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Research Procurement


Overview

Funds of the State University of New York are handled by pre-established policies of the Research Foundation at Stony Brook and in accordance with the individual provisions established by the Sponsor. Since the policies of the Research Foundation are subject to the Sponsor's rules and regulations, there may be individual cases in which the latter are more restrictive. The Office of Research Services is responsible for monitoring compliance and approving requisitions before they are processed by Purchasing.

Our policy is to take the following into consideration: processing requisitions in accordance with general Research Foundation Policy, but having additional flexibility to serve the unique needs of the Project Director for prompt and dependable action.

  Please note: Effective July 1, 2000 the requirement of prior review and pre-audit of IDC funded purchase requisitions, travel reimbursements, personnel changes, journal transfers and other expenditures and encumbrances by the Office of Grants Management was eliminated. Responsibility for the proper processing of these transactions was delegated to the administrative units involved (Accounting, Procurement, Human Resource Services).

  • Procurement Methods
     

    Procurement Methods

    The Research Foundation Procurement Policy was revised on July 1, 2018.  Updated Policy:  http://www.rfsuny.org/media/RFSUNY/Policies/procurement_policy_pol.htm

    To encourage competitive procurement, the following guidelines are established:

    Methods of Procurement when using Federal or Federal Flow Through Funds:

    Total
    Purchase
    Amount
    Requirements for Solicitations of Bids or Proposals
    Up to
    $10,000
    No requirement for solicitations of bids or proposals. When the suppliers are used repeatedly or on an ongoing basis for various procurements within this range, pricing and quality of goods and services must be reviewed periodically and the results maintained in a supplier procurement file.
    $10,000 to
    $250,000
    Solicitation of bids or proposals required, and procurement requires selection from a minimum of two written or verbal quotes.
    over
    $250,000
    Solicitation of written bids or proposals required and procurement requires selection from a minimum of three written bids or proposals. Also, requires a cost or price analysis which at a minimum should include making independent estimates before receiving bids or proposals.

      Methods of Procurement when using Non-Federal Funding Sources:  

    Total
    Purchase
    Amount
    Requirements for Solicitations of Bids or Proposals
    Up to
    $50,000
    No requirement for solicitations of bids or proposals. When the suppliers are used repeatedly or on an ongoing basis for various procurements within this range, pricing and quality of goods and services must be reviewed periodically and the results maintained in a supplier procurement file.
    $50,000 to
    $250,000
    Solicitation of bids or proposals required, and procurement requires selection from a minimum of two written or verbal quotes.
    over
    $250,000
    Solicitation of written bids or proposals required and procurement requires selection from a minimum of three written bids or proposals.


    Non-Competitive Procurements

    Competitive bids or proposals are not required for the following procurements:

    • Purchases made under contracts with the State of New York, Consortiums, or through campus central stores or Service Centers.
    • Purchases up to $200,000 from certified small, minority, or women-owned businesses.
    • Purchases that qualify as a Sole Source procurement because the product or service procured is unique to one source or the requirements for the product or service can only be met by one supplier or contractor.
    • Purchases that qualify as Single Source procurement because of limited circumstances that justify procurement without open competition one or more of the following circumstances apply: (1) The item is available only from a single source; (2) The public exigency or emergency for the requirement will not permit a delay resulting from competitive solicitation; (3) The awarding agency or pass-through entity expressly authorizes noncompetitive proposals in response to a written request; or (4) After solicitation of a number of sources, competition is determined inadequate.

     

    Documentation Requirements for Single/Sole Source Procurements

    All Single or Sole Source procurements require documentation of solicitation elements that includes a clear and accurate description of the technical and programmatic requirements for the material, product, or services being procured. The Single/Sole Source Form or campus equivalent form must be used to document all single or sole source procurements prior to the date of the initial purchase, except as otherwise specified in this policy.

    The competitive bid process or the Single/Sole Source justification related to procurement is limited to the period defined by the agreement with the vendor including any agreed-upon extensions or options for extensions or renewals. If a change to or renewal, extension, or continuation of a procurement that was not competitively bid would result in an actual aggregate expenditure that exceeds the thresholds for required solicitation of bids, it must be approved by an RF Officer or operations manager after a Single/Sole Source justification documenting that the failure to determine the reasonably expected aggregate amount on the date of initial purchase was reasonable and justified.

    Use the following link to access the Single/Sole Source Documentation form (use internet explorer as your browser):   http://www.rfsuny.org/media/rfsuny/forms/apfrm008.pdf

    Competitive Procurements

    For all other procurements not identified above, solicitations of bids or proposals are required as follows: The "Total Purchase Amount" must be based on the reasonably expected aggregate total dollar amount of the purchase of the specified goods or services from the specified vendor or supplier within a twelve (12) month period commencing on the date of purchase. If the procurement is reasonably expected to continue longer than 12 months the Total Purchase Amount must be based on the reasonably expected value as specified in the agreement with the vendor or supplier. The expected purchases must not be artificially divided, and unjustified single/sole source procurement must not be used for the purpose of circumventing the thresholds for required solicitation of bids.

     

    Solicitation of Small, Minority, and Women's Owned Business Enterprises

    Operating locations should take the necessary affirmative steps to assure that small, minority, and women’s business enterprises, and labor surplus area firms are used when possible. This would include placing these qualified vendors on solicitation lists, assuring they are solicited whenever they are potential sources, and dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by these businesses. Campuses should refer to the Small Business Administration, the Minority Business Development Agency of the Department of Commerce or can use the  New York State M/WBE Directory  to locate businesses certified in New York State.



    For Blanket Order Request

    Research Foundation funded Blanket Order requests should be for expenditures with a specific vendor over a period of time,   not  for one-time purchases. Research Foundation funded Blanket Order requests submitted must adhere to Research Foundation Procurement Policy. Blanket Order requests should   not  be made for Hosted or Punchout vendors in the WolfMart Showcase.

    Blanket Order requests for any type of food purchases will   not  be processed.

    Blanket Orders for all   services  must utilize the Service Contract form;   not  the Blanket Order form.

    All Blanket Order requests will require end users to enter a Cost Receipt to confirm that goods have been received.

    All Research Foundation funded Blanket Orders will terminate once the estimated encumbrance has been expended. When this occurs, a new Blanket Order request must be submitted to Procurement.

    Research Foundation Blanket Orders cannot extend beyond the term date of the designated award.

    Supporting documentation must be attached (i.e. Quotes, Justifications) where appropriate.

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    Research Commodity Assignments


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