Reports: Investments/Financial:

New York State Archives Partnership Trust Procurement Policy and Procedure

Adopted
September 23, 1999

Amended
September 20, 2001
May 7, 2003
May 2, 2006
May 28, 2009
December 17, 2012
February 7, 2013
May 23, 2013

 

I. Authorization and Responsibilities for Contracts and General Procurements

A. Only the following persons are authorized signers for procurements on behalf of the Archives Partnership Trust:

  • Trust Chair
    • In the absence of the Trust Chair, the following may sign:
      • Trust Vice-Chair
      • In the absence of the Vice Chair, the following may sign:
        • Trust Treasurer
        • Trust Secretary
  • Trust Executive Officer
    • In the absence of the Trust Executive Officer, the following may sign
      • Trust Director

1.   All procurements made from the Trust’s operations and maintenance account, which is under the joint custody of the state comptroller and the commissioner of taxation and finance, shall require the signature of any one of the authorized signers listed above.

2. For procurements made:

a. from the Trust’s special projects checking account, which is in the custody of the Trust Board:

i. Checks in amounts up to and including $2,500.00 shall require the signature of any one of the authorized signers listed above.

ii. Checks, excluding those making payment of the special projects corporate credit card account, in amounts in excess of $2,500.00 but less than and including $10,000.00  shall require the signature of any one of the authorized signers listed above, providing that the invoice or payment voucher has the original or faxed signature approval of two of the authorized signers listed above, with the exception that the Trust Executive Officer and Trust Director shall not jointly sign any invoice or payment voucher.

iii. Checks. excluding those making payment of the special projects corporate credit card account, in amounts in excess of $10,000.00  shall require the signature of two of the authorized signers listed above, with the exception that the Trust Executive Officer and Trust Director shall not jointly sign any check.

iv. Checks making payment of the special projects corporate credit card account shall require the signature of one of the authorized signers listed above.

v. A uthorized signers shall require appropriate documentation (invoice, purchase order, vendor quotes, etc.) to accompany any check in need of signature, and review such documentation prior to signing any check.

b. using the Trust’s special projects corporate credit card:

i. Cardholders shall obtain prior written (original signature, faxed signature, or email) approval for credit card transactions of $500.00 to $2,500.00  (the maximum credit card transaction allowed per Addendum A)  from any one of the authorized signers listed above.

B. The Archives Partnership Trust Board shall approve all procurement contracts that are not to be executed under New York State agency procurement.

C. Procurement contracts acquired under New York State agency procedures are solely executable under the authorization of one of the above individuals, without individual approval by the Trust Board, as long as transactions are in accordance with an approved Board Work Plan and Budget.  All procurement contracts (goods and services in amounts equal to or greater than $5,000) in this category shall be reported at the next meeting of the Trust Board.

D. Contracts rendered over a period in excess of one year, regardless of the amount of the contract, shall be reviewed annually by the Trust Board.

E. The Trust Executive Officer is responsible for preparing all contract awards, requiring Board approval, for presentation to the Trust Board.

F. Annually, the Trust Board shall review Trust Procurement Guidelines and Procedures at its Annual Meeting and may from time to time, amend the policy.  Such amendments shall not alter, affect the validity of, modify the terms of or impair any existing procurement contract or purchase agreement.

G. The Trust Executive Officer is responsible for preparing all reports on contracts to the Board, including the Annual Procurement Contract Report.  The annual report requires Board approval and shall include the Trust Contracting Guidelines, an explanation of the Guidelines and any amendments thereto since the last annual report, a list of all contracts entered into since the last report, the selection process used to select contractors, the status of existing procurement contracts, and a list of fees, commissions and other charges paid to contractors.

II .Guidelines for Personal Services and Goods Procurements

A. Exclusions

Procurements do not include the following:

  • Prizes for competitive or honorary programs (e.g. the Student Research Award);
  • Internship awards to students preparing for careers in preservation, archives and public administration;
  • Fellowship and residency awards and honoraria to experts in preservation, archives research, archives management and education programs; and
  • Gifts in-kind of good and services.  (Gifts in-kind are accepted in accordance with IRS rules and regulations.)
     

B. Personal Service

1.   Purchases for personal services shall include, but not be limited to, the performance of legal, accounting and audit, management consulting, investment, banking, planning, events management, training, printing and graphics arts, public relations, marketing research, fundraising, publishing, editing and writing, and other services of a consulting, professional or technical nature, for a fee, commission or other compensation by a business enterprise or person(s) who are not providing such services as officers or employees of the Trust or of a state agencies or other public authorities.

2.    It is the general policy of the Trust to utilize its own officers and employees, as well as the employees of state agencies and other public authorities in performance of required personal services insofar as practical.

3.   Reasons for procurement of personal service may include, but are not limited to:

    • The requirement of special expertise or unusual qualifications;
    • The nature, magnitude or complexity of the services required;
    • The lack of sufficient in-house resources, support staff, specialized facilities or equipment;
    • Lower cost;
    • The short term need for the service;
    • The infrequent need for the service;
    • The distance of the location or locations where the service must be performed from the Trust’s offices or facilities; and
    • Performance of a function requiring independence from Trust management.
 

C. Goods

1.   Goods shall include, but not be limited to, equipment, office supplies, computer equipment, furniture, as well as consumable items (i.e. food and beverages) for public and cultivation events.

2.   The purchase of light alcoholic beverage (beer, wine, wine cooler, et. al.) shall be permitted as long as the selected vendor or facility carries liability coverage for providing and serving the beverage.

III. Preparation of Purchases and Contracts

A. Purchases of goods and services in actual and estimated amounts between $10,000.00 and $49,999 shall be acquired following the steps below:
  • To the extent possible, more than one qualified informal quote should be obtained.
  • Purchases shall be made after an evaluation of quotes/proposals from prospective vendors.
  • All procurements of $50,000 or more must be published in the New York State Contract Reporter.

B. Procurements of $50,000 or more.

1.    All procurements for goods and services in actual and estimated amounts of $50,000 or more, are awarded as contracts following the steps below:

  • Notice of contracting intent or a request for proposals must be published in the New York State Contract Reporter. Exceptions: Procurements made using OGS authority or the State’s Preferred Sources.
  • To the extent possible, at least three qualified bids or informal quotes (telephonic or written) should be obtained.
  • Bidders will be required to submit and sign a Non-Collusion Bidding Certificate.  Bids received without a signed Non-Collusion Bidding Certificate or where the Non-Collusion Bidding Certificate has not been complied with in its entirety shall not be considered for award.
  • Awards shall be made after an evaluation of proposal

2.    Procurements of commodities or services from small business concerns or certified minority and women-owned business enterprises, or of commodities or technology that are recycled or remanufactured, in an amount not exceeding $200,000, may be made without a formal competitive process, following the steps below:

  • Identify firm (if a minority or women-owned business enterprise, verify certification with the Department of Economic Development) and request price offer.
  • Determine and document that the price offered is reasonable.
  • Obtain written quotation, including all terms and conditions of sale.
  • Maintain justification to support vendor selection and reasonableness of price.
  • As applicable, obtain vendor certification that the commodity or technology is produced using recycled or remanufactured materials.
  • Provide with the purchase order or contract, documentation that the opportunity has been advertised in the New York State Contract Reporter

C. Purchases and contracts shall be awarded to only responsible vendors who demonstrate the ability to perform successfully under the terms and conditions of a proposed procurement or agreement.  Consideration shall be given to such matters as vendor skills, background, experience, integrity and stability, records of past performance, financial and technical resources or accessibility to other necessary resources.

D. Comparable consideration shall be given to minority and women owned firms, as well as firms owned by individuals with disabilities.  The Trust shall consult with the Governor’s Office of Minority and Women Business Development for assistance in identifying certified enterprises, as well as refer vendor prospects to the Governor’s Office of Minority and Women Business Development.

 

E. To the maximum extent possible, purchases and contracts shall be awarded on a competitive basis, using either informal quotes or formal bids.

F. Price or cost analysis shall be made in connection with every procurement action requiring purchase of services and goods.  Price analysis may be accomplished in various ways, including but not limited to, comparison of bids or quotes submitted, market prices and similar indicia, together with discounts and/or revenue (revenue contracts).  Cost analysis is the review and evaluation of each element of cost to determine reasonableness (“fair market price”) and allocability and allowability (within Trust policy and work plan).

G. Purchases and contracts may be awarded on a non-competitive basis only where the Trust Chair or Executive Officer determines that:

  • The timely procurement of goods and services involved precludes selection of a contractor pursuant to a competitive procedure.
  • The goods or services involved require a vendor with unique or exceptionally rare qualifications or experience, specialized equipment or facilities not readily available from other sources, or patents, copyrights, or proprietary data.

H. All procurement awards shall be supported by a justification for the selection of the vendor and the reasonableness of the price, when consideration is monetary. Awards to other than the low bidder or quote shall include the reason the low bidder or quote was not selected.

I. Procurement documentation and files shall include the following:

  • Notice of intent to contract for services (i.e. copy of advertisements in the New York State Contract Reporter), when applicable
  • Bids/quotes received
  • Basis for contractor selection, including justification when competitive bids or offers are not obtained

IV. Contract Administration

A. The Trust Executive Officer is responsible for overseeing the Trust’s contract administration system.  This includes:

  • Ensuring contractor conformance with terms, conditions and specifications of the contract.
  • Ensuring adequate and timely follow up on all purchases.
  • Maintenance of contract records and books of accounts, for not less than six years after the completion of the services contracted for.
  • Preparing of the Annual Procurement Contract Report and following Trust Board approval, distribution of copies of the report to the Division of the Budget, Audit and Control (OSC), Department of Economic Development, Senate Finance Committee and Assembly Ways and Means Committee.
  • Making available to the public, upon reasonable request, copies of the Annual Procurement Contract Report.

V. Vendor Responsibilities

A. Contractors are expected to perform all services and provide all goods in accordance with contract terms, including all non-discrimination clauses and provision for minority and women-owned business enterprises.

B. Contractors are expected to deliver good and services competently, efficiently, timely and in a manner that is satisfactory to the Trust and as required under the contract terms and specifications.

C. Contractors are expected to cooperate with the personnel who are directing, supervising or monitoring the performance of the Contract or who are assisting in its performance.

Addendum A

I. The Archives Partnership Trust is authorized to establish purchasing card (credit card) accounts.


II. Use of purchasing cards to transact the day-to-day business of the Archives Partnership Trust must be governed by the Archives Partnership Trust Procurement Policy and Procedures as amended at the May 7, 2003, Board meeting.


III. Purchasing card accounts shall be established for the operations and maintenance account, which is under the joint custody of the state comptroller and commissioner of taxation and finance, through the New York State Purchasing Card System.

1. Internal control procedures will be established pursuant to the Office of the State Comptroller’s Purchasing Card Guidelines.

1.  Establish limits:

a. The per transaction limit may not exceed the New York State Education Department’s QuickPay threshold.

b. The monthly per card limit is $10,000.

2. Allowable purchases and those items that are exempt from purchasing card use are those allowed and exempted by the Office of the State Comptroller’s Purchasing Card Guidelines.

IV. Credit card accounts shall be established for the special projects account, which is under the custody of the Trust Board, through the bank with which it establishes the special projects checking account.

A. Internal control shall include:

1. Establish limits:

a. The per transaction limit may not exceed $2,500.

b. The monthly per card limit is $10,000

2. Allowable purchases are those items allowed by the Trust’s Procurement Policy and Procedures.

3. The Executive Officer shall review all credit card statements to ensure accuracy and appropriateness of charges.