Legal and Compliance
Purchasing and Contracting (Procurement)
February 11, 2021
This procedure item applies to:
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 and external 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 (see Item 7554) or for construction-related consulting services (see Item 7555) must follow those procedures where they differ from this document.
Should you have question regarding this procedure please contact your campus counsel.
"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 numbers. 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 access. 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."
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 II (D)(2).
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 II 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- 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 offerer.
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 or technology.
Discretionary Purchase – Purchases below an established dollar level that are authorized by law to be made without a formal competitive process.
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.
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.
Single Source - a procurement in which although there are two or more potential offerers, the agency has determined that it is in the best interest of the State to procure from a particular vendor. OSC approval must be obtained for a single source contract if SUNY is seeking a waiver from advertising in the New York State Contract Reporter and/or if the contract's value is over SUNY's discretionary threshold.
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 - a procurement in which only one offerer is capable of supplying the required commodities or services. OSC approval must be obtained for a sole source contract if SUNY is seeking a waiver from advertising in the New York State Contract Reporter and/or if the contract's value is over SUNY's discretionary threshold.
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 and games.
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 a good or a service or a combination thereof, used in the application of any computer or electronic information or interconnected system that is used in the acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or voice including, but not limited to, hardware, software, information appliances, firmware, programs, systems, networks, infrastructure, media, and related material used to automatically and electronically collect, receive, access, transmit, display, store, record, retrieve, analyze, evaluate, process, classify, manipulate, manage, assimilate, control, communicate, exchange, convert, coverage, interface, switch, or disseminate data of any kind or form, and shall include all associated consulting, management, facilities, maintenance and training. Goods may be either new or used.
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 Report
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 - Request for Exemption from Using a System-wide Contract
Construction-Related Consultant Contracting Procedures
Participation by Minority Group Members and Women (MWBEs) with Respect to State University of New York Contracts
Contract Award Protest Procedure
In case of questions, readers are advised to refer to visit the Laws of New York.
NYS Public Officers Law: Article 4 - (§§60 - 79) Powers and Duties of Public Officers
§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)
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
Amended – February 2020
Amended - April 1, 2011
Amended - October 15, 2011
Amended – April 20, 2007
Amended – March 31, 2004
Amended – September 30, 2003
Amended – June 30, 2003
Amended – October 10, 2001
Amended – November 17, 1999
Amended - April 5, 1996
Amended - October 13, 1993
Amended – October 16, 1989
Amended – September 25, 1986
Amended – May 30, 1986
Supersedes – October 12, 1979
State University of New York Board of Trustees Resolution 01-116 adopted September 25, 2001
State University of New York Board of Trustees Resolution 99-121 adopted June 22, 1999.
State University of New York Board of Trustees Resolution 93-204 adopted September 23, 1993.
State University of New York Board of Trustees Resolution 93-135 adopted June 24, 1993.
State University of New York Board of Trustees Resolution 92-17 adopted January 16, 1992.
State University of New York Board of Trustees Resolution 89-128 adopted June 21, 1989.
State University of New York Board of Trustees Resolution 86-51 adopted March 26, 1986.
State University of New York Board of Trustees Resolution 85-151 adopted June 26, 1985.
State University of New York Board of Trustees Resolution 83-17 adopted January 26, 1983.
State University of New York Board of Trustees Resolution 80-275 adopted November 25, 1980.
State University of New York Board of Trustees Resolution 78-331 adopted December 20, 1978.
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 6, 1996.
Letter to presidents from the office of the vice chancellor for capital facilities, dated December 28, 1992
Appendix B - Standard Contract Clauses - Affirmative Action Clauses - Exhibit A-1
Standard Contract Clauses State University of New York - Exhibit A