Procurement/ Purchasing Transactions

Record of Authorized Signatures

The Record of Authorized Signatures is used to identify individuals with authorization to encumber or commit account funds. The system is now electronic and more information is available at: http://www.stonybrook.edu/procurement/employees/eras/

Whenever a change in delegate occurs, the PI must make the appropriate changes in ERAS Online.

Notes:

Contact your Grants Management Specialist  with any questions you may have.

 

 

Purchasing Goods and Services

The purchase of goods and services in support of sponsored projects comprises the second largest activity. The two major procurement categories are

1. Supplies
2. Equipment

To make a purchase, a signed Purchase Requisition must be sent to Office of Grants Management. Requisitions are reviewed by the Grants Management Office for consistency with general regulations (eg: Cost Accounting Standards) and sponsor specific regulations.

Important Points to Note

1. Policies
Review the Stony Brook's CAS disclosure and its policy on office supplies.

2. Equipment Purchase
For The Research Foundation, equipment includes items with acquisition costs of $5,000 or more and an expected useful lifetime of 2 years or more. The identification of an item as equipment subjects the item to an inventory requirement. Equipment inventory is managed by Property Control and is subject to Federal audit.

3. Insurance
The Research Foundation offers casualty and theft insurance on research equipment, the costs of which are allowed on most sponsored projects. The RF Equipment Insurance Guide is available as a PDF.

 

 

Cash Advances

Cash advances are available to project directors under certain conditions to aid in the conduct of their grant activities. Advances can be used for field trip expenses, human subject payments and the purchase of materials and supplies. Funds can be advanced to cover anticipated needs for up to a 90 day period and must be reconciled (accounted for) with original receipts within that time frame. To be eligible for these funds PD's must take personal responsibility for their use in accordance with sponsor guidelines.

Contact your Grants Management Specialist for detailed procedures on obtaining and using cash advances.

Departmental Purchase Orders

The Departmental Purchase Order (DPO) System is a means by which Research Foundation Project Directors may exercise the privilege of procuring merchandise and services up to $1,000 directly from vendors, without prior review. 

DPOs are ONLY AVAILABLE at the Office of Grants Management upon request, and must be signed for by the Project Director or an authorized representative.

When using each DPO, the Project Director is functioning as the Purchasing Agent, and is responsible to ensure that purchases are reasonable, allocable and necessary to the project, and that specific sponsor guidelines are followed.  These pre-numbered purchase orders are issued in a package of ten for use on a specified RF account*. Should a purchase exceed the maximum amount of $1,000, including freight, handling, installation, etc. a standard purchase requisition will be requested.  In order to ensure the proper payment, the DPO must be legible. 
 
*Termed Accounts – It is advisable to either destroy unused DPOs on termed accounts or to surrender them to Grants Management (for their destruction). All new projects require new Departmental Purchase Order forms.
 
When completing the Departmental Purchase Order:

1. Clearly indicate The Research Foundation Award, Project and Task numbers.
2. Print or type all information. Indicate vendor name, address and date DPO issued.
3. Indicate a literal description of items, as well as catalog numbers.
4. Complete all columns: quantity, unit price and extended total for each item.
5. Indicate Department name and phone #.
6. Authorized signature is required.

These DPOs may not be used for the following restricted items:

• Travel (not even for vehicle rentals)
• Registration Fees
• Chemicals Requiring Release Forms 
• Radioactive Materials
• Standing Orders
• Blanket Orders
• Live Animals
• Printing/Reprints
• Payments to Individuals for Personal Services

FORM  DISTRIBUTION

The multi-part form has been replaced with a single, pre-numbered form. Once the form is completed and signed by the PD, a copy is to be given/faxed to the vendor, a photocopy should be retained for PD’s records, and one copy sent to the Office of Grants Management – Zip 3366. After approval by the GM Specialist, OGM will make photocopies of the DPO and will distribute them to Purchasing, Central Receiving and Environmental Health & Safety.  

The completed DPO  must be received by the Office of Grants Management within three (3) working days of issuance of the order.  DO NOT HOLD FOR VENDOR INVOICE.  Failure to distribute copies quickly will result in the withdrawal of  DPO  privileges and may result in freezing of the account activity pending satisfactory resolution.

CAUTION

Project Directors must adhere to the specific sponsor guidelines and restrictions that apply to their awards.  Caution should be exercised if awards have “line item” budgets.  These awards restrict expenditures to budgeted amounts per expenditure type.  Deviations generally require prior sponsor approval.
By signing as the Authorized Signatory on the Departmental Purchase Order form, the Project Director assumes full responsibility for the payment  in case funds are not available from the Research account, or if, for any reason, the sponsor should not approve the expenditure!
 
The Research Accounts Payable Office must be in receipt of a vendor invoice and authorization to pay from the Project Director before payment can be issued to the vendor.  When payment information is received by the Project Director, it should be forwarded directly to the Research Accounts Payable Office.  If the invoice is available at the time the DPO is issued, the documentation may be transmitted to the Office of Grants Management along with the copies of the DPO.

If you have any questions, please call  the Office of Grants Management at 2-9038.

 

Equipment Insurance

The Research Foundation's Equipment Floater Policy is an all-risk policy that provides coverage on equipment (purchased with or without sponsor funds, or on loan from another institution but used for sponsored projects) against loss by specified external causes anywhere in the world. Since the University has no other funding source to cover the damages to or loss of equipment, this is the only vehicle for protecting that equipment.

PREMIUMS

The annual premium rate is: US$ 1.08/year per $100.00 of value
example: A $1,000.00 piece of equipment will cost $10.80 to insure for a one year period.

Actual premiums are calculated by the Grants Management staff. Insurance may be renewed during each new budget period.

CLAIMS AND DEDUCTIBLE

Settlement of claims is based on the REPLACEMENT VALUE of the lost or damaged equipment. There is a $500.00 deductible for each claim, and is the responsibility of the department. Should an insurance claim become necessary, contact Stephanie Ammann, Manager of Sponsored Project Expenditures in OGM, to review the procedure for documenting the loss.

INSURANCE APPLICATION PROCEDURE

1. Complete a RF Purchase Requisition made out to "AMSURE" for the purchase of insurance.
2. Complete the Insurance Application / Floater Form for each item being insured.
3. Provide a copy of the Purchase Orders the equipment was originally purchased on to verify value.
4. Send to Grants Management, ZIP = 3366. You will receive a confirmation email with the exact premium charged to your account.
5. Upon approval, the documentation is sent to Accounts Payable and is then sent with the check to AMSURE.

Download the Equipment Insurance Guide (PDF format) describing the policies and procedures dealing with The Research Foundation equipment insurance program.
(Updated July 2012)

 

Equipment Transfer - Property Status Change

Project Directors planning to transfer equipment to another institution should obtain an inventory listing for the grant(s) involved from Property Control at (631) 632-6306.

1. The Project Director should complete the Property Status Change Form (PSC) indicating The Research Foundation equipment that is intended to be transferred. Any equipment shown on Property Status Change form that is not on the property control inventory listing cannot be transferred until resolved with the Property Control Office. This must be completed prior to obtaining the approval signatures of the Chair and Dean. If adjustments are made, the Project Director must obtain a revised inventory listing before obtaining approvals in Step 3.
2. Project Director will obtain approval signatures of the Department Chair and Dean on the PSC form and forward to the Property Coordinator (Sheila Routh) in the Office of Grants Management, W5510 Melville Library, Zip 3366. The inventory listing obtained in step one or two must be attached to the PSC form when forwarded to Grants Management.
3. The Property Coordinator will review for sponsor conditions, approve when sponsor requirements are satisfied and forward to the Property Control Office. Internal notifications of the Project Director’s intent to move will be made to appropriate Grant Administrators, Coordinators, Grant and Financial Specialists, Account Establishment Supervisor and Sponsored Programs Administrative Secretary.
4. The Property Control Office will adjust inventory records and notify the Property Coordinator in Grants Management that the transaction is complete.

Grants Management will ensure that a copy of the PSC form and cover letter is sent to receiving institution in grant files and send notice to receiving institution’s Sponsored Programs Administration Office, as well as to the Project Director, Chair and Dean at Stony Brook.

Any questions regarding the Property Status Change process may be directed to Sheila Routh at (631) 632-9107.