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I - General Statement of Policy
The Rockefeller University’s role and mission is the betterment of humanity through advanced research in the natural sciences. In keeping with that mission, The Rockefeller University must be governed by the highest standards of fairness and ethical conduct in any University action to fulfill its mission. The procurement of goods and services is a vital function in fulfilling the University’s mission; accordingly, all officers, employees and agents involved directly or indirectly in the awarding and/or administration of University procurement contracts are bound by these standards.
Standards of fairness and ethical conduct are based primarily on positive actions and assertions rather than on a negative series of prohibitions. Nevertheless, University policy specifically forbids the following practices:
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solicitation or acceptance of gratuities, favors or anything of monetary value from contractors or potential contractors |
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participation by an officer, employee or agent in the selection, award, or
administration of contracts where, to his knowledge, he or his immediate
partner or family, organization has a financial interest, or is actively
engaged in negotiating employment. |
| Violators of this code of conduct will be subject to disciplinary action. |
II - Nature of Procurement Transactions
All procurement transactions should, to the maximum extent possible, provide open and free competition. The following University guidelines promote a competitive atmosphere:
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All purchasing department personnel should be alert to possible organizational conflicts of interest or non-competitive practices among contractors. |
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Solicitation–bid–award actions should set forth clearly and explicitly all requirements. |
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Awards shall be made to a bidder/offeror whose bid/offer is responsible to the solicitation and is most advantageous to the University, price and other
factors considered. |
All procurement personnel should address any questions on these guidelines to their immediate supervisor and/or to Universitys management.
III - Procurement Procedures
The following procedures are in effect to promote efficiency and fairness in the University’s procurement process:
1 – Avoidance of unnecessary or duplicate items
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Purchase orders must be prepared for all transactions in excess of $75. |
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Purchase orders must be approved by the principal investigator and/or laboratory or department head. |
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Purchase orders must be approved by the purchasing department. |
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Purchasing personnel are responsible for checking equipment and stockroom inventory before initiating new orders. |
2 – Solicitations contain clear and accurate description of technical requirements
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If terms such as “brand name or equal” are used they should be supplemented to clearly define specific features. They should not be used to restrict competition. |
3 – Minority and small business sources of supplies and services
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Positive efforts should be made to use minority and small business suppliers. |
4 – Type of procurement instruments
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The instrument shall suit the type of procurement. |
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Properly approved and authorized purchase orders are to be used wherever appropriate. |
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Contractual arrangements (e.g. fixed fee, reimbursable cost) shall be the most advantageous to the University. |
5 – Contractor reliability
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The University will deal only with contractors capable of performing successfully. |
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In judging contractor reliability, the following factors should be taken into account:
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integrity and reputation |
| (b) |
past performance |
| (c) |
financial and technical resources |
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6 – Price or cost analysis
| • | All purchase orders are subject to competitive bid, as follows:
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Store supplies-broad categories such as reusable glassware, chemicals etc., are bid out for competitive pricing. |
| (b) |
Storeroom supplies (broad categories such as reusable glassware, chemicals etc.), are bid out for competitive pricing. |
| (c) |
Individual purchase orders less than $500 require written or oral bids, documented on purchase order. |
| (d) |
Orders less than $10,000 require written bids. |
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all purchase orders compared to New York State contracts, and best price taken. |
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each transaction will be analyzed for market price discounts, etc. |
7 – Documentation for purchases over $10,000
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Written bids are required for purchases over $10,000. |
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Copies are maintained in Purchasing Department documenting:
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basis of contractor selection |
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justification for lack of competition when competitive bids or offers are not obtained |
| (c) |
basis for award cost or price |
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8 – Proposed sole-source contracts less than $5,000 chargeable to federal
grants
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Sole-source contracts less than $5,000 or proposed contracts where only one bid has been received, are subject to prior approval at the discretion of the sponsoring agency. |
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The grants and contracts administrator will give guidance on the requirements of specific federal sponsoring agencies, and obtain prior approvals if necessary. |
9 – Contract administration
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The Purchasing Department and the grants and contracts administrator will coordinate to
ensure contractor conformance with procurement terms and timely follow-up of all purchases. |
IV – Contractual provisions for contract and subcontracts using federal funds
In addition to the usual provisions found in a sound and complete agreement, the following
provisions should be included:
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Contracts in excess of $10,000 should contain contractual provisions that will allow for administrative, contractual or legal remedies in instances in which contractors violate or breach contract terms. |
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Contracts should include provisions for compliance with specific legislation as follows:
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Contracts in excess of $10,000 comply with Executive Order 11246 – “Equal Employment Opportunity”. |
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Contracts in excess of $2,000 for construction or repair comply with the Copeland “Anti-KickBack” Act (18 USC 874). |
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When applicable, all contracts for construction comply with the Davis-Bacon Act (40 USC 2762-a-7). |
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Contracts in excess of $2,000 for construction and in excess of $2,500 for all other contracts that involve the employment of mechanics or laborers comply with sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 USC 327-330). |
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Contracts in excess of $100,000 provide that recipients agree to comply with the standards, orders and regulations issued pursuant to the Clean Air Act of 1970 (42 USC 1251 et seg). |
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Violations or suspected violations should be reported to the appropriate University authorities for further action. |
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All contracts should contain suitable provisions for termination by the recipient including the manner by which
termination will be affected and the settlement. In addition, such ontracts should describe conditions under which the
contract may be terminated because of circumstances beyond the control of the contractor. |
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Contracts for the development or improvement of processes or products, or methods, or exploration into the fields of
public health, safety, welfare, science or technology contain a notice to the effect that matter regarding rights to
inventions and materials generated under the contract are subject to the regulations of the sponsoring agency. |
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All contracts in excess of $10,000 include a provision that the University, the federal sponsoring agency, the
Comptroller General of the United States or their duly authorized representatives have access to any books, records,
documents, and papers pertinent to the contract for the purpose of making audits, examinations, excerpts and transcriptions. |
| Additional information on contractual provisions is available in O M B Circular A-110,
and through the University’s General Counsel. |
V Conclusion
The foregoing discussion briefly summarizes the procurement policies of The Rockefeller University. All officers,
employees and agents of the university have the duty and responsibility of understanding and implementing these policies
which are of vital importance to the university.
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