitation for Bid (IFB) - A form of solicitation used for procurements
where the needed commodities, services or technology can be translated into exact
specifications and the award can be made on the basis of lowest price or best value
when the best value determination can be made on price alone.
Lowest Price - The basis for awarding contracts for commodities among responsive
and responsible offerers.
New York State Labeled Wine - Wine made from grapes, at least
seventy-five percent (75%) of the volume of which were grown in New York State.
Pre-bid technical review - Submission by the prospective purchaser
of commodities or services, of the technical portion of a request for proposal, to
the appropriate office for pre-bid review, recommendation and/or approval. Such portion
shall be composed of a detailed description of the commodities to be purchased or
the services, including consulting or construction, to be performed.
Procurement Record - Documentation of the decisions made and the approach
taken in the procurement process and summarized in the Procurement Record Checklist.
Proposal - A bid or other form of written or oral submission of a quotation
by a contractor, upon purchaser's request, usually in competition with other contractors.
Proposals are usually opened publicly at a specific time and place.
Reasonableness of Price (methods of establishing) – including,
but not limited to comparing the quoted price with the price for the same or similar
services within the last six months; comparing the price with other quoted prices;
comparing the quoted price with prices in various procurement publications; reviewing
the type of work that was previously accepted by the campus at a similar price; comparing
the quoted price with cost to other governmental entities.
Recyclable - Any commodity that can be collected, separated, or otherwise
recovered from the solid waste stream for reuse, remanufacture or assembly of another
commodity, through a widely available and easily accessible program.
Recycled Commodity - Any commodity that has been manufactured from secondary
materials as defined in the NYS Economic Development Law and that meets the secondary
material content requirements of the office of general services.
Remanufactured - Any commodity that has been restored to its original performance
standards and function and is thereby diverted from the solid waste stream, retaining,
to the extent practicable, components that have been through at least one life cycle
and replacing consumable or normal wear components.
Renewable Sources - Are the following energy generating technologies: wind,
solar thermal, photovoltaics, sustainably managed biomass, tidal, geothermal, methane
waste and fuel cells.
Request for Proposals (RFP) - A form of solicitation used for procurements
of services and/or technology where factors in addition to cost are considered and
a comparative evaluation of the proposals is necessary.
Service(s) - The performance of a task or tasks, except for architectural,
engineering or surveying services, and may include a material good or a quantity of
material commodities, and which is the subject of any purchase or other exchange.
For the purposes of these procedures, "Technology" shall be deemed services.
Single Source - Is defined as "a procurement in which although two
or more offerers can supply the required commodities or services, the ... state agency,
upon written findings setting forth the material and substantial reasons therefore,
may award the contract to one offerer over the other".
Small Business - Is defined as one which is resident in this state, independently
owned and operated, not dominant in its field and employs one hundred or less persons.
Sole Source - Is defined as "a procurement in which only one offerer
is capable of supplying the required commodities or services."
Sports Equipment – Is defined as equipment, such as, but not limited
to, balls, bats and other goods intended for use by those participating in sports
Tabulation - A tabular format listing of all pertinent information from
contractors' proposals, including a description of the commodities and/or services
to be provided, which permits a comparison of proposals received and a determination
of the lowest responsible vendor.
Technology - Means either new or used commodities and/or services
which result in a technical method of achieving a purpose or improvement in productivity.
Form I - Contractor Compliance with Omnibus Procurement Act
Form II - Omnibus Procurement Act - 15 Day Notification Form
Form III - ST-220TD: Contractor Certification
Form IV - ST-220CA: Contractor Certification to Covered Agency
Form V - Consulting Reporting Form A: State Consultant Services - Contractor's Planned Employment
From Contract Start Date Through The End Of The Contract Term
Form VI - Consulting Reporting Form B: State Consultant Services Contractor's Annual Employment
Form VII - Certification of Compliance with Fair Labor Conditions
Form VIII - AC 1782, Authorized Signatures for Contract Execution
Form IX - Acknowledgment by Notary
Form X - Attorney General Transmittal Letter
Form XI - State Comptroller Transmittal Letter
Form XII - Procurement Record Checklist
Form XIII - Public Officers Law Form - Ownership of Controlling Interest
Form XIV - NYS Tax Exempt Letter
Form XV - Campus Procurement Certification
Other Related Information
In case of questions, readers are advised to refer to the New York State Legislature
site for the menu of New
York State Consolidated.
NYS Public Officers Law: Article 4 - (§§60 - 79) Powers and Duties of
§73(4) (Business or professional activities)
§74 (Code of ethics)
NYS Education Law §355 (Powers of Trustees)
NYS State Finance Law Article 2 - (§§2 - 19) General Fiscal Provisions
§8 (Duties of the comptroller)
NYS State Finance Law Article 9 - (§§135 - 146) Contracts
§139i (Obligations with respect to procurement contracts with New York state
and foreign business enterprises)
§139j (Restrictions on contacts during the procurement process)
§139k (Disclosure of contacts and responsibility of offerers)
NYS State Finance Law Article 11 (§§160 -168) State Purchasing
§§160 et seq. (State Purchasing)
§162 (Preferred Sources)
§163(9) (Soliciting and Accepting Offers)
§165(2) (Prohibition of Tropical Hardwoods)
§165(3) (Recyclable commodities)
§165(4) (Food Products)
§165(4-a) (NYS Labeled Wines)
§165(5) (MacBride Fair Employment Principles)
§165(6) (Discriminatory Jurisdictions)
§165(7) (Purchase of Apparel)
NYS Labor Law §349 (September 11 Bidders Registry)
NYS Corrections Law §184 (Articles Made at Correctional Institutions)
NYS Tax Law Article 1 - (§§1 - 28*2) Definitions: Miscellaneous
§5-a (Certification of registration to collect sales and compensating use
taxes by certain contractors, affiliates and subcontractors)
§19 (Green building credit)
NY State Alcoholic Beverage Control Law §76
NY State Economic Development Law §142
NY State Energy Law
Executive Order 21, dated August 3, 1983
Executive Order 142, dated January 16, 1991
Executive Order 111, dated June 10, 2001
Federal Equal Employment Opportunity Act of 1972 (P.L. 92-261)
Trade Commission's Safeguard Rule (16CFR Part 314)
Trade Commission's Privacy Rule (16CFR Part 313(n))
Act/Financial Services Modernization Act of 1999 FTC Safeguards Rule
Chapter 58 of the Laws of 2011
Chapter 562 of the Laws of 2003
Chapter 350 of the Laws of 2002
Chapter 95 of the Laws of 2000
Chapter 83 of the Laws of 1995
Chapter 531 of the Laws of 1993
Chapter 844 of the Laws of 1992
Chapter 807 of the Laws of 1992
Chapter 319 of the Laws of 1992
Chapter 346 of the Laws of 1991
Chapter 862 of the Laws of 1990
Chapter 386 of the Laws of 1989
Chapter 564 of the Laws of 1988
Chapters 552-555 of the Laws of 1985
to Financial Operations
Amended - April 1, 2011
- Removed the requirement for prior approval by any other state officer or agency
forthe purchase of materials, equipment and supplies, including computer equipment;
motor vehicles; construction and construction-related services contracts; and printing.
- Effective through June 30, 2016.
Amended - October 15, 2011
- Included updated information on Anti Sweatshop language and requirements to be
in line with NY State Finance Law Article 11 §165(7) (Purchase of Apparel) .
Amended – April 20, 2007
- Reflects increased threshold to $250,000 and related levels.
- Reflects requirements for Vendor Responsibility, Procurement Lobbying and Consulting
- General update and clarification of procedures
Amended – March 31, 2004
- Reflects requirements of Chapter 562 of the Laws of 2003 – “Sweatshop
Legislation” extended to sports equipment.
Amended – September 30, 2003
- Reflects requirements of Executive Order 127.
- Reflects requirements of Gramm-Leach Bliley Act and the FTC Safeguards Rule.
Amended – June 30, 2003
- Reflects requirements of Chapter 350 of the Laws of 2002 – “Sweatshop
- Reflects requirements of Executive Order 111 – “Green and Clean State
Buildings and Vehicles”
- Increase dollar levels for system administration program approvals for facilities
- References the Procurement Record Checklist as OSC requirement for contract approval
Amended – October 10, 2001
- Reflects increase thresholds from $30,000 to $50,000 for purchase of commodities/services
from NYS small businesses or certified Minority or Women-owned Business Enterprises.
- NYS Procurement guidelines become applicable for transactions exceeding $150,000.
- OSC required documentation at time of payment for "T" contract transactions.
Amended – November 17, 1999
- Item 310 Processing Proposed Contracts is combined into Item 300.
- Reflects increased dollar levels for competitive bidding requirements.
- Increase in dollar level for purchases which require prior review /approval of
AGO and OSC.
Amended - April 5, 1996
- Incorporates a process to ensure compliance with the conflict-of interest provision
of Public Officers Law § 73.
Amended - October 13, 1993
- Increase dollar thresholds above which the approval of OSC and AGO are required.
- Increase OGS consultation levels.
- Encompasses '92/'93 legislative mandates for the MacBride Fair Employment
Principles and Omnibus Procurement Act.
Amended – October 16, 1989
- Incorporates the requirements of Article 4C of the Economic Development Law.
Amended – September 25, 1986
- Encompasses rules and regulations governing contracting for services in accordance
with the authority provided to State University in Chapters 552-555 of the Laws of
- Revised to include payment procedures for the purchase of materials, equipment
and supplies including computer equipment and motor vehicles .
Amended – May 30, 1986
- Reflects additional purchasing authority provided to the State University as
a result of Chapter 552-555 of the Laws of 1985.
Supersedes – October 12, 1979
- Item 300 Purchasing and Contracting (Procurement) replaces and updates Procedure
Items 320.1 Purchasing - Items Not on Contract and 321 - Purchasing Small Items.
State University of New York Board of Trustees Resolution 01-116 adopted September
State University of New York Board of Trustees Resolution 99-121 adopted June
State University of New York Board of Trustees Resolution 93-204 adopted September
State University of New York Board of Trustees Resolution 93-135 adopted June
State University of New York Board of Trustees Resolution 92-17 adopted January
State University of New York Board of Trustees Resolution 89-128 adopted June
State University of New York Board of Trustees Resolution 86-51 adopted March
State University of New York Board of Trustees Resolution 85-151 adopted June
State University of New York Board of Trustees Resolution 83-17 adopted January
State University of New York Board of Trustees Resolution 80-275 adopted November
State University of New York Board of Trustees Resolution 78-331 adopted December
State University of New York Board of Trustees Resolution 50-106 adopted on
September 11, 1950
Letter to presidents from the office of University counsel, dated July 3, 2003.
Letter to presidents from the office of University counsel, dated May 13, 2003.
Letter to presidents from the office of the vice chancellor and chief operating
officer, dated November 5, 2002.
Letter to the vice chancellor for finance and business from the assistant deputy
comptroller, dated February 18, 1999.
Delegation of Authority signed by the chancellor, dated November 20, 1997.
Letter to University auditor from office of the University counsel, dated February
Letter to presidents from the office of the vice chancellor for capital facilities,
dated December 28, 1992.