Employee
PURCHASING PROCEDURES
K.S.A 76-769 grants authority to the Kansas Board of Regents to adopt policies regarding the acquisition of any supplies, materials, equipment, goods, property, or services, including professional services, to be acquired by a state educational institution and any lease of real property entered into by a state education institution.
The Board of Regents has granted authority to the President of Emporia State University as the Chief Executive Officer of one of the state universities to develop and implement the policies required to administer and operate with all terms, conditions and requirements detailed in K.S.A 76-769 and Board Policies.
The President of Emporia State University may delegate the administration of the policies and procedures developed to the appropriate staff and departments on the campus at his/her sole discretion.
In order to provide for proper internal control, no one person should have the authority to approve purchasing and disbursement documents and also maintain the accounting records of the department (units). It is understood that staffing levels do not always allow for such separation of duties. When duties cannot be separated, special care should be utilized by the unit head to prevent any unauthorized activity. Questions regarding assistance in improving purchasing and disbursement controls should be directed to the Controller’s Office or the Internal Audit Office.
The purchase of items without a proper University Purchase Order is the personal responsibility of the individual until the warrant covering the invoice is issued by the State of Kansas. Purchases without prior authority should be carefully considered. Employees should make certain no rules or regulations have been violated. A purchase order is not required with direct purchases but a description of items purchased must be clearly indicated on the invoice.
APPROVAL AUTHORITY
Each unit head should determine who has authorization to approve the documents related to purchasing and disbursements in that unit. If such documents are signed by someone other than the head of the unit, the delegation of authority and any related limitations on that authority should be documented in writing and forwarded to Purchasing.
The use of rubber stamp signatures is not permitted because access to stamps is difficult to control. Any purchasing documentation or invoice sent to either Accounts Payable or Purchasing without proper approval will be returned to the unit.
The Vice President, Dean, Chair or Director has the authority to allow single expenditures up to $4,999 to be approved as delegated. Expenditures totaling $5,000 to $9,999 require the approval of the Vice President, Dean, Chair or Director. All expenditures totaling $10,000 and over require the signature of the Dean or Vice-President of that unit.
SPECIAL PROCEDURES AND LIMITATIONS
Invoices cannot be split to keep within dollar limitations.
Items purchased from other departments of the University or other state agencies are not subject to dollar limitations. Items purchased from the Surplus Property Section, Department of Administration, are not subject to dollar limitations. Contact the Controller’s Office concerning necessary authorization to make such purchases.
Purchases from University or State employees, or family members of employees, must have prior written approval from the Controllers’ Office. These purchases will be very limited. Trade-ins: Any purchase requisition with a trade-in must be accompanied by a Transfer of Property form. Obtain a copy from Accounting Services. All items being traded in are subject to current disposal procedures. Provide a statement in the description when items are purchased for resale or for repair parts. Prior approval by the Controller’s Office must be obtained before entering into a trade-in agreement.
ITEMS ON CONTRACT OR FROM RESTRICTED SOURCES
Open-End State Contracts: Contracts have been established with specific vendors for all commonly used items and services. Items or services included on open-end or fixed quantity contracts should be purchased from contract vendors, unless a cost savings can be documented with another vendor. Most open-end contracts are listed at the state web site: http://www.da.ks.gov/purch/Contracts/. For contracts currently not listed at the web site, contact Purchasing x5145. Current contract number, dates, and other information must be used.
Office Supplies: Office supplies are available from State of Kansas Products and Services, or open-end contracts. Items available from Kansas Products and Services can be viewed at http://www.da.ks.gov/purch/KansansCat.htm. If questions arise, contact Purchasing x5145.
Stationery Supplies: Stationery, envelopes and business cards are available on ESU contract. Business cards are also available from the University Copy Center. Ordering information and a link for either option can be found under the contract tab.
Kansas Industries Products: State law requires the University to purchase certain items from the State of Kansas Products and Services Manufactured and Offered by Blind and Severely Disabled Kansans http://www.da.ks.gov/purch/KansansCat.htm. The University cannot pay any other vendor for these items without approval from the Controller. Contact Purchasing for instruments to submit a request. While the University is no longer required to purchase from Kansas Correctional Industries, the items are still available, http://www.kancorind.com.
EMERGENCY PROCEDURES $5,000 OR MORE
For items costing $5,000 or more, prior permission from the Controller’s Office is required. A prior authorization must be completed and submitted to the Controller’s Office. When an emergency purchase has been approved and completed, the unit head should approve the invoice and send it to Accounts Payable. The approved prior authorization form should accompany the invoice. The form is available on the Infopath Form Repository which can be accessed through the Buzzin Portal.
Emergency purchases are those transactions required to obtain equipment, supplies, foods, or materials necessary for the preservation of life or property.
PROCUREMENT REQUIREMENTS
Purchases up to $4,999 (total purchase, not per item):
ESU Departments are required to purchase the best quality of goods and services at the lowest possible price with no documentation required. If the item is available on State of Kansas and/or ESU contract but is purchased from another source, then a prior authorization form must be submitted and approved to support the off-contract purchase. This will help us document our savings for reporting to the Board of Regents. EXCEPTION: All technology purchases must first be submitted on a purchase requisition to be reviewed by IT to ensure that the purchase meets ESU’s technology and security requirements. All promotion and publicity items must first be submitted on a purchase requisition to be reviewed by Marketing and Media Relations to ensure the purchase meets ESU’s standard/guideline requirements. Further instructions are listed on the ESU Purchasing web site.
Purchases totaling $5,000 to $9,999 (total purchase, not per item):
ESU Departments are required to go through the Informal Bid process for goods and services that total $5,000 to $9,999. Grant funded purchases require Informal Bidding for purchases totaling $3,000 and above, $2,000 and above if subject to Davis Bacon. If the item is available on State of Kansas and/or ESU contract but is purchased from another source, then a prior authorization form must be submitted and approved to support the off-contract purchase. This will help us document our savings for reporting to the Board of Regents. EXCEPTION: All technology purchases must first be submitted on a purchase requisition to be reviewed by IT to ensure that the purchase meets ESU’s technology and security requirements. All promotion and publicity items must first be submitted on a purchase requisition to be reviewed by Marketing and Media Relations to ensure the purchase meets ESU’s standard/guideline requirements. Further instructions are listed on the ESU Purchasing web site.
Purchases totaling $10,000 and above (total purchase, not per item):
ESU Departments are required to go through the Formal Bid process for goods and services that total $10,000 and above. Bids with an anticipated total of up to $25,000 will need to be posted to the ESU website for three (3) business days. Bids with an anticipated total of $25,000 and above will need to be posted to the ESU website for seven (7) business days. This process takes approximately two weeks for bids less than $25,000 and approximately three weeks for bids of $25,000 or more. Further instructions for the Formal bid process are listed on the ESU Purchasing web site.
A purchase requisition should be submitted to Purchasing for the purchase of goods and services. The Purchase Requisition form can be found in OnBase. The following sections provide additional information regarding specific purchases. If we have not done previous business with a vendor, a W-9 is required and should be attached to the Purchase Requisition.
Books: No dollar limitations apply to the purchase of copyrighted items.
Building Materials and Supplies: May be purchased from Facilities or from local vendors. Orders of $5,000 or more must be processed through the ESU bidding procedures.
Carpeting and Draperies: Some carpeting and draperies are available on state contract.
Contracts: All contracts, including click through agreements, must be reviewed and signed by an ESU official with contractual signature authority for the University. The University President has contractual signature authority and has also delegated general signature to the Vice President for Administration & Finance and the Associate Vice President for Finance/Budget Director. Unless otherwise delegated, or excepted by law or University policy, the department head should complete a contract approval form, and send with the contract to the Associate Vice President for Finance/Budget Director for review and processing
Copy Machines: Copy machines must be leased from state contract or bid if requirements are not provided for on contract. Contact Purchasing in advance for details needed.
Drug and Pharmaceuticals: Most items are on state contract. Contact Purchasing x5145.
Foods: Food may be purchased only for instructional purposes, except when fees are collected for this purpose, or for official hospitality.
Fuels other than Gasoline: May be purchased through Facilities or from local vendors.
Gasoline: A business procurement card for state vehicle fuel and emergency repair purchases will be used when operating a state vehicle away from campus.
Insurance Premiums and Surety Bonds: Insurance may be purchased through the Board of Regents. All insurance purchases must be approved by the Controller’s Office prior to purchasing.
Leasing of Equipment: Lease agreements must be approved by the Budget Office. When considering leasing equipment, contact the Budget Office for guidance. Leases of $5,000 or more must be bid. All lease agreements require the processing of a contract with a DA-146A.
Leasing of Land and Space in buildings: Real Estate Lease Agreement Form DA-46 must be completed. Forms are available in the Purchasing office. This requires approval by the Budget Office. Requests should allow a minimum of six months lead time.
Meals: Meals may be purchased with restricted fee funds only when fees have been collected for that purpose. Meals may be purchased with general use funds per official hospitality guidelines below.
Memberships: All memberships must be institutional (no individual memberships allowed) and have beginning and ending dates. Memberships can only be paid in the fiscal year in which they begin.
Motor Oil: Motor oil may be purchased from Facilities.
Office Supplies: Office supplies are available from the State of Kansas Products and Services vendors or open end contracts. Items available from Kansas Products and Services can be viewed at http://www.da.ks.gov/purch/KansansCat.htm. If questions arise, contact Purchasing, x5145.
Official Hospitality: Complete guidelines are available on the Official Hospitality tab. A purchase requisition in OnBase needs to be filled out for each event being paid with State funds. A completed official hospitality form must be attached to the purchase requisition and/or invoice.
Professional Fees: Fees are to be contracted for on an Agreement for Consultant form. The form “Manual Consultant Agreement” is available on InfoPath under “Manual Forms”. Honorariums and similar payments for state employees, not employed by the University, should be contracted using the consultant form. University employees will be paid with a salary supplement processed on a Form C. State employees may be reimbursed for official travel at current rates. All contractual services must be approved by the Controller’s Office prior to being contracted.
Professional Services: Professional Services means services performed under a contract with a state agency by any: 1) Certified Public Accountant, 2) Attorney, or 3) Consultant. Consultant means an individual or firm providing contractual services in the form of professional or technical advice or opinions. If a department needs a contract for services, contact the Controller’s Office, x5413.
Promotion or Publicity: All promotion or publicity of the University requires the approval of Emporia State University Marketing and Media Relations on a purchase requisition to ensure compliance with the required standards/guidelines. This includes but is not limited to the following: ESU trademarks and service marks, institutional names, designs, logos, graphics, video files, audio files, text, photographs, and other materials.
Prospective Faculty Interview Expense: The Board of Regents authorizes the chief executive officers of the Regents’ institutions to invite applicants to Kansas for interview without advance approval of the Board, provided that such invitations are reasonable, and further provided that they be for positions having the academic rank of assistant professor or higher, or the equivalent of such rank. The request for Approval of the Prospective Faculty Interview Expenses should be submitted to the Equal Opportunity Office, 202 Plumb Hall. The form “Manual Prospective Employee Interview Expenses” is available on InfoPath as under “Manual Forms”. Original receipts must be provided.
Registration Fees: If a department wishes to prepay a conference or seminar registration fee with a credit card, the InfoPath “Manual Registration Purchase Order” under “Manual Forms” should be completed, approved and submitted to the Controller’s Office. If credit cards are not accepted, submit to Accounts Payable as a money with order for payment with a check. Fees may be paid by the traveler and reimbursed on a travel voucher after completion of the trip.
Repairing of Equipment: Repairs are requested on a purchase order. Permission to make repairs of $5,000 or more must be obtained from the Controller’s Office in advance.
Scientific Supplies and Materials: Many items are on state contracts.
Stationary: Stationary must be purchased from ESU contract.
Subscriptions: Subscriptions must be in the University’s name, must have beginning and ending dates, and can only be paid in the fiscal year in which they begin.
Technology: All technology items requires the approval of Emporia State University IT on a purchase requisition to ensure compliance with and can be supported by ESU’s technology architecture and information security policies and procedures.
Telephone: For service on present equipment or to obtain new service, contact IT x5102.
PROCEDURE FOR APPROVING INVOICES
Only original invoices should be sent for processing. Payment cannot be made from a statement. If grant funds are involved, invoices will be sent to Research and Grants; otherwise invoices are sent to Accounts Payable.
Confirm calculations on the invoice.
Confirm invoice prices with contract prices.
When claiming a credit, a credit memo must be forwarded with invoice.
Steps for completing an Invoice Approval form can be found under the Training tab.
PROCEDURES FOR COMPLETING FORMS
ESU Purchase Requisition (OnBase):
The department prepares a purchase requisition. This type of requisition is for purchases made directly by the University. The purchase order number is placed on the form by Purchasing. A purchase requisition is not used when goods have been received.
State of Kansas Contract Items: A purchase requisition is prepared. In addition, the state contract number from which purchases are being made must be placed in the correct field within the requisition info section. (Do not obtain contract information from an old invoice or previously prepared purchase requisitions/orders as the information is usually out-of-date.) If you are unsure if the contract has been previously used, contact Purchasing prior to order placement.
Items to be bid: Orders that total $10,000 or more (including shipping) will be placed on ESU’s bid website. Specifications along with a minimum of 3 vendors to contact should be sent to Purchasing as a word document. Give complete description and specifications including name of the item, manufacturer’s model number, size and color. If units are used, show the number in the unit (i.e. 12 per box).
To obtain maximum benefit from competitive purchasing, it is essential that correct, complete and precise descriptions and specifications are provided which identify beyond question the exact item needed.
In many cases it is appropriate to use a brand name and identifying number (catalog or stock number) as part of the specifications provided the words “or equivalent” are used to avoid restricting the purchase to a particular brand or trade name. However, the brand name does not constitute complete specifications and sufficient additional specifications must be shown. Complete specifications and few restrictions permit more competition and better prices.
If the items being requested are to be used in conjunction with present equipment, “upgrade” needs to be indicated for inventory purposes. If it is necessary to purchase a particular company’s product, this information and the reasons necessitating such a purchase should be shown on the purchase requisition. Reasons shown should be objective and not personal preferences. Turnaround time for the bid process is usually two to three weeks. Please allow lead time.
Special comments or conditions concerning purchase or shipment and the name and telephone number of the person in the department to be contacted for more information about the order should be noted within the e-mail. Electronically attach quotations, sketches, blueprints, catalog pages or any other material which may be helpful. All specifications should be attached in a Word document.
If used equipment is to be traded, describe the items to be traded just below the description of the new equipment on the Word document. “Transfer of Property”: for the item to be traded must accompany the purchase order after award of bid.
REVIEW OF BIDS
Bid results will be submitted to the department for review.
APPROVAL OF CONTRACTS
Contract Authority: Board of Regents policy requires that only the University’s Chief Executive Officer, or a specifically authorized designee of the Chief Executive Officer, shall execute contracts on behalf of the University. Only the President of the University, Vice President Administration & Finance, and Associate Vice President for Finance/Budget Director have been designated by the General Counsel of the Board of Regents as authorized to execute contracts on behalf of Emporia State University.
Contract Review: All awarded bids or expected purchases resulting in a contract, including click through agreements, must be reviewed and signed by an ESU official with contractual signature authority for the University. Certain contracts may also require external review and authorization. The University President is the authorized signatory for University contracts and may delegate this authority in writing with appropriate notice through the University General Counsel's Office to the State of Kansas and the General Counsel of the Kansas Board of Regents. While retaining general contractual signature authority, the University President has delegated general contractual signature authority to the Vice President for Administration & Finance and the Associate Vice President for Finance/Budget Director. Other similar or limited contract signature delegations by the President may also be in effect if properly authorized. Unless otherwise delegated, or excepted by law or University policy, the department head should complete a contract approval form, and forward along with the contract or a copy of any Terms and Conditions that contractually bind the University, to the Associate Vice President for Finance/Budget Director for review and processing. The University Office of General Counsel is responsible for coordination and provision of the legal review of contracts and purchasing related issues. Once the contract has been properly executed, it should be attached to a purchase requisition and submitted to Purchasing.
Failure to follow University policy on contracts may result in University employees acting outside their capacity or scope of employment. This may void the protection afforded State employees under the Kansas Tort Claims Act and result in personal liability. The Kansas Tort Claims Act requires State employees to operate within their assigned capacity.
Real Estate Lease Agreements: All leases for real estate should be initiated a minimum of six months in advance of the date the space is needed. Twelve months advance notice is recommended. These agreements will require the signature of the President, Vice President Administration & Finance, or Associate Vice President for Finance/Budget Director. Any commitment to lease space not owned by the University or space to be used by a non-University entity on an ongoing basis is included in this requirement. This policy applies even if no funds will be expended for the lease.
Construction Contracts: All contracts for construction of facilities require the signature of the President, Vice President Administration & Finance, or Associate Vice President for Finance/Budget Director.
Service/Maintenance Agreements: All service and maintenance agreements must be signed by the President, Vice President Administration & Finance, or Associate Vice President for Finance/Budget Director.
Consultant Fee Agreements: All agreements for payment of consultants require the signature of the Controller. Consultant agreements over $5,000 require competitive bidding.
University-related Organizations: University contracts with the Memorial Union Corporation, the ESU Foundation, and the ESU Alumni Association require the signature of the President, Vice President Administration & Finance, or Associate Vice President for Finance/Budget Director.
Revised: July 1, 2015
For additional or more current information, contact Purchasing,
103M Plumb Hall, 341-5145.