Welcome to Sponsored Programs Administration - Award Management Services. This program is designed to provide campus end users with definitions, rules, guidelines, procedures and information.

Award Management Services would be glad to arrange classes for your department to provide a more in-depth overview of the purchasing function.

           I.         Getting Started 

  • Requisitioning
  • Time Savers
  •          II.          What do you want to buy? 

  • Animals
  • Appliances
  • Campus Stores and Service Centers
  • Cell Phones, PDAs and Mobile Communication Devices
  • Chemicals and Gases
  • Document/File Archiving Services
  • Document Imaging
  • Editorial Design and Graphic and Fine Art Services
  • Education and Training Services
  • Environmental Services
  • Financial and Insurance Services
  • Freight
  • Fuels
  • Furniture and Furnishings
  • Industrial Cleaning Services
  • Information Technology
  • Laboratory Equipment
  • Laboratory Supplies
  • Mail Services
  • Maintenance Services
  • Moving Services
  • Musical Instruments
  • Office Equipment
  • Office Supplies
  • Printing
  • Public Utilities and Public Sector Related Services
  • Published Products
  • Security and Safety Services
  • Shredding
  • Software
  • Storage and Warehousing
  • Temporary Personnel and Administrative Services
  • Textiles
  • Transportation Services
  •         III.         Procurement Processes

  • Invitation for Bid
  • Office of General Services (State) Contract
  • Online Ordering
  • Preferred Source Vendors
  • Request for Information
  • Request for Proposals
  • Request for Quotes
  • Single Source
  • Sole Source
  •       IV.          Contracts/Agreements

  • Consultant Contracts 
  • Data Use Agreement
  • Expenditure Contract 
  • Honoraria 
  • Leases 
  • Maintenance Agreements
  • Software Licenses 
  • Terms and Conditions
  •         V.          Regulations and Guidelines

  • Antiterrorism and Death Penalty Act of 1995 
  • Copeland "Anti-Kickback" Act 
  • Debarment and Suspension 
  • Ethics Law 
  • E-Verify 
  • Executive Orders 
  • Exhibit X 
  • Export Controls 
  • Fly America Act 
  • Health Insurance Portability and Accountability Act  
  • Insurance 
  • Disability Insurance
  • Lobbying 
  • Minority and Women-Owned Business Enterprise 
  • Procurement Integrity 
  • Split Ordering 
  • Threshold Requirements 
  • Vendor Responsibility 
  • Workers' Compensation
  •       VI.          Receiving and Payment 

  • Confirming Purchases 
  • Non-Procurable 
  • IRS Form W-9
  •      VII.          Post Procurement

  • Office of Equipment Management 
  •    VIII.          Power Point Presentations    

  • Level I - Introduction to Research Procurements
  • Level II - Procurements between $10,000 and $50,000
  • Level III - Procurements Over $50,000
  • Getting Started

    Requisitioning: The requisition begins the procurement process. Award Management Services has created a web-based requisition allowing end users to complete the document on their desktop, print and submit via email to ResearchPurchasing@albany.edu or fax to 518-442-5208. The purchase requisition should provide detail such as manufacturer, model number, vendors who can supply the product and it should note any required features/specifications. The information provided on the requisition should be detailed enough to ensure that the award can be made to a vendor meeting all of the features/specifications. Any missing information will result in a delay in processing. If a fax requisition is submitted, do not submit the original requisition as a follow up as duplication of the purchase could result.

    Once the requisition is received, a Grants Administrator reviews the request to ascertain if a number of required factors are met; including the availability of funds, authorized signatory, and the appropriateness of the expenditure.

    If the terms of the grant or contract do not provide for the specific purchase being requested, it will be necessary to obtain either sponsor or institutional approval.

    Time Savers: The procurement process is highly regulated and complex but there are steps that can be taken to speed up the process. These steps include

    • Verify that funds are available prior to requisition submittal
    • Have an authorized signatory on the account sign the requisition.
    • Establish a realistic timeline for purchase and delivery.
    • Complete the requisition online (still need to print and fax or email to ResearchPurchasing@albany.edu).
      Include sufficient detail in the description, including need by date.
      Attach any supporting documents, quotes, or agreements.
    • Submit all documents requiring a signature to Award Management Services MSC 100A or ResearchPurchasing@albany.edu.
    • Contact Sponsored Programs Administration, Award Management Services in advance with questions.


    What do you want to buy?
    Below are brief descriptions of a number of the commonly ordered items.

    Animals: The purchase and use of live, vertebrate animals for research at educational institutions is subject to state and federal regulation. Anyone wishing to use or house live vertebrate animals at the University for research or testing must have that use reviewed and approved by the Institutional Animal Care and Use Committee (IACUC) prior to any activities taking place.

    After IACUC approval, animals may be ordered by sending a Purchase Requisition to Laboratory Animal Resources for approval. Investigators may not place orders directly with a vendor, nor will purchases be executed without prior approval from the Laboratory Animal Resources.

    The Purchase Requisition must include:

    • the number of animals to be ordered
    • the species
    • specific requirements such as age, sex, timed pregnancies, etc...
    • preferred vendor
    • requested delivery date
    • the account number to be charged
    • and the approved protocol number

    Laboratory Animal Resources will review the requisition to ensure that an approved protocol exists, and that the number of animals does not exceed the approved number. Once the request is reviewed and approved, the Requisition will be forwarded to Sponsored Programs Administration for execution of the purchase.

    For more information, contact the Laboratory Animal Resources Facility at 591-8817 or e-mail at amckenna1@albany.edu.

    Appliances:  Some specific lab situations require the purchase of refrigerators and freezers. Personal use appliances usually found in kitchens cannot be purchased using Research Funds unless certain criteria are met. Kitchen appliances require prior approval by the Purchasing Associate based on a justification that meets established sponsor and/or OMB guidelines.

    Campus Stores and Service Centers: Purchases made from Campus Stores and the University's Service Centers do not require quotations or bids since the goods have been obtained through competitive pricing or through state contracts. These orders are to be placed directly with Campus Stores or the University's Service Centers.

    Cell Phones, PDAs, and Mobile Communication Devices: Mobile Communication Devices may be purchased from the NYS Office of General Services Contract under the comprehensive telecommunications contract. Vendors offer plans to cover local, long distance and text and other services. If a signed agreement is required, the user must send the agreement to Award Management Services for review and signature by the Assistant Vice President for Sponsored Programs Administration/Deputy Operations Manager. Before ordering a cell phone the purchaser should review their department and/or sponsor's policy on cell phone use. Cell phones will only be purchased by the Award Management Services for business use.

    The disposal of mobile communications devices, either as surplus or scrap, requires the completion and submission to the Office of Equipment Management of a Property Status Change Request Form containing an attestation that the data contained in the item has been erased and that it cannot be retrieved.

    Chemicals and Gases:  Chemical and gases purchased for lab or classroom use can be made via the online vendors, or with a requisition. Award Management Services provides copies of all hazardous material orders and Material Safety Data Sheets to the Office of Environmental Health and Safety who is responsible for campus compliance with chemical safety regulations.

    Document/File Archiving Services The University utilizes off-site records storage. Charges for these services are billed monthly and charged directly to the account provided at set up and registration for your department. This contract allows departments to box paper records into archive containers label them with any related information and apply a bar code sticker to the box. The box is then transmitted to the vendor location, where the bar code is scanned and the box is archived.

    Document Imaging:  Document imaging services can be procured through a preferred source, NYS Industries for the Disabled, or a Request for Proposal may be done in accordance with Research Foundation purchasing guidelines.

    Editorial and Design and Graphic and Fine Art Services:  The University has an Office of Communications and Marketing providing assistance with acquiring outside graphic and design services. Award Management Services is also ready to assist in procuring these services. Services of this type require a Request for Proposal that allows for the evaluation of quality standards as well as cost.

    Education and Training Services:   Training services may be procured through a Request for Proposal process.

    Environmental Services:  Environmental services such as Recycling, Hazardous Waste Removal, and Emergency Environmental Spill Response are procured through Award Management Services and require the establishment of formal contracts following a procurement process required. The New York State Industries for the Disabled may be able to provide Recycling and secure document destruction services.

    Financial and Insurance Services:  Should general liability insurance be required as part of a contractual obligation Award Management Services can procure the insurance through either the Risk Management unit of the RF of SUNY, or a larger contract may be procured through the Request for Proposal process. 

    Financial Services, such as banking and credit card services are either procured through either a Request for Proposal or via an OGS Contract.  

    Freight:  The Research Foundation takes advantage of an OGS established state contract for the general delivery of domestic packages and for international packages. These services and similar package delivery services, excluding those sent through the U.S. Postal Service, are delivered by the carrier directly to the ordering department. 

    Fuels: Fuel, such as heating oil and gasoline for use on campus can be purchased from the New York State OGS contract. Pricing is variable.

    Furniture and Furnishings:  Prior to purchasing furniture, please review the Office of Equipment Management web site for available surplus furniture and equipment. Before ordering Furniture and furnishings requiring installation, it is important to contact the Office of Facilities Management to ensure that the proper safety and code requirements are met. The NYS Office of General Services has a large number of furniture providers under contract to meet your needs. Insurance requirements must be met. For further information in acquiring these forms, please contact Award Management Services at 442-3196. Installation beyond normal inside delivery and setting in place is an open market purchase and will require formal bidding and contracting procedures before the work can begin.

    Industrial Cleaning Services:  Industrial cleaning services beyond what is provided by the Office of Facilities Management may be provided by the New York State Industries for the Disabled, a preferred source, or through a Request for Proposal or Invitation for Bid process.

    Information Technology:  There are a wide range of vendors who provide services under NYS OGS contracts from computers to telephones, assistive services, captioning, web conferencing and more. The site lists the commodities and services, as well and how to procure them. Award Management Services is ready to assist you in developing a package for an Invitation for Bid or Request for Proposal.

    When disposing of technological equipment, it is imperative that all information be removed from the piece of equipment prior to disposal. At the least, the cleaning of the hard drive is required regardless if the department scraps or surpluses a piece of equipment. A Property Status Change Request Form must be submitted to the Office of Equipment Management with an executed attestation that the data contained in the equipment has been erased and cannot be retrieved.

    Laboratory Equipment:  Equipment for use in labs and classrooms can be procured in a number of ways. Many items can be found on New York State OGS contract and through our online science vendors. A purchase requisition needs to be completed and if the dollar level and or availability warrants it, a bid with detailed specifications can be done by Award Management Services.

    Lab Supplies:  Lab supplies are those items that are intended to be used in the research lab or classroom and have a useful life of less than one year. They include items such as glassware, reagents, trays, slides, tools, and other items used in the operation of a laboratory. Those items requiring special approvals such as radioactive materials, lasers, syringes, and live vertebrates (lab animals) may not be ordered using the online system.

    To participate in this program, please complete the RF Online Order Form. Once access has been established, the vendor will notify you and provide you with user identification information and a password.

    Mail Services:  The Mail Services Department is a unit of Institutional Services at the University at Albany. Mail Services is located in the basement of the Business Administration Building, room B4. Service hours are 8:30 AM - 5:00 PM Monday through Friday during the academic year and 8:00 AM - 4:00 PM Monday through Friday during the summer. Mail Services receives mail each weekday morning from the U.S. Postal Service and delivers it to students, faculty, and staff on the uptown, downtown, and East Campuses, as well as to residential quads.

    Maintenance Services: Computers, copiers, printers, scientific equipment, and building operating systems may require annual maintenance contracts for upkeep and repair. The University has its own certified maintenance facility for University/Foundation owned computers and printers. All other equipment maintenance must be procured. Vendors who provide such service will be required to have insurance coverage.

    Award Management Services is responsible for negotiating all contracts and agreements, including equipment maintenance agreements and lease and rental agreements. Prior to the issuance of a purchase order, Award Management Services will secure all the necessary signatures. Once the agreement has been finalized the end user will receive a fully executed copy of the agreement and a copy of the purchase order.

    Moving Services: The Office of Facilities Management may be able to handle small moves, but for most projects, it will be necessary to procure the services of a moving company. For moving services related to Lab moves and equipment as well as office moves contact Award Management Services. 

    Musical Instruments: Musical instruments may be purchased in accordance with standard procurement procedures. If there is an agreement involved such as renting a piano for a performance the rental agreement terms and conditions including insurance requirements need to be reviewed in Award Management Services.

    Office Equipment:  Office Equipment includes copiers, printers, scanners, and computers. Office Equipment can be purchased from the NYS OGS Contract or by Invitation for Bid.

    All equipment purchases of $500 or more must be tagged by the Office of Equipment Management. A new asset receipt form is to be sent to OEM upon receipt of the items.

    Office Supplies:  The University provides desktop ordering of commonly used office supplies. The Rapid Copy Center offers a number of commonly used office supplies, which can be ordered via Digital Storefront.

    All orders for office supplies must be placed through one of the online vendor systems by departmental end users. The end user completes an order through the web application and depending on approval levels and the dollar value of the order; the order is then sent either directly to the vendor or is routed for departmental approval and/or approval from Award Management Services.

      • Business Cards, Letterhead, and Envelopes:  Currently Fantastic Graphics, Inc. is used for the printing of commonly used stationery products. This allows for letterhead, envelopes, and business cards to be purchased at significant savings. A number of the items can be produced on recycled paper. To place an order for these items, you must complete a RF Purchase Requisition. The layout and design of University and Research Stationary items cannot be altered or modified in any form without the prior approval of the Communications and Marketing Department. Stationery fonts, logos, and designs are all to be produced with adherence to the University Graphic Identity Manual. 

      • Paper:  Office use paper (for copying, printing, etc.) can be purchased from one of the online ordering vendors.

      Printing: The University's Rapid Copy Center, a unit of Institutional Services, provides printing services ranging from black and white copies to full color and bindery services.

      If your needs are not met by the Rapid Copy Center or the online stationery site, Award Management Services will need to contract with an outside vendor. The procedures for the procurement of printing services are the same purchasing guidelines that apply to all other purchases, including the following:

      • An executed Research Funded Purchase Requisition detailing the items to be procured. 
      • Samples if available. Any changes to the sample must be clearly noted on the printed sample. 
      • Specifications. If no sample is available, a specification sheet of the proposed item is to be submitted. The department will be required to provide the technical aspects to printed products. 
      • Vendor Quotes. If providing quotes, be sure vendor quotes meets the sample/specifications provided.

      • Specifications - Be as detailed as possible when writing the specifications for printed items. Be sure to include quantity required, paper, ink colors, binding/finishing and delivery instructions. If substitutes for paper or ink colors are acceptable, they must be noted with the specifications. 
      • Time Frame - Printing is not an overnight process. Be sure to plan for adequate lead-time for the processing of your requisition, quotations, and printing of your project. Some services and products require additional time or allow for manufacturing and completion of your products. 
      • Proofs - Requesting a proof prior to printing will add to production time. 
      • Quantities - Printing is a multiple process, the cost per unit goes down as the quantity goes up. Be sure to take into consideration your total needs, and storage capabilities. 
      • Delivery instructions - Be sure to include any specific deliver instructions that might apply. Addition charges could apply for orders not delivered on campus.  

      Public Utilities and Public Sector Related Services:  The Facilities Office of Energy Management manages the campus' use of Utilities. Award Management Services assists in procuring these services in addition to assisting in processing applications and agreements with NYSERDA to acquire grant funding for energy saving projects. Award Management Services also contracts with other Public Authorities such as public transportation services and Public Utilities such as internet, telephone, broadcasting, and cable television services. These services must be procured through Award Management Services. Depending on whether the provider is a State Agency, Public Authority, or Public Utility the procurement instruments, contract formats and approvals required will differ.

      Published Products:  The Office of General Services has many Library publishers and subscription services on contract. Individual books may be purchased through the OGS Contract, the campus bookstore, from the publisher or through a distributor.

      Security and Safety Services:  Security and Safety services beyond what is available on campus through the Office of Public Safety or Office of Environmental Health and Safety are available, contact Award Management Services.

      Shredding:  Secure Document Destruction services are a procurable service. Departments should send a purchase requisition to Award Management Services for its fiscal year needs describing the size, location, and schedule of services.

      Software: The University can take advantage of the New York State Office of General Services (OGS) contracts for software. OGS contracts for system hardware may require software, which may be purchased with the hardware or purchased separately from a software contract. SUNY offers software contracts and the University's Office of Information Technology Services has multi-site software licenses, which are available for a fee.

      Prior to any commitment being made, the terms and conditions must be reviewed and negotiated by Award Management Services. As with all other contracts and agreements, the agreement between the University and the software vendor requires the signature of the Assistant Vice President for Sponsored Programs/Deputy Operations Manager. Large software procurements may require that a formal Request for Proposal be done based on the value of the procurement.

      Storage and Warehousing:  Short and long term storage services are procurable services, please contact Award Management Services.

      Temporary Personnel and Administrative Services: Temporary staffing services are a procurable service. There are options available on the NYS OGS contract, or if this does not meet your need, procurement may be done.

      Textiles:  It is the policy of the University to require contractors, subcontractors and licensees to certify the adherence by manufacturers to labor standards in connection with working conditions, compensation, employee rights to form unions and the use of child labor.

      This policy affects the University and Research Foundation's expenditures for textiles, apparel, and sports equipment. Vendors supplying the University and the Research Foundation with textiles, apparel or sports equipment are required to submit with their proposal a Vendor Certification of Compliance with Fair Labor Conditions. In addition, the Research Foundation follows regulations which requires all contractors to pay the prevailing wage and sets specific limitations on child labor in age and hours worked.

      Any product containing the University designs, trademarks, service marks, logo, graphics, symbols, or other indicia must be from companies licensed by the Licensing Resource Group.

        • Apparel/Banners/Lab Coats/Sports Equipment: The University has certain policies, rules, and regulations that must be followed in the procurement of apparel items. These include any item that is woven or felted, including clothing, banners, bags, and sports apparel. All of the vendors that wish to provide these goods to the University must certify that they follow the Fair Labor practices. Without a Vendor Certification of Compliance with Fair Labor Conditions, the purchase cannot be made.

          The University also protects the use of its graphic identity, logo, and word mark through the use of the Licensing Resource Group (LRG). This certification that is obtained by the vendor, assures the University that our guidelines are followed. The links to the University Logos, LRG and the vendors can be found at the following sites:

        • Linens:  If you are planning an event and need to rent table linens, you should first check with your provider.  If the event is on-campus, you are likely using Sodexho as your caterer, and they provide linen rentals with their food service.

          If you find you need to rent linens, you should keep in mind that the University has adopted a policy aimed at ensuring that goods purchased, rented, or otherwise acquired are not produced under sweatshop conditions. Please reference the Textiles section above.

        Transportation Services:  General travel policies for Research Foundation related business can be found on the Award Management Services web page. Bus transportation services must be procured by Award Management Services and should include the size, type of buses and the tentative schedule. Parking and Mass Transit Services also provides Charter Services to University Departments.

        Procurement Processes

        Please review the methods outlined below, and if this does not fit your needs, please contact Award Management Services for additional information.

        Invitation for Bid:  An Invitation for Bid is used for procurements where the needed commodities, services, or technology can be purchased from exact specifications and the award can be made based on lowest price or best value. An IFB describes the administrative process; defines specifications; establishes required delivery terms, bidder qualifications, method of award, and terms and conditions; and provides instructions for responding.

        Office of General Services (State) Contract: The New York State Office of General Services (OGS) leverages New York State's buying power by combining state and local government agency requirements to establish contracts for considerable quantities. These contracts reduce administrative costs because OGS handles bid solicitation and evaluation, as well as contract development and management. Contracts for Commodities, Services, and Technology can be searched using the OGS search engine

        Online Ordering:

        Access to the online ordering systems requires a user sign on and/or user password. A simple online registration process is necessary to acquire user rights. A similar online process is used to amend user rights for an existing sign on.

        Please follow the instructions for either a new registration or to amend an existing registration. Click the submit button once you have supplied the required information. The information will be received in the Research Purchasing where it will be reviewed. If the registration is found to be in order it will be submitted to the selected vendor(s). If any anomalies are found with your submission, a staff member will contact you.

        There are two types of registrations:

        1. New Registration: this is to be selected for first time registrations. First time registrants are (a) first time using this form; (b) adding a new Research funded account(s)),; (c) adding an additional online vendor.
        2. Amended Registration: this is to be selected for the following changes in your profile (a) name; (b) e-mail address; (c) phone number; (d) departmental change; (e) street address; (f) ship to location; (g) approver (now need one or the current one has changed); (h) account number(s).

        You must be authorized to place orders on the accounts that you select. If you are not currently authorized to place orders for any accounts that you selected, please complete the Online Orders Account Authorization Form. Please have the Account Manager sign and date the form and send it to Research Purchasing

        The procurement types that are currently available via an online ordering option are as follows:

          • Industrial and Commercial Supplies and Equipment: To place an order for these items, from Grainger, you must complete an RF Online Order Form.

          • Laboratory Supplies: The University offers desktop ordering of commonly used lab supplies. All orders for lab supplies may be placed through the online vendor system by the departmental end users. An end user can complete an order through the web application and then route the order to either another departmental level for approval or directly to Award Management Services for approval and release to the vendor. Items requiring special approvals such as radioactive materials, lasers, syringes, and live vertebrates (lab animals) may not be ordered using the online system. To participate in this program, please complete the RF Online Order Form. Once access has been established, user identification information and a password will be provided by the vendor to the end user.

          • Office Supplies (Online): To participate in this program, you will need to complete the RF Online Order Form. When your registration with the vendor has been accepted, you will receive a system-generated e-mail with a username and a password. If orders require departmental approval, the departmental approver will need to register separately.

          • Stationery Supplies from Dupli: Letterhead, envelopes, and business cards can be purchased at significant savings. To place an order for these items, you must complete an RF Online Order Form.

          Preferred SourcesIt is the policy of the University that utilization of preferred sources occur whenever possible and should be considered whenever purchases of commodities or services are required. A Preferred Source is a designated vendor who, in an effort to advance certain social and economic goals, has received special provider status under New York State statute. NYS Correctional Services (Corcraft), National Industries for the Blind (formerly, Industries for the Blind), Industries for the Disabled, and the NYS Office of Mental Health are the current Preferred Sources.

          Request for Information: A Request for Information is a research and information-gathering document used when you seek to learn about the options available for addressing a particular need or want to obtain information from vendors to help create viable requirements for a potential solicitation. An RFI does not lead directly to an offer being made to a vendor.

          Request for Proposals:  A Request for Proposal (RFP) is a type of procurement document used for procurements where factors in addition to cost are considered and weighted in awarding the contract and where the method of award is the "best value", as defined by the State Finance Law. An RFP is generally used for the procurement of services or technology in situations where price is not the sole determining factor and the award will be based on a combination of cost and technical factors (best value).

          Request for Quotes:  A Request for Quotation is a type of procurement document, which can be used when a formal bid opening is, not required (e.g. discretionary, sole source, single source, or emergency purchases).

          Single Source:  A single source procurement is a purchase from a supplier who is chosen without the need to solicit the minimum number of bids or proposals because of limiting circumstances (e.g., warranty restrictions). A written request for single source waiver must accompany the requisition. Prior to entering into a single source transaction, Award Management Services will review the transaction for reasonableness of price and the single source nature of the item/service must be demonstrated. The rationale of the selection process must also be documented and becomes part of the procurement record.

          Substantiating single source procurements (limited number of suppliers), may include providing written documentation detailing prior substantial experience of the contractor, or service that is limited by authorized dealers and/or warranty holders.

          Sole Source:  A sole source procurement is a purchase from the only available supplier of the product or service. Therefore, no bids or proposals can be obtained. The procurement requires pre-approval of the Assistant Vice President for Sponsored Programs/Deputy Operations Manager.  Prior to entering into a sole source transaction, Award Management Services will review the transaction for reasonableness of price and the sole source nature of the item/service must be demonstrated. A written sole source justification must accompany the requisition 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 the procurement and only receive one response.

          Contracts and Agreements

          Award Management Services reviews the terms and conditions of all contracts and agreements before they are signed by the Assistant Vice President for Sponsored Programs Administration/Deputy Operations Manager.

          Formal contracts are required for all service agreements. Contracts and agreements, which are executed by unauthorized personnel, may result in that person being held personally responsible for its performance (payment, liability, etc.). Under no circumstance should work be authorized under contract until the contract has been approved and signed by all appropriate parties. An Insurance Certificate will be required from the contractor prior to contract execution. Project Directors planning to retain the services of a contractor may use the standard Vendor Contract (2.1.17). Award Management Services will assist you in the preparation and execution of these contracts.

          The common types of contracts include:

          Consultant Contract:  Consultant contracts are processed in Award Management Services. A consultant is an individual who, under written agreement signed by the Assistant Vice President for Sponsored Programs/Deputy Operations Manager in advance of the commencement of the obligation, performs a service(s) to a particular department or unit. Services provided are typically task oriented, specific in nature and of a limited, short duration. Remuneration for the accomplishment of the service(s) is typically established as a set fee, not an hourly rate and may not exceed levels established by the Foundation. All agreements must be supported by proper documentation regarding selection criteria, description of services, payment schedule and reasonableness of price before the agreement is executed.

          Data Use:  Data use agreements describe how data will be used and establishes who is permitted to receive or use the data.

          Expenditure Contract: An expenditure contract is an agreement between the Research Foundation and a vendor for compensation in exchange for services or commodities. Any dollar value threshold may require an expenditure contract.

          All contracts, license forms, and agreements must be submitted to Award Management Services. After review by the Purchasing Agent, they are forwarded to the appropriate signatory and returned to the department or contractor, as required. Contracts and agreements entered into by the Foundation may be signed ONLY by the Assistant Vice President for Sponsored Programs Administration/Deputy Operations Manager. Any other University employee who signs a contractor agreement may be held personally responsible for its performance (payment, liability, etc.).

          Contracts are initiated after the formal procurement process has been completed. Under no circumstances should work be authorized under a contract until the contract has been approved and signed by all appropriate parties. 

          Honoraria: Award Management Services has established guidelines for the payment of honorarium. Lecturers, guest speakers, and performing artists providing up to $2,500 in services of a short duration may be paid through the honorarium process. The University Honorarium Request Form must be submitted to Award Management Services to initiate an honoraria payment.

          Leases:  The Research Foundation leases real property in multiple locations for various uses.  The campus provides professional support in negotiating and executing lease agreements.

          The process is similar to any other procurement and all transaction threshold guidelines apply.  The end user defines the need for space off-campus, requests support via the requisitioning process, and due diligence begins.  Once the site is selected, negotiations between the Research Foundation and the Landlord begin, a contract is drafted, authorized signatures are obtained, and formal contract approval is obtained by all regulating agencies.

          Maintenance Agreements:  Maintenance Agreements must be reviewed by Award Management Services and signed by the Assistant Vice President for Sponsored Programs/Deputy Operations Manager. Maintenance Agreements should only be purchased for the current Research Foundation account term and should not be expended for future year expenses. Keep in mind that computers and printers can be repaired on campus at the PC Service Center, Lecture Center SB 27.

          If a Maintenance Agreement is for a piece of equipment containing a hard drive, please ensure that the agreement contains language regarding the deletion of the data contained in the hard drive.

          Software Licenses:  A large number of Software Licenses are available for purchase through the OGS catalog contract for software licenses. There are also OGS Contracts direct with software manufacturers for the products listed. Certain software packages are purchased in bulk by UAlbany Information Technology Services (ITS) and distributed for a fee. Software license terms including those found on web sites requiring acceptance (clickable agreements) are reviewed by Award Management Services before signature and approval by the Assistant Vice President for Sponsored Programs/Deputy Operations Manager.

          Terms and Conditions:  Any agreement including those that are found on web sites that require an affirmation of acceptance are reviewed by Award Management Services to be sure that the terms are in compliance with the Research Foundation, sponsor, and/or federal guidelines. A contractual obligation should not be made by an individual but must be reviewed by Award Management Services and executed by the Assistant Vice President for Sponsored Programs/Deputy Operations Manager. Terms and conditions are most commonly found with maintenance agreements and software licenses in addition to standard expenditure contracts for goods and services.

          Regulations and Guidelines

          The following provides summaries of a number of the regulations and laws, which the Research Foundation is subject to. Most of the summaries contain links to the full text of the regulation with additional information being found on the Research Foundation site.

          Antiterrorism Act and Effective Death Penalty Act: The Antiterrorism and Effective Death Penalty Act of 1996 is the product of legislative efforts stretching back well over a decade and stimulated to passage in part by the terrorists attacks in Oklahoma City and on September 11, 2001.

          Copeland "Anti-Kickback" Act:  Prohibits federal contractors or subcontractors engaged in building construction or repair from inducing an employee to give up any part of the compensation to which he or she is entitled under his or her employment contract and requires such contractors and subcontractors to submit weekly statements of compliance.

          Debarment and Suspension:   Debarment and suspension regulations 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.

          Ethics Laws: All activities of University faculty and staff should be performed in an ethical fashion; no employee should have any interest, financial or otherwise, direct or indirect, or engage in any business or transaction or professional activity or incur any obligation of any nature, which are in substantial conflict with the proper discharge of his/her duties.

          E-VerifyThis regulation requires the Research Foundation to verify that its employees are eligible to work in the United States. This regulation flows down to vendors who also must certify to eligibility of their workers.  Contracts funded from certain federal dollars must fall within the following criteria to comply:

          • E-Verify clause, FAR 52.222-54 is contained in the originating contract; 
          • Term of the work by the vendor is for more than 120 days;
          • The value of the contract is more than $100,000; and 
          • The contracted work does not involve commercially available off-the-shelf items and related services.

          Executive Orders:  From time to time, each sitting NYS Governor has within his power to issue an Executive Order. Executive orders are not laws, but do have the same binding nature. While the Research Foundationis not legislatively bound to these orders, the University, at the discretion of the President, may elect to adopt the same principles for all campus activities and procurements.

          The Governor of New York State has issued, and the President of the University has agreed to follow, Executive Order #4 Green Procurement and Executive Order # 18 Bottled Water. Award Management Services must follow these orders during the procurement process.

          Exhibit X:  A table of the U.S. federal government laws and implementing regulations that are applicable to Research Foundation contracts, agreements and purchase order terms and conditions is found within this exhibit. Exhibit X is not all inclusive of all applicable federal and state laws and regulations, and is subject to change as laws and regulations change. The Contractor must assure compliance with the requirements of Exhibit X, as applicable, to the work performed, or for the goods and services provided under the purchase order. For more information, review the Guidance for Exhibit X document. Exhibit X is incorporated in all Research Foundation contracts and purchase orders.

          Export Controls:  Procurements that involve the export of controlled items such as commodities, technology, software, or information to restricted foreign countries, persons, and entities must conform to export control regulations.  This is accomplished by a thorough review by Award Management Services with a search using the Visual Compliance program.  This service checks all appropriate restrictions by commodity, vendor, country, or individual name.

          Fly America Act: The Fly America Act was enacted in 1974 to mandate the use of U.S. flag air carriers for federally funded international travel. You may be asked to include this information in contracts requiring international travel on a federally funded award. To review the regulations, click on Fly America Act.

          HIPAA Requirement:  In procurements or contracts that may contain personally identifiable protected health information, all parties must certify to compliance with the Health Insurance Portability and Accountability Act of 1996 and regulations promulgated there under.

          Insurance:  Procurement regulations require evidence of various forms of insurance by vendors at the time a contract is entered into.  The Research Foundation of SUNY, The State of New York, and the State University of New York must be listed as additional insureds on all procurements.  The nature of the procurement will dictate the type and minimum level of insurance that is required. University at Albany, SUNY Certificate of Insurance Form

          Insurance for Research Foundation and sponsor-owned equipment is available through the Research Foundation Central Office. The Research Foundation offers property insurance, project related property insurance and administrative property insurance. Information can be obtained by contacting Award Management Services at 518-442-3196 or by completing and submitting a Central Office Certificate of Insurance Request Form.

          Disability Insurance: Disability insurance replaces a workers income should a sickness or illness prevent the worker from earning an income. The Workers' Compensation Board oversees all aspects of disability insurance.

          Prior to any permit being issued or any contract being entered into, Award Management Services must obtain acceptable proof that a business is either exempt from or has secured disability insurance. An ACORD form is not acceptable proof of workers' compensation disability coverage. The below listed forms are the only acceptable proofs of coverage:

            Lobbying:  On awards of $100,000 or more the Research Foundation is required to have all contractors file the required certification that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award.

            In addition, certain programs administered by the Research Foundation may be subject to the New York State Procurement Lobbying Law.

            Minority and Women Owned Business Enterprise: The White House's Office of Management and Budget Circular A-110 calls for recipients of federal awards, contracts and grants to make positive efforts to utilize small businesses, minority-owned firms, and women's business enterprises, whenever possible. When searching for minority and women-owned business enterprises Award Management Services often utilizes the New York State Division of Minority and Women-Owned Business Development listing of NYS certified MWBEs.

            Procurement Integrity:  Applying to all recipients of federal contracts or modifications at/over $100,000 per year, Section 423 of title 41 of the United States Code states, "Restrictions on disclosing and obtaining contractor bid or proposal information or source selection information" is the governing regulation for procurement integrity. This code prohibits the following activities by competing contractors, government procurement officials, and other individuals during the conduct of federal agency procurement. These activities generally include:

              • Soliciting or discussing post government employment 
              • Offering or accepting a gratuity
              • Soliciting or disclosing proprietary or source selection information.

              The Research Foundation must certify that they abide by the requirements of this regulation.

              Split Ordering: The practice of split ordering is defined as the procurement of commodities or services processed on various procurement documents in an effort to avoid thresholds and avoid appropriate procurement practices such as obtaining bids and advertising requirements. This practice is prohibited.

              Threshold Requirements: The Research Foundation has established four purchasing thresholds. The procurement threshold determines the steps that need to be taken to effect the procurement. The dollar amount of the procurement will drive the number and type of quotes, bids, or proposals sought.

              DOLLAR THRESHOLD


              UP TO $20,000

              REASONABLE PRICE (as determined by Purchasing Agent)

              $20,000.01 TO $50,000


              $50,000.01 TO $100,000


              $100,000.01 AND ABOVE


              Purchasing Staff Reserve the Right to Seek Appropriate Competition at Any Level

              In addition to the number of quotes, bids, or proposals that must be sought, the dollar value of the procurement determines a number of other requirements that the Purchasing Associate must take.

              Vendor Responsibility:  Contracts shall be made only with responsible contractors who possess the potential ability to perform successfully under the terms and conditions of the proposed procurement. Consideration shall be given to such matters as contractor integrity, record of past performance, financial and technical resources, or accessibility to other necessary resources.

              Workers' Compensation:  Prior to any permit being issued or any contract being entered into for work in which employees of a business will be engaged in employment the Research Foundation must obtain acceptable proof that a business is either exempt from or has secured workers' compensation insurance. An ACORD form is not acceptable proof of workers' compensation coverage.  The below listed forms are the only acceptable proofs of workers' compensation coverage:

                Receiving and Payment

                Confirming Purchases:  The failure to follow the Purchasing process may result in a violation of a Federal or sponsor or local guideline, regulation or requirement. As Award Management Services monitors these guidelines, regulations and requirements, it is imperative that all Research Funded purchases be conducted through Award Management Services. The violation of a guideline, regulation or requirement may result in a loss of funding and cancellation of the award. Additionally, purchases made outside of the purchasing process could become the personal liability of the individual making the commitment. If the terms of a grant or contract do not provide for a specific purchase, it will be necessary to obtain the approval of either the sponsor or institution.

                Non-Procurable:  Due to the nature of the selection process, some items are considered non-procurable, (i.e., fellowships and stipends). Departmental approved requisitions for these types of items should be sent directly to the Accounting Office to be matched to the vendor invoice and paid.

                IRS Form W-9:  Prior to a purchase order being cut or a contract entered into vendors must complete and submit IRS Form W-9 to Award Management Services. Foreign vendors must complete and submit appropriate IRS Form W-8BEN-E.

                Post Procurement

                Office of Equipment Management
                : The Office of Equipment Management  manages the inventory of all assets items purchased by the campus regardless of funding source. Each item purchased with a value of $500 or more must be tagged by the Office of Equipment Management. A New Asset Receipt form must be completed and sent to the Office of Equipment Management for all assets valued at $500 or more.

              Prior to the procurement of items in excess of $25,000, a search will be conducted of campus inventory by the Property Control Officer. The completion of the Equipment Screening Certificate is a necessary part of the process.

              PowerPoint Presentations

              Award Management Services has created a series of PowerPoint presentations to take end users through some of the more important areas of the Research Funded Purchasing process. Please note that the purpose of these presentations is to provide a broad overview of the Research Funded Purchasing process and should not be taken as all encompassing. If you have any questions regarding the purchasing process, please do not hesitate to contact Award Management Services.

    Sponsored Programs Administration


    Information for Vendors

    1. Form W-9
    2. Minority and Women-Owned Business Enterprises
    3. Procurement Debriefing
    4. OSHA Legislation
    5. Prevailing Wages

    Form W-9

    It is the responsibility of the Research Foundation to collect from each vendor which it does business with a Form W-9. Prior to any purchase order being issued or any contract being finalized a Form W-9 must be on file with Sponsored Programs Administration. Sole proprietors who are not U.S. citizens and businesses organized/incorporated outside of the United States are required to complete and submit an IRS Form W-8BEN-E.

    Minority and Women-Owned Business Enterprises

    The White House's Office of Management and Budget Circular A-110 calls for recipients of federal awards, contracts and grants to make positive efforts to utilize small businesses, minority-owned firms, and women's business enterprises, whenever possible. When searching for minority and women-owned business enterprises, Sponsored Programs Administration often utilizes the New York State Division of Minority and Women-Owned Business Development listing of NYS certified MWBEs. Information on becoming a NYS certified minority or women-owned business enterprise could be obtained at the New York State Division of Minority and Women-Owned Business Development.

    Procurement Debriefing

    It is the policy of Sponsored Programs Administration to notify, in writing, every non-winning responder of his or her right to schedule a debriefing with the Purchasing Associate in charge of the procurement.  The debriefing opportunity will be limited to the responder's evaluation results as they apply to their proposal and not as a comparison to the winning responder.  To schedule a debriefing the non-winning responder may contact the Purchasing Associate in charge of this procurement within 5 business days of the date of the non-selection letter.

    OSHA Legislation

    Chapter 282 of the Laws of 2007, codified as Labor Law Section 220-h mandates that every worker employed in the performance of a public work project of at least $250,000 shall be certified as having completed an OSHA 10 safety training course.  The clear intent of this provision is to require that all employees of public work contractors receive such training prior to the performing any work on the project.

    All contractors and subcontractors must attach a copy of proof of completion of the OSHA 10 course to the first certified payroll submitted to the contracting agency and on each succeeding payroll where any new or additional employee is first listed.

    Proof of completion may include but is not limited to:

    • Copies of bona fide course completion card; or 
    • Training roster, attendance record of other documentation from the certified trainer pending the issuance of the card; or 
    • Other valid proof.

    A certification by the employer attesting that all employees have completed such course is not sufficient proof that the course has been completed.

    Any questions regarding this statute may be directed to the New York State Department of Labor, Bureau of Public Work at 518-457-5589.


    NOTE: The OSHA 10 Legislation only applies to workers on a public work project that are required under Article 8 to receive the prevailing wage.

    Please visit the New York State Department of Labor OSHA 10 section for information concerning the OSHA 10 requirements. For information on OSHA 10-hour Construction Safety and Health courses. Please visit the New York State Department of Labor website for additional information.

    Prevailing Wages

    Many of the Research Foundations grants are subject to varying federal guidelines on prevailing wages. Among the laws governing prevailing wages, which the Research Foundation may be subject to, are the Davis-Bacon Act; the McNamara-O'Hara Service Contract Act; and the Walsh-Healey Public Contracts Act.

    The Davis-Bacon Act 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.

    Covered contractors must maintain payrolls and basic records and submit certified weekly payrolls. Records to be maintained include:

    • Name, address, and social security number of each employee;
    • Each employee's work classification(s);
    • Hourly rate(s) of pay (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof);
    • Daily and weekly numbers of hours worked;
    • Deductions made; and
    • Actual wages paid.

    Contractors can utilize Form WH-347 to satisfy the reporting requirements.

    The McNamara-O'Hara Service Contract Act applies to every contract entered into by the United States, the principal purpose of which is to furnish services to the United States with service employees. The Act requires contractors and subcontractors performing services on covered federal contracts in excess of $2,500 to pay service employees in various classes no less than the monetary wage rates and to furnish fringe benefits found prevailing in the locality, or the rates (including prospective increases) contained in a predecessor contractor's collective bargaining agreement. Safety and health standards also apply to such contracts.

    The same records as maintained under Davis-Bacon are to be maintained under the McNamara-O'Hara Act.

    The Walsh-Healey Public Contracts Act requires contractors engaged in the manufacturing or furnishing of materials, supplies, articles, or equipment to the U.S. government to pay employees who produce, assemble, handle, or ship goods under contracts exceeding $10,000, the federal minimum wage for all hours worked and time and one half their regular rate of pay for all hours worked over 40 in a workweek.

    The payrolls and the basic records pertaining thereto shall be maintained during the course of the work and preserved for a period of three years thereafter.