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Research Funded Purchasing & Contracts
 
Institutional Services |Purchasing and Contracts |Research Funded Purchasing | Legal

Legal

Research funded purchasing is subject to a number of federal and state laws, orders, bulletins, policies and procedures. The below table provides a brief description to most of these items plus links with additional information. The table is organized in the following manner: (1) Federal Statutes; (2) Federal Executive Orders; (3) Federal OMB Circulars; (4) Federal Guidelines; (4) NYS Laws; and  (5) NYS Governor's Executive Orders.  This listing is as of March 14, 2013.

 

Type of Regulation

Name of Regulation

Legal Section

Summary

Federal
Statute

Americans with
Disabilities Act

47 USC 225

The Act recognizes and protects the civil rights of people with disabilities.  The
ADA addresses access to the workplace (title I), State and local government services (title II), and
places of public accommodation and commercial facilities (title III). It also requires phone
companies to provide telecommunications relay services for people who have hearing or speech
impairments (title IV) and miscellaneous instructions to Federal agencies that enforce the law (title V).

Federal
Statute

The American Recovery and Reinvestment Act of 2009

Public Law 111-5

Provides federal funding and tax relief to organizations and individuals to alleviate the current economic crisis.

Federal
Statute

Animal and Plant Health
Inspection Service

9 USC 121

Implements the provisions of the Agricultural Bioterrorism Protection Act of 2002 setting forth the requirements for possession, use, and transfer of select agents and toxins. The biological agents and toxins listed in this part have the potential to pose a severe threat to public health and safety, to animal health, or to animal products.

Federal
Statute

Animal Welfare
Act

7 USC 2131

The Animal Welfare Act regulates the treatment of animals in research, exhibition, transport, and
by dealers. Other laws, policies, and guidelines. The Act requires that minimum standards of care
and treatment be provided for certain animals bred for commercial sale, used in research, transported
commercially, or exhibited to the public.

Federal
Statute

Antiterrorism and
Effective Death
Penalty Act of 1995

18 USC 2332d, Section 321

Among other issues the Act restricts the possession and use of materials capable of producing
catastrophic damage in the hand of terrorrists. It implements a treaty requiring the countries of the
world to limit plastic explosives to those with detection devices implanted within them.

Federal
Statute

Buy American
Act

41 USC 10a-10d

The Act applies to all U.S. federal government agency purchases of goods valued over the micro
purchase threshold ($3,000 for the most part), but does not apply to services. Under the Act,
all goods for public use must be produced in the U.S., and manufactured items must be manufactured
in the U.S. from U.S. materials. The Act favors products from American firms on U.S. federal
government contracts.

Federal
Statute

Byrd Amendment
Concerning Lobbying

31 USC 1352

All awards in excess of $100,000 requires the Research Foundation and any contractors to certify
that none of the funds will be used to influence or attempt to influence any employer of a federal
agency; a member of Congress; an employee of Congress; or an employee/member of Congress
with regard to a specific award. The Act imposes sanctions on violators including debarment.

Federal
Statute

Civil Rights Act
of 1964

42 USC 3601

Among other aspects the Act enforces the constitutional right to vote, provides protection against discrimination in public education and established a Commissionon Equal Employment Opportunity.

Federal
Statute

Clean Air Act

42 USC 7401 - 7661

EPA sets limits on certain air pollutants, including setting limits on how much can be in the air
anywhere in the United States. This helps to ensure basic health and environmental protection from
air pollution for all Americans. The Clean Air Act also gives EPA the authority to limit emissions of
air pollutants coming from sources like chemical plants, utilities, and steel mills. Individual states or
tribes may have stronger air pollution laws, but they may not have weaker pollution limits than those set
by EPA.

Federal
Statute

Clean Water Act

33 USC 1251 - 1376

The Act offers Federal protection to the country’s waterways. The Act’s purpose is to stop
pollutants from being discharged into waterways and to maintain water quality to provide a safe
environment for fishing and swimming. The Act also includes sections devoted to wetlands.

Federal
Statute

 Conflict of Interest

 42 CFR 50,
Subpart F

The University/Research Foundation is to maintain a Conflict of Interest policy. All Investigators are
to be informed of this policy and reasonable steps are to be taken to ensure
Investigators comply with the policy.

Federal
Statute

 Conflict of Interest

 45 CFR 94

The University/Research Foundation is to maintain a Conflict of Interest policy. All Investigators
are to be informed of this policy and reasonable steps are to be taken to ensure Investigators
comply with the policy.

Federal
Statute

Contract Work Hours
and Safety Standards Act

40 USC 3701-3708

Defines the 40 hour workweek as the standard number of hours for laborers and mechanics working
on government contracts and establishes health and safety standards . Sets the method of reporting
violations by contractors and the penalties associated with them.

Federal
Statute

Copeland
(Anti-Kickback)
Act

40 USC 3145

It is illegal to induces any person employed in the construction, prosecution, completion or repair of any public building, public work, or building or work financed in whole or in part by loans or grants from the United States, to give up any part of the compensation.

Federal
Statute

Davis Bacon Act

Public Law 107-217

Requires all contractors and subcontractors performing work on construction contracts or federally assisted contracts in excess of $2,000 to pay the prevailing wage. The prevailing wage rate is determined by the Secretary of Labor for inclusion in covered contracts.

Federal
Statute

Employment
Eligibility
Verification

E-Verify (FAR Clause 52.222.54)

Contracts entered into by the University with a vendor that are for more than $3,000 and are for commercial or noncommercial services or construction that are a related to a contract between the University and a federal agency which contains the E-Verify clause, is for more than $100,000 with a term of more than 120 days and does not involve commercially available off the shelf items and related services are subject to E-Verify

Federal
Statute

Export
Controls

Department of Commerce - Export Administration Regulations - Bureau of Industry and Security

The Bureau of Industry and Security is responsible for implementing and enfocing the Export Administration Regulations (EAR). EAR (title 15, sections 730 -774 of the Code of Federal Regulations)  applies to dual use technologies, technical data and commodiites that have both commercial and militaty/security applications. For additional information on export controls, please go to http://www.albany.edu/purchasing/research_funded/export_controls_rf.html 

Federal
Statute

Export
Controls

 Department of Commerce - Commerce Control List

The Commerce Control List is part of the EAR it identifies the ten categories of controlled items. For additional information on export controls, please go to http://www.albany.edu/purchasing/research_funded/export_controls_rf.html

Federal
Statute

Export
Controls

 Department of State - International Traffic in Arms Regulations

The Directorate of Defense Trade Control is charged with the controlling the export and temporary import of defense articles and defense services controlled by the U.S. Munitions list and it therefore is responsible for the enforcement of the International Traffic in Arms Regulations. For additional information on export controls, please go to http://www.albany.edu/purchasing/research_funded/export_controls_rf.html 

Federal
Statute

Export
Controls

Department of Treasury - Office of Foreign Asset Control

The Office of Foreign Assets Control ithin the Department of the Treasury is responsible for administrating and enforcing trade sanctions against targeted foreign countries, foreign regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the U.S. For additional information on export controls, please go to http://www.albany.edu/purchasing/research_funded/export_controls_rf.html

Federal
Statute

Fair Labor Standards
Act of 1938

29 USC 201

Provides for the establishment of fair labor standards for workers affecting interstate
commerce including minimum wage and overtime pay.

Federal
Statute

Family and Medical
Leave Act of 1993

29 USC 2654

Allows Research Foundation employees during any 12 month period to  take up to 12
weeks of leave for the birth, adoption or foster care placement of a child; the care of a child,
spouse or parent with a serious medical issue; or a serious health issue that makes the employee
unable to perform his/her task.

Federal
Statute

The Family Education
Rights and Privacy Act

20 USC 1232g;
34 CFR Part 99

A Federal law that protects the privacy of student education records. The law applies to all schools that receive funds under an applicable program of the U.S. Department of Education.

Federal
Statute

The Financial Modernization
Act of 1999
(Gramm-Leach Bliley Act)

Public Law 106-102,
113 Stat 1338

Includes provisions to protect consumers’ personal financial information held by financial institutions and the disclosure of such information by all institutions, whether or not financial.. There are three principal parts to the privacy requirements: the Financial Privacy Rule, Safeguards Rule and pretexting provisions.

Federal
Statute

Fly America Act

49 UCS 40118

 The Fly America Act encourages travel to and from the U.S. on U.S. carriers and requires,
under most circumstances that transportation of Government-financed passengers and property
be on U.S. carriers.

Federal
Statute

The Health Insurance
Portability and
Accountability Act
of 1996

Public Law 104-191

Protects the privacy of individually identifiable health information; the HIPAA Security Rule, which sets national standards for the security of electronic protected health information; and the confidentiality provisions of the Patient Safety Rule, which protect identifiable information being used to analyze patient safety events and improve patient safety. The clauses found in Exhibit Z, see above, pertain to this law.

Federal
Statute

Occupational Safety
and Health Act of 1970

42 USC 3142

The Act was enacted to ensure safe and healthful working conditions for working men and women by setting and enforcing standards and by providing training, outreach, education and assistance.

Federal
Statute

Patent and Trademark
Act of 1980

 

Created a uniform patent policy among the many federal agencies that fund research,
enabling small businesses and non-profit organizations, including universities, to retain
title to inventions made under federally-funded research programs. The major provisions
of the Act include: (1) Non-profits, including universities, and small businesses may elect
to retain title to innovations developed under federally-funded research programs;
(2) Universities are encouraged to collaborate with commercial concerns to promote
the utilization of inventions arising from federal funding; (3) Universities are expected
to file patents on inventions they elect to own; (4) Universities are expected to give
licensing preference to small businesses; (5) The government retains a non-exclusive
license to practice the patent throughout the world; and (6) The government retains
march-in rights (the right for the government to grant a license if the patent holder
refuses to grant a license to responsible applicant on reasonable terms).

Federal
Statute 

Possession, Use, and Tranfer
of Select Agents and Toxins

42 CFR 73

Sets forth the guidelines for the handling of select agents and toxins that have potential to pose a severe threat to public health and safety, to animal and plant health, or to animal and plant products.

Federal
Statue

Public Health
Services Act

NIH Guide Notice
OD-00-039

Requires Investigators utlizing human subjects in National Institute of Health research take
education on the protection of the human subjects.

Federal
Statute

Small Business Act
of 1958

15 USC 6311-657

This act established a program allowing equity capital to flow to the nations small businesses. Among other  items it established the Business Development/Small Disadvantaged Business Development status determination.

Federal
Statute

Small Purchase Threshold

41 U.S.C. 403 (11)

 Defines the small purchase threshold/simplified acquisition threshold as being $100,000.

Federal
Statute

Vietnam ERA
Veterans
Readjustment Act
of 1972

38 USC 4212

The Act requires that employers provide equal opportunity and affirmative action
for Vietnam Era Veterans, special disabled veterans, and veterans who served on
active duty during a war or in a campaign or expedition for which a campaign badge
has been authorized. The Act also requires the implementation of an affirmative action
program for eligible veterans.

Federal OMB
Circular

Cost Principles for Educational
Institutions

OMB Circular A-21 

Establishes principles for determining costs applicable to grants, contracts, and other agreements
with educational institutions.This is the primary allowability reference, and is online for
any investigator to review. 

Federal OMB
Circular

Uniform Administrative
Requirements for Grants
and Agreements with Institutions
of Higher Education, Hospitals,
and Other Non-Profit Organizations 

OMB Circular A-110

Sets forth standards for obtaining consistency and uniformity among Federal agencies in the
administration of grants to and agreements with institutions of higher education, hospitals, and other
non-profit organizations. The standards contained in this section do not relieve the
University of any other Contractual Responsibilities.  

Federal OMB
Circular

Audits of States, Local Governments,
and Non-Profit Organizations 

OMB Circular A-133

Sets forth standards for obtaining consistency and uniformity among Federal agencies for the
audit of States, local governments, and non-profit organizations expending Federal awards.

Federal
Executive
Order

Debarment
and
Suspension

Executive Order 12549

Apply to all agreements in excess of $25,000 including all subrecipients. Federal regulations
prohibit, and vendors are required to certify, that neither their firm nor the principals
of the firm are debarred or suspended from participating in federal non-procurement
transactions. Vendors certify to this by completing the Debarment Certification form.

Federal
Executive
Order

Debarment
and
Suspension

Executive Order 12689

Apply to all agreements in excess of $25,000 including all subrecipients. Federal regulations
prohibit, and vendors are required to certify, that neither their firm nor the principals
of the firm are debarred or suspended from participating in federal non-procurement
transactions. Vendors certify to this by completing the Debarment Certification form.

Federal
Executive
Order

Equal
Employment
Opportunity

Executive Order 11246

Prohibits federal contractors and subcontractors and federally-assisted construction contractors
and subcontractors that generally have contracts that exceed $10,000 from discriminating in
employment decisions on the basis of race, color, religion, sex, or national origin. It also requires
covered contractors to take affirmative action to ensure that equal opportunity is
provided in all aspects of their employment.

Federal
Executive
Order

Notification of Employee
Rights Under
Federal
Labor Laws

Executive Order 13496

Federal contractors and subcontractors are required to inform employees of their rights under the
National Labor Relations Act (NLRA), the primary law governing relations between unions and
employers in the private sector. The notice, prescribed in the Department of Labor's regulations,
informs employees of Federal contractors and subcontractors of their rights under the NLRA to
organize and bargain collectively with their employers and to engage in other protected concerted activity

Federal
Guidelines

Research Involving
Recombinant DNA
Molecules

NIH Guidelines

Guidelines which are to be followed in the handling of recombinant
DNA molecules and organisms and viruses containing recombinant
DNA molecules.

New York
State Law

Use of Ultra Low Sulfur Diesel Fuel and Best Available Technology by the State

 Environmental Law - Section 19-0323

Contractors must certify and warrant that all heavy duty vehicles, as defined in ECL section 19-0323, to be used by the Contractor, its Agents or Subcontractors under contracts/purchase orders entered into with the University, comply with the specifications and provisions of ECL section 19-0323 and any regulations promulgated pursuant thereto.

New York
State Law

Restrictions on Contacts During the Procurement Process

State Finance Law - Section 139j

Covers permissible and impermissible contacts during the procurement process.

New York
State Law

Disclosure of Contacts and Responsibility of Offerers

State Finance Law - Section 139k

Covers the disclosure requirements of vendors during the procurement.

New York
State Law

Disability Insurance

Workers' Compensation Law  - Sec 220 (8)

Prior to entering into any purchase order or contract, a vendor must show acceptable proof of carrying NYS Disability or be legally exempt.

New York
State Law

Workers' Compensation

Workers' Compensation Law - Sec 220 (57)

Prior to entering into any purchase order or contract, a endor must show acceptable proof of carrying NYS Workers' Compensation Insurance or be legally exempt.

NYS Governor's
Executive Orders

Executive Order 4 - Establishing
a State Green Procurement
and
Agency Sustainability Program

Executive Order 4
(Governor Paterson)

 In the purchase of copy and janitorial paper, the campus must follow these guidelines: (1) The use of copy paper,
janitorial paper and other paper composed of 100% post-consumer recycled content and processed chlorine-free
to the extent practicable. (2) The use of 100% post-consumer recycled content paper to the extent practicable in
all University publications. (3) The implementation of programs to separate recyclable materials.
(4) The implementation of programs to reduce waste.

 NYS Governor's
Executive Orders

Executive Order 18 - Restricting the
Use of Bottled Water at State
Facilities and Promoting
Executive Agency Sustainability

Executive Order 18
(Governor Paterson)
(Kevin Wilcox Memo)

 Except for limited circumstances, prohibits the use of campus funds for the purchase of bottled water


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