Purchasing Policy

POLICY #: FA 25-24

DATE OF BOARD OF TRUSTEES APPROVAL:

RESOLUTION #: 25-24

POLICY STATEMENT: Herkimer County Community College is committed to ensuring that all procurement activities are conducted in a fair, ethical, transparent, and fiscally responsible manner in accordance with applicable laws, regulations, and institutional requirements. All purchases made on behalf of the College must follow established procurement procedures designed to promote competition, maintain internal controls, safeguard public funds, and ensure proper oversight and accountability.

Purpose

This policy establishes the requirements and procedures for the procurement of goods and services to ensure compliance with New York State General Municipal Law (GML) §§103 and 104-b, the Herkimer County Purchasing Policy, SUNY policies and procedures, and, where applicable, Uniform Guidance (2 CFR Part 200). The College is committed to the prudent and economical use of public funds; guarding against favoritism, improvidence, fraud, and corruption; promoting fair and open competition; and ensuring transparency and accountability.

Scope

• This policy applies to all College employees and governs all purchases made using operating funds, capital funds, grant and federally funded programs, and any other College-related funds. This policy also applies to federal subawards issued by the College when the College acts as a pass-through entity.

Procurement Authority

The Business Office is the sole authorized entity to issue Purchase Orders (POs) and commit College funds. No employee may independently obligate the College without proper authorization. Any attempt to procure goods or services, enter into agreements, or otherwise commit funds outside of this authority is strictly prohibited and may result in denial of payment and/or personal liability.

Standard Procurement Process

All purchases must follow the steps below in the order listed:

1. Obtain required quotes
2. Submit a requisition in Banner with supporting documentation
3. Purchasing reviews and issues a Purchase Order (PO)
4. Purchasing places the order
5. Receiving confirms receipt in Banner
6. Vendor submits invoice
7. Accounts Payable processes payment

No purchase may be made prior to issuance of a Purchase Order.

Approval Requirements

Certain categories of purchases require prior review and approval to ensure compatibility, compliance, and alignment with College standards. Failure to secure required approvals may result in delays, denial of the requisition, or non-payment.

• Information Technology (IT): Required for all hardware, software, subscriptions, and any technology-related purchases to ensure compatibility, security, and ongoing support.
• Marketing & Communications: Required for all items involving the College name, logo, branding, printed materials, or promotional products to ensure brand consistency and adherence to College standards.

Unauthorized Purchases and Non-Compliance

All purchases must be properly authorized prior to any commitment of College funds. A Purchase Order (PO) is required before goods or services are ordered, received, or performed. Unauthorized purchases include orders placed without an approved Purchase Order, agreements made without Purchasing approval, services performed before required approvals are obtained, and after-the-fact submission of invoices. Employees who commit College funds without authorization may be held personally responsible for associated costs. Receipt of goods or services does not constitute approval and does not guarantee payment by the College.

Financial Responsibility

Employees who commit College funds without proper authorization may be held personally responsible for the associated costs. The existence of an invoice, receipt of goods or services, or completion of an event does not constitute approval and does not guarantee payment by the College.

Procurement Compliance and Planning Requirements

Departments are responsible for planning purchases in advance and initiating requisitions with sufficient lead time. Known or anticipated expenses must be processed through standard procurement procedures in advance. Requisitions for services, events, speakers, catering, or consultants should be submitted at least two weeks before the service or event date. Known or anticipated expenses must be processed through standard procurement procedures in advance. Failure to follow procurement requirements may result in delayed processing, denial of payment, cabinet escalation, suspension of purchasing privileges, or other corrective action, including being held personally responsible for the associated costs.

Procurement Thresholds

Public works contracts must comply with:

• GML §103
• NYS Prevailing Wage requirements

Procurement Methods

Authorized procurement methods include:

• Preferred Sources (NYS State Finance Law §162)
• OGS Contracts (GML §104)
• Cooperative Contracts (GML §103(16))
• Informal Quotes
• Sealed Bids (IFB)
• Request for Proposals (RFPs)
• Emergency Purchases (must meet strict criteria and be documented)
• Sole Source / Single Source (must be justified and documented)

All procurement activities must promote fair and open competition in accordance with applicable laws, regulations, and funding requirements, including Uniform Guidance (2 CFR §200.319), where applicable.

Federal Award Procurement and Subrecipient Requirements

Purchases funded by a federal award must comply with this policy, the Allowable Costs for Federal Programs Policy, the applicable award terms, and 2 CFR Part 200. Where Federal, State, County, College, or award-specific requirements differ, the most restrictive applicable requirement shall govern. Individuals involved in federally funded procurements must avoid actual or apparent conflicts of interest and may not solicit or accept gratuities, favors, or items of monetary value from contractors or prospective contractors.

Federal procurements must be necessary, reasonable, properly documented, and conducted in a manner that promotes full and open competition. The College shall avoid unnecessary or duplicative purchases, consider economical procurement alternatives when appropriate, and prohibit unduly restrictive specifications or the division of purchases to avoid competitive requirements. The College’s established procurement methods and thresholds shall apply unless a more restrictive federal or award-specific requirement governs. Noncompetitive procurement may be used only when permitted by 2 CFR Part 200 and supported by written justification.

Contracts shall be awarded only to responsible contractors, and the College shall document the procurement method, contractor selection, and basis for the contract price. When required, the College shall perform a cost or price analysis; comply with applicable requirements concerning small businesses, minority businesses, women’s business enterprises, veteran-owned businesses, labor-surplus-area firms, domestic preferences, recovered materials, bonding, and federal agency or pass-through entity review; and include all applicable federal contract provisions.

When issuing a federal subaward, the College shall document whether the receiving entity is a subrecipient or contractor, verify eligibility to receive federal funds, include all required terms in the subaward agreement, and assess the subrecipient’s risk of fraud and noncompliance. The College shall monitor the subrecipient’s financial and programmatic performance, audit findings, corrective actions, and achievement of required objectives and may impose additional conditions or take enforcement action when necessary. Federal procurement and subaward records shall be retained in accordance with 2 CFR Part 200, the applicable award, and College record-retention requirements.

Contracts and Agreements

All contracts and agreements must be submitted to and reviewed by the Purchasing Agent prior to execution. Only the Purchasing Agent or an authorized official may sign contracts on behalf of the College. Employees are strictly prohibited from signing, approving, or otherwise binding the College to any agreement, whether written or verbal. Any contract executed without proper authorization may be deemed invalid, and the individual responsible may be held personally liable for any resulting obligations or costs.

Vendor Requirements

Vendors must be properly established in the College’s system prior to any payment being issued. A completed and current W-9 is required for all vendors and verified by the IRS before payment can be processed. The College is a tax-exempt entity, and applicable tax-exempt documentation must be provided to vendors at the time of purchase to ensure sales tax is not charged.

Third-Party Provider Review

Vendors that provide services involving access to College data, systems, institutional operations, student services, or hosted technology platforms may be subject to a Third-Party Provider Review prior to engagement. This review is intended to assess risk, ensure compliance with applicable security and data protection requirements, and support institutional obligations.

Departments are responsible for coordinating with the Business Office and Information Technology, as applicable, to complete any required Third-Party Provider Review Checklist or related documentation prior to initiating services. Failure to complete required third-party review procedures may result in delays, denial of the engagement, or non-payment.

Digital Resources and Accessibility Compliance

In accordance with the State University of New York (SUNY) Electronic and Information Technology (EIT) Accessibility Policy and applicable federal and state accessibility laws and regulations, the College shall ensure that digital resources procured, developed, maintained, or renewed are accessible to individuals with disabilities.

https://www.suny.edu/sunypp/documents.cfm?doc_id=883

For purposes of this policy, digital resources may include, but are not limited to web pages, websites, hardware and software products and services.

All departments seeking to procure digital resources must adhere to the Electronic and Information Technology Accessibility procurement procedures outlined below.

• Obtain accessibility documentation from the vendor (Voluntary Product Accessibility Template or Accessibility Conformance Report)
• Submit a completed Pre-Purchase & Committee Review Form to the Purchasing Office or EIT Accessibility Officer along with required vendor documentation
• If it is determined by the committee that the purchase does not meet the requirements of SUNY’s EITA Policy, a request for exception can be made by submitting a Request for Accessibility Exception Form along with an Alternate Access Plan to the EITA committee for review.

*VPATs and ACRs are used to demonstrate compliance with recognized accessibility standards, including Web Content Accessibility Guidelines 2.1 Level AA.

The College reserves the right to deny procurement of digital resources that fail to meet accessibility requirements when no reasonable accommodation or alternate access plan is available.

Receiving and Payment

Departments are responsible for confirming receipt of all goods and services in Banner in a timely manner. Payment will not be processed without proper receiving documentation. All invoices must be submitted promptly to Accounts Payable to ensure timely and accurate processing.

Reimbursements

Reimbursements are not a substitute for established procurement procedures and should not be used to bypass the standard purchasing process. The use of personal funds for College purchases is strongly discouraged and will only be permitted in limited, pre-approved circumstances.

Reimbursements may be allowed for specific, authorized purposes, including:

• Union or contractual obligations (e.g., required safety equipment such as boots)
• Approved travel expenses, in accordance with the college’s travel procedures.
• Other situations where prior approval has been obtained and use of standard procurement methods was not feasible.

All reimbursement requests must:

• Be supported by original itemized receipts.
• Include a clear business purpose and justification.
• Have appropriate prior approval, where required.

Reimbursements for purchases made without prior approval, or in an attempt to circumvent established procurement procedures, may be denied.

Prohibited Purchases

The use of College funds is limited to legitimate business purposes. The purchase of alcoholic beverages, personal items, or any non-business-related expenditures is strictly prohibited under all circumstances.

Competition and Awarding

All procurements must promote fair and open competition. Awards shall be made to the lowest responsible and responsive bidder unless a documented justification supports an alternative selection. Where permitted by law, a “best value” approach may be used, provided that the evaluation criteria and rationale for award are clearly documented.

Documentation and Record Retention

All procurement activities must be fully documented and retained in accordance with applicable laws and regulations, including New York State General Municipal Law §104-b and Uniform Guidance (2 CFR §200.334). Proper documentation must support all purchasing decisions, approvals, and payments to ensure transparency and audit compliance.

Related Policies

Purchasing activities must comply with all applicable College policies and procedures. This includes, but is not limited to, the following:

• The Travel Policy, which governs all travel-related expenditures
• The Credit Card Policy, which governs the use of College-issued credit cards
• The Third-Party Provider Oversight Policy, which governs the review and approval of vendors that provide services involving access to College data, systems, or operations
• The Vehicle Use Policy, which governs the use of College-owned, leased, rented, or personal vehicles for official College business
• The Meals and Refreshments Policy, which governs allowable expenditures for meals, refreshments, catering, and related business expenses.
• Allowable Costs for Federal Programs Policy, which governs the allowability, allocation, treatment, and documentation of costs charged to federal awards.

Expenses or engagements that do not comply with these related policies may be deemed unallowable and may not be approved or paid.

Responsibility and Enforcement

All employees are responsible for understanding and complying with this policy. The Business Office is responsible for administering and enforcing procurement procedures and ensuring compliance with applicable laws, regulations, and institutional requirements. Violations may result in corrective or disciplinary action in accordance with College policies and procedures.