Legal

State 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 these items plus a link providing additional informaiton. The table is organized in the following manner: (1) Federal Statutes; (2) Federal Executive Orders; (3) Federal OMB Circulars (4) NYS Laws; (5) NYS Governor's Executive Orders; (6) Division of Budget Bulletins; (7) Office of the State Comptroller A and G-Bulletins; (8) SUNY Policies and Procedures; (9) SUNY Contract Exhibit Clauses; and (10) Campus Policies. This listing is as of April 1, 2013.

Type of Regulation Name of Regulation Legal Section Summary
Federal Statutes Animal and Plant Health Inspection Service 7 CFR Part 331 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 plant health or plant products. Works in conjuction with 9 CFR Part 121 and 42 CFR Part 73.
Federal Statutes Animal and Plant Health Inspection Service 9 CFR Part 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. Works in conjunction with 7 CFR Part 331 and 42 CFR Part 73.
Federal Statutes Export Controls Department of Commerce - Bureau of Industry and Security The Department of Commerce's Bureau of Industry and Security (BIS) regulates the export and reexport of most commercial items. Dual-use items that have both commercial and military or proliferation applications and commercial items are also subject to export controls.
Federal Statutes Export Controls Department of Commerce - Commerce Control List This list contains all of the items subject to the export licensing authority of the BIS as discussed above.
Federal Statutes Export Controls Department of State - International Traffic in Arms Regulations Regulations dictating the information and material pertaining to defense and military related technologies which may only be shared with U.S. Persons unless authorization from the Department of State is received or a special exemption is used.
Federal Statutes Export Controls Department of Treasury - Office of Foreign Asset Control The Office of Foreign Assets Control administers and enforces economic and trade sanctions based on US foreign policy and national security goals.
Federal Statutes The Family Education Rights and Privacy Act 20 USC 1232g; 34 CFR Part 99 A Federal law protecting 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 Statutes Employment Eligibility Verification E-Verify (FAR Clause 52.222.54) Regulates federal contracts and subcontracts that meet specific criteria.
Federal Statutes The Health Insurance Portability and Accountability Act of 1996 Public Law 104-191 HIPAA sets national standards for the security of electronic protected health information. The clauses found in SUNY Exhibit Z pertain to this law.
Federal Statutes 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 and the disclosure of such information by all institutions.
Federal Statutes Possession, Use, and Transfer 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. Works in conjunction with 7 CFR Part 331 and 9 CFR Part 73.
Federal Executive Order Notification of Employee Rights Under Federal Labor Laws Federal Executive Order 13496 Federal contractors and subcontractors are required to inform employees of their rights under the National Labor Relations Act.
Federal OMB Circulars Cost Principles for Educational Institutions Office of Management and Budget Circular A-21 Establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions.
Federal OMB Circulars Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations Office of Management and Budget Circular A-110 Sets forth standards for obtaining consistency and uniformity among Federal agencies.
Federal OMB Circulars Audits of States, Local Governments, and Non-Profit Organizations Office of Management and Budget 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.
New York State Law Reports of Appointing Officers; Official Roster Civil Service Law - Section 97 Sets the rules for hiring an employee and the record keeping required by the department.
New York State Law Public Employees Fair Employment Act Civil Service Law - Article 14 Establishes the rules for public employment including right to organize, dispute resolution in collective bargaining, and strike prohibition.
New York State Law Articles Manufactured to be furnished to the state or subdivisions thereof. Corrections Law - Section 184 The Commissioner of Corrections is authorized to direct the production of goods by the inmates. Such goods are to be made available to the variuos state agencies.
New York State Law Waiver of Immunity from Liability Court of Claims Law - Section 8 Waives the state's right to immunity.
New York State Law Procurement Opportunities Newsletter Economic Development Law - Section 142 Lays out the rules for the advertising of the University's procurements in the New York State Contract Reporter. OSC G-Bulletin 107B discusses OSC role in the advertising process.
New York State Law Procurement Opportunities Newsletter Economic Development Law - Section 143 The results of all individual procurements advertised in the New York State Contract Reporter must be posted in the paper.
New York State Law Powers and Duties of Trustees - Administrative and Fiscal Functions Education Law - Section 355 Establishes the Trustees managerial responsibilities over SUNY, including the certain purchasing and contracts function.
New York State Law Purposes of Fund Education Law - Section 372 Lays out the purposes of the State University Construction Fund.
New York State Law General Powers and Duties of Fund Education Law - Section 373 Provides the powers and duties of the State University Construction Fund.
New York State Law Capital Construction Planning Education Law - Section 375 Covers the capital construction planning needed including standards, design and municipal regulations.
New York State Law Construction Contracts Education Law - Section 376 Procedures for State University Construction Fund to follow in the letting of campus construction contracts.
New York State Law Architecture - Special Provisions Education Law - Section 7307 Deals specifically with architectural issues.
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 comply with the specifications and provisions of this section and any regulations promulgated pursuant thereto.
New York State Law General Duties Executive Law - Section 63 Lays out the basic duties of the Attorney General.
New York State Law Minority and Women Business Enterprise Executive Law Article 15-A All procurements require a Good Faith Effort by the University towards NYS Certified MWBEs. SUNY Policy and Procedures 7556 and 7557 elaborate on SUNY responsibilities under this Article. Works with Exhibit A-1 (011413).
New York State Law Duties of the Comptroller Finance Law - Section 8 Spells out the duties of the State Comptroller in the procurement process.
New York State Law Indebtness Not to be Contracted Without Appropriation Finance Law - Section 41 The amount of a state contract cannot exceed the amount appropriated.
New York State Law Accounting Systems; Approval of Contracts Finance Law - Section 112 Spells out OSC's responsibilities for establishing an accounting system and approval of state contracts.
New York State Law Cash Advance Accounts Finance Law - Section 115 OSC may approve cash advance accounts. Accounts for the purchase of materials, supplies or services shall not exceed $250.
New York State Law Separate Specifications for Contract Work for the State Finance Law - Section 135 (Wicks Law) Requires separation of construction bid proposals in excess of $500,000 for plumbing, HVAC, and electrical work.
New York State Law Contracts in Pursuance of Appropriations Finance Law - Section 136 Contracts entered into are not to exceed the amount appropriated for the work.
New York State Law Retained Percentages Finance Law - Section 139 A contract clause to be inserted into all contracts in which the contractor supplied a performance bond that allows the state to retain 5% of each progress payment.
New York State Law Payment on Public Work Projects Finance Law - Section 139f Lays out the steps needed for a contractor to receive payment on public works projects and the payment of the subcontractors on the project.
New York State Law Obligations with Respect to procurement contracts with New York State and Foreign Business Enterprises Finance Law - Section 139i Spells out the steps needed for awards to non NYS businesses over $1,000,000.
New York State Law Restrictions on Contacts During the Procurement Process Finance Law - Section 139j Covers permissible and impermissible contacts during the procurement process. SUNY Policy and Procedure 7552 further discusses the contact restrictions.
New York State Law Disclosure of Contacts and Responsibility of Offerers Finance Law - Section 139k Covers the disclosure requirements of vendors during the procurement. SUNY Policy and Procedure 7552 further discusses the disclosure responsibilities of vendors.
New York State Law Disposition of Deposit Accompanying Bid Finance Law - Section 140 Rules for withdrawal of bid and return of deposit.
New York State Law Definitions Finance Law - Section 160 Definitions under Article 11 of the State Finance Law.
New York State Law State Procurement Council Finance Law - Section 161 Sets the make up of the state procurement council plus establishes their duties.
New York State Law Preferred Sources Finance Law - Section 162 Establishes the need to solicit the preferred sources prior to any other vendor.
New York State Law Purchasing Services and Commodities Finance Law - Section 163 The main governing law for state purchasing.
New York State Law Procurement Record Finance Law - Section 163 (1)f Defines "procurement record".
New York State Law Consultant Disclosure Legislation Finance Law - Section 163 (4)g Requires the contractors in selected fields doing business with the University, to file an initial report and an annual report for the life of the contract.See OSC Bulletin G-226 or additional information.
New York State Law Process for Conducting State Procurements Finance Law - Section 163 (5) Lays out the procurement process.
New York State Law Discretionary Buying Threshold Finance Law - Section 163 6 Sets the threshold and the basic requirements for purchasing.
New York State Law Determination of Threshold Amount Finance Law Section 163 (6)b Purchases of the same commodity or service over a rolling 12 month period must not be divided.
New York State Law Soliciting and Accepting Offers Finance Law - Section 163 (9) Establishes policies procedures for purchases not made with Preferred Sources and those outside of discretionary thresholds.
New York State Law Single Source Finance Law Section 163 (10)b (ii) Single source procurements are to be posted on the internet.
New York State Law Purchasing Restrictions Finance Law - Section 165 (1) (2) Except for special circumstances, severely restricts the purchase of the listed tropical hardware by the University.
New York State Law Purchasing Commodities for State Use Finance Law - Section 165 (3) (a) (b) Sets for the guidelines for purchasing recycled items.
New York State Law MacBride Fair Employment Principles Finance Law - Section 165(5) Only those contractors who follow non-discriminatory employment policies in Northern Ireland will be able to enter into contracts with the University.
New York State Law Discriminatory Jurisdictions Finance Law - Section 165(6) Prohibits the use of state funds with businesses domiciled in states which discriminate against NYS businesses.
New York State Law Purchase of Apparel Finance Law - Section 165(7) Establishes labor standards applicable to the manufacture of apparel procured by the University.
New York State Law Iran Divestment Finance Law - Section 165-a Effective April 12, 2012, prohibits doing business with vendors who provide goods or services to the Iranian Energy Sector of $20,000,000 or more or provide credit of $20,000,000 for a term of 45 days or more that is used to purchase goods and services for the Iranian Energy Sector. OSC G-Bulletin 252 also covers divestment in the Iranian Energy Sector.
New York State Law Transfer and Disposal of Personal Property Finance Law - Section 167 Spells out the methods of disposal of state property which is no longer useful.
New York State Law Definitions for Interest Payments on Certain Amounts Owed by State Finance Law - Section 179-e Provides definitions of important terms used for interest payments owed to third parties by state agencies.
New York State Law Notification of Unauthorized Acquisition of Private Information General Business - Section 899-aa Creates the rules that vendors handling private information must follow. The clauses found in Exhibit S pertain to this law.
New York State Law Industrial Development General Municipal Law - Article 18A (Title 1) Among other areas lays out the funding, powers, record keeping, and tax exempt status of IDAs.
New York State Law Public Work Labor Law - Article 8 Regulates the hours and wages to be paid by contractors to their workers on public works projects.
New York State Law Project Labor Agreements Labor Law - Section 222 Defines project labor agreement, lays out the various contracts that encopmass PLAs and exempts contracts utilizing PLAs from Wicks.
New York State Law Prevailing Wages for Building Service Employees Labor Law - Article 9 Sets forth the wages payable by contractors to their employees providing building service work.
New York State Law Building Construction, Demolition and Repair Work Labor Law - Article 10 Sets forth the parameters of equipment used in the construction, demolition and repair of buildings.
New York State Law Local Development Corporations Not for Profit Law - Section 1411 Purpose and powers of local (not-for-profit) development agencies.
New York State Law Power and Duties of Commissioner Printing and Public Documents Law - Section 3 The OGS Commissioner sets the standards for all of the state printing.
New York State Law Right to Annul Contracts Printing and Public Documents Law - Section 8 Gives state agencies the right to annul contracts for failure or non-performance of the vendor.
New York State Law Responsibilities of State Agencies Printing and Public Documents Law - Section 12 Sets forth the documents the University is to submit to the state legislative and state library on an annual basis.
New York State Law Definitions Public Authorities Law - Section 1676 Defines the terms dormitory and authority and lists all organizations whose housing units qualify as a dorms under the law.
New York State Law Dormitories at Certain Educational Institutions Other Than State Operated Institutions and Statutory or Contract Colleges Under the Jurisdiction of the State University of New York Public Authorities Law - Section 1680 Defines educational institution and lists all institutions which qualify as an educational institution under this statute.
New York State Law Procurement Contracts Public Authorities Law - Section 2879 Sets forth the guidelines for organizations qualified as public authorities or a public benefit corporation to follow during the procurement process.
New York State Law Iranian Energy Sector Divestments Public Authorities Law - Section 2879-c In conjunction with section 165-a of the State Finance Law, prohibits doing business with vendors who provide goods or services to the Iranian Energy Sector of $20,000,000 or more or provide credit of $20,000,000 for a term of 45 days or more that is used to purchase goods and services for the Iranian Energy Sector. OSC G-Bulletin 252 also covers divestment in the Iranian Energy Sector.
New York State Law General Powers and Duties of the Commissioner of General Services Public Buildings Law - Section 3 Lays out the powers and duties of the OGS Commissioner in acquiring land in the city of Albany and serving as leasing agent in Albany County.
New York State Law Lease of Buildings in Albany County Public Buildings Law - Paragraph 12 - Section 3 Sets the leasing standards for the University.
New York State Law Lease of State Owned Real Property Public Buildings Law - Section 14 Establishes the rules for the University to lease property.
New York State Law Powers and Duties; Leases Public Lands Law - Section 3 OGS has the duty and power for the general care and superintendence of all state land.
New York State Law Disposition of Moneys Received from Sale of Certain State Lands and Sand and Gravel Thereon Public Lands Law - Section 23 All funds received by the OGS Commissioner on the sale of state land shall be deposited into the state treasury to the credit of the capital construction fund.
New York State Law Abandonment of State Real Property Public Lands Law - Section 30a Rules a state agency follows for abandoened land.
New York State Law Sale of Unappropriated State Lands; Notice and Place of Public Sales Public Lands Law - Section 33 The OGS Commissioner shall be responsible for the sale of state land.
New York State Law Defense and Indemnification of State Officers and Employees Public Officers Law - Section 17 State employees shall be indemnified by the state so long as the employee follows the provisions in this section.
New York State Law Business or Professional Activities Public Officers Law - Article 4, Section 73 (4) Regulates business done between an entity associated with a state employee and the state.
New York State Law Business or Professional Activities Public Officers Law - Article 4, Section 73 (8)a (i)(ii) Prohibits former state employees from appearing, practicing, rendering services, or communicate for compensation with their former state agency for two years after termination.
New York State Law Code of Ethics Public Officers Law - Article 4, Section 74 Regulates the type of outside business interests and conduct of state employees.
New York State Law Certification of registration to collect sales and compensating use taxes by certain contractors, affiliates and subcontractors Tax Law - Section 5-a Sets the parameters that contracts must certify that they collect sales tax.
New York State Law Green Building Credit Tax Law - Section 19 Renovation and new construction must conform to the Green Building code. See Executive Order 111.
New York State Law Notification; Person Without Valid Authorization has Acquired Private Information Technology Law - Section 208 Requires the University to disclose any breach of security to any NYS resident whose private information was or is reasonably believed to have been acquired without valid authorization.
New York State Law Disability Insurance Workers' Compensation Law - Section 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 - Section 57 Prior to entering into any purchase order or contract, a vendor must show acceptable proof of carrying NYS Workers' Compensation Insurance or be legally exempt.
New York State Executive Orders Executive Order 4 - Establishing a State Green Procurement and Agency Sustainability Program Governor Paterson - Executive Order 4 Establishes green purchases guidelines for state agencies.
New York State Executive Orders Executive Order 6 - Ensuring the Cost-Effectiveness of Contracts for Personal Services Governor Paterson - Executive Order 6 Subject certain consultant contracts to specific reporting requirements.
New York State Executive Orders Executive Order 18 - Restricting the Use of Bottled Water at State Facilities and Promoting Executive Agency Sustainability Governor Paterson - Executive Order 18 Except for limited circumstances, prohibits the use of state funds for the purchase of bottled water. Please see Kevin Wilcox's memo for additional information.
New York State Executive Orders Executive Order 88 - Directing State Agencies and Authories to Improve the Energy Efficiency of State Buildings Governor Cuomo - Exectutive Order 88 Seeks a reduction in avearge source energy use intensity in State-owned and managed buildings by April 2020 of at least 20% from an average source energy use baseline set in the 2010/2011 fiscal year. Replace Governor Pataki's Executive Order 111.
New York State Division of the Budget Bulletin Agency Contracts, Non- Personal Service and Capital Spending Controls Budget Bulletin B-1184 Sets forth the cost control measures that the University and all other state agencies are to follow. Capital spending contracts and non-personal services contracts are to receive strict scrutiny prior to being entered into by the University.
New York State Office of the State Comptroller A Bulletins Voucher Preparation Changes for MWBE Reporting OSC Bulletin A-301 R1 Details the correct method to complete a voucher to ensure payments made to MWBEs are properly classified. Provides examples of discretionary and non-discretionary payments.
New York State Office of the State Comptroller G Bulletins Procurement and Contracting OSC Bulletin G-107B Sets the advertising bounds for procurements. This G-Bulletin is based on Economic Development Law Section 142.
New York State Office of the State Comptroller G Bulletins Procurement Thresholds OSC Bulletin G-225 Summarizes the discretionary purchasing abilities of state agencies.
New York State Office of the State Comptroller G Bulletins Consultant Disclosure Legislation OSC Bulletin G -226 Certain consultant contracts are subject to intial and ongoing reporting requirements. Based on section 163 (4)g of the Finance Law.
New York State Office of the State Comptroller G Bulletins Contract Award Protest Procedures OSC Bulletin G-232 Procedures to be used by a vendor to protest an award made by the University.
New York State Office of the State Comptroller G Bulletins Collection of Substitute Form W-9 OSC Bulletin G - 240 A Form W-9 must be provided by the vendor prior to entering into a contract or purchase order.
New York State Office of the State Comptroller G Bulletins Electronic Payment OSC Bulletin G - 240 All vendors are required to submit an Electronic Payment Authorization Form to OSC.
New York State Office of the State Comptroller G Bulletins Iran Divestment Act of 2012 OSC Bulletin G-252 Effective April 12, 2012, prohibits doing business with vendors who provides goods or services to the Iranian Energy Sector of $20,000,000 or more or provide credit of $20,000,000 for a term of 45 days or more that is used to purchase goods and services for the Iranian Energy Sector. State Finance Law section 165-a also covers divestment in the Iranian Energy Sector.
New York State Office of General Services Appendix B - General Specifications Appendix B - General Specifications Clauses that are to be incorporated in all state procurements.
SUNY Policies and Procedures State University of New York Rules and Regulations for Purchasing and Contracts 8 NYCRR 316 Details SUNY Purchasing and Contracts requirements including objectives and standards, authority to execute contracts and the procedures required for purchasing various items.
SUNY Policies and Procedures Use of Facilities by Non-Commercial Organizations SUNY Document Number 5603 Provides the procedures for permitting non-commercial organizations to utilize campus facilities.
SUNY Policies and Procedures Use of University Facilities by Emerging Technology Enterprises SUNY Document Number 5604 Provides the policy and guidelines for the granting emerging technology enterprises use of campus facilities.
SUNY Policies and Procedures Use of University Facilities by Commercial Enterprises SUNY Document Number 5605 Provides the policy and guidelines for the University to follow in granting commercial enterprises use of campus facilities.
SUNY Policies and Procedures Procurement Lobbying Procedure for the State University of New York SUNY Document Number 7552 Works in conjunction with SFL 139j and 139k in laying the documents that need to be kept in regard to contacts made during the procurement process.
SUNY Policies and Procedures Purchasing and Contracts SUNY Document Number 7553 Established the procurement process that the University is to follow.
SUNY Policies and Procedures Construction Contracting SUNY Document Number 7554 Covers all aspects of a construction contract procurement.
SUNY Policies and Procedures Construction Related Consultant Contracting Procedures SUNY Document Number 7555 Provides the procedures for construction related contracts.
SUNY Policies and Procedures Procurement Opportunities for New York State Certified Minority-and Women Owned Businesses SUNY Document Number 7556 Sets forth the principle that the University will take affirmative action. Works with Executive Law Article 15-A.
SUNY Policies and Procedures Participation by Minority Group Members and Women (MWBEs) with Respect to State University of New York Contracts SUNY Document Number 7557 This procedure sets forth guidelines to assist state-operated campuses procuring from NYS certified minority- or women-owned businesses. Works with Executive Law Article 15-A.
SUNY Policies and Procedures State University Procurement Card Policy and Guidelines SUNY Document Number 7558 Establishes the process and policy for the handling of among other items the duties of the cardholder, voucher payments and the handling of disputes. The Accounting Department oversees all aspects of the procurement card.
SUNY Policies and Procedures Anti-Sweatshop Policy SUNY Document Number 7559 The University requires contractors to certify that they adhere to fair labor conditions.
SUNY Policies and Procedures Anti-Sweatshop Procedure SUNY Document Number 7560 Establishes the certification that the University is to get from contractors as to their following of fair labor conditions.
SUNY Policies and Procedures Contract Award Protest Procedure SUNY Document Number 7561 Sets guidlines for the protest of contract awarded by the University.
SUNY Contract Exhibits Exhibit A (021114) Standard Contract Clauses - State University of New York Contains standard clauses that are part of all University contracts.
SUNY Contract Exhibits Exhibit A - 1 (011413) Affirmative Action Clauses - State University of New York Contains Affirmative Action clauses that are part of all University contracts. Works with Executive Law Article 15-A.
SUNY Contract Exhibits Exhibit S Security, Non-Disclosure and Confidentiality Contains clauses which contractors must adhere to in regard to disclosure of information pertaining to the University, its employees and students. The General Business Law Section 899-aa is the governing law of these clauses.
SUNY Contract Exhibits Exhibit Z HIPAA Business Associate Requirements Lays out the requirements that contractors doing business with the University must adhere to in regard to the disclosing of medical records of employees and students of the University. For additional information see the Health Insurance Portability and Accountability Act.
Campus Policy Conditions for the Occasional Use of University at Albany Facilities by Non-Commercial Entities Revocable Permit Application Permits issued for short time use of campus facilities by non-commercial organizations. SUNY documents 5603, 5604 and 5605 are the governing policies for the utilization of campus facilities.

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Procurement Services

Charlene Madia, Director
Management Services Center, Room 302
1400 Washington Avenue
Albany, NY 12222

Phone: (518) 437-4579
Fax: (518) 437-4571