:: UNDER REVISION ::

Appendix

Appendix A State Statute - 4-13-4, State Procurement (Educational Institution exempt)
Appendix B State Statute - 5-17-3, Coal
Appendix C State Statute - 5-16-1-1.9, Public Works
Appendix D State Statute - 14-3.4-2-8, Recycled Products
Appendix E State Statute - 5-16-8-2, Steel
Appendix F State Statute - 35-44-1-3, Conflicts of Interest; Public Servants
Appendix G State Statute - 5-14-3-3, Right of Public Inspection of public records
Appendix H Sale of Computer Equipment
Appendix I Instructions for Departmental Purchase Orders
Appendix J Purchasing Card Procedures revised 7/1/99
Appendix K Gift Center Agreement
Appendix L Facilities Agreement
Appendix N Physical Plant - IUPUI
Appendix O Solicitation Process Procedures
Appendix P Instructions for Automatic Purchase Orders

Appendix A

STATE PROCUREMENT (IC 4-13.4)

A. Definitions (IC 4-13.4-1).

B. General Provisions (IC 4-13.4-2):

1. Purpose.

2. Application:

a. Applies to every expenditure of public funds by any governmental body acting under any contract for the procurement of supplies or services.
b. Exceptions:

1) Indiana Commission for Higher Education.
2) State Educational Institutions.
3) Military.
4) State Fair Board.
5) General Assembly-established bodies corporate and politic.
6) Department of Highways.

c. Does not apply to the following types of activities:

1) Contracts between state and political subdivisions.
2) Construction or public works projects.
3) Special statutory exemptions.
4) Contracts between governmental bodies.
5) Collective bargaining agreements between a governmental body and its employees.
6) Employment agreements.
7) Contracts for social services.
8) Investment of public funds.
9) Contracts between governmental bodies and bodies corporate and politic.

d. Procurements made under this article are subject to price preference procedures under IC 5-17-6 (recycled materials).
e. The DOA may adopt rules to give preference to Indiana businesses that submit bids.

C. Purchasing Organizations (IC 4-13.4-3):

1. Powers and duties of DOA:

a. Adopt rules.
b. Decide polity matters.
c. Enforce provisions.

2. Procurement division powers:

a. Procures or supervises procurement of all supplies and services for governmental bodies.
b. Exercises general supervision over all inventories of supplies retained by governmental bodies.

Appendix B

Section 20.72 I.C. 5-17-3-1 Acts 1931, c. 91, �1 1972, P.L. 45, �1

Use of coal mined in Indiana in institutions of the state; purchasing authority. The proper purchasing authority of every institution in the state of Indiana which is supported in whole or in part by public funds, and who is authorized and required to purchase coal for fuel purposes in the operation of any such institution shall be required to purchase and use coal which is mined in the state of Indiana: Provided, that in the event low sulphur coal is required by federal regulations, the purchasing authority is authorized to accept coal from an out-of-state supplier making the lowest or best bid on such low sulphur coal.

Appendix C

Public Works By State Agencies (IC 5-16-1-1.9)

A. Application (IC 5-16-1):

1. Applies to the construction, alteration, or repair of public buildings owned by the state (excludes the department of highways).

2. Applies to work or improvements on real property leased by the state if:

a. the estimated cost is at least $25,000; and
b. the lease gives the state the option to buy.

3. Awarding of Contract:

a. Threshold of at least $25,000.
b. Award the contract to lowest and best bidder.
c. If the contract is for less than $25,000, the state officer may:

1) purchase materials in manner provided in law; and
2) perform work within own means and not award the contract.

4. Must have plans and specs approved by a licensed architect (over $25,000).

5. Securing Bids:

The state shall prepare plans and specs whenever the cost is estimated to be more than $25,000.

*6. State Educational Institutions:

If less than $50,000, the governing board may purchase materials as provided by law and use its own employees without awarding a contract.

7. Emergency:

a. Public health, welfare, safety.
b. May proceed without advertising for bids, except for inviting bids from at least three (3) known contractors.

*8. Purdue University:

a. Applies to agriculture/forestry land.
b. May award contracts without advertising for bids if the cost is less than $50,000.
c. Invite at least three (3) known contractors to bid.

*9. State Educational Institutions:

a. May award the contract for construction or repair without advertising bids if the project is less than $50,000.
b. Must invite at least three (3) known contractors.
c. Must give notice of the project in at least one (1) newspaper in pertinent county.

10. Bidders Oath.

11. Filing of Plans and Specs.

12. Trench Safety Systems.

13. Goal of 5% of contracts awarded to be let to minority business enterprises under IC 4-13-16.5-1.

B. Bids Opened at Public Meeting (IC 5-16-2):

1. Any bids may be rejected (reasonableness standard).

2. Time limits to proceed after contract is awarded.

3. Contracts void if nonconforming.

4. This act is supplemental to laws in effect on April 30, 1913.

C. Filing of Blueprints and Specs (IC 5-16-3):

1. If cost is at least $25,000, must file within sixty (60) days after completion with State Building Commission a complete set of blueprints and specs.

2. Depository of blueprints and specs with State Librarian.

D. Withholding and Bond to Secure Payments (IC 5-16-5):

1. State may withhold final payment to contractor until all subcontractors, supplier, etc., are paid.

2. Subcontractors and suppliers must claim within sixty (60) days of last performance.

3. Shall have final settlement with contractor within thirty (30) days of satisfaction of contract.

4. Surety of contractor may not be released for one (1) year after final settlement.

5. Bond must be executed sufficient to cover payment.

6. May claim against bond.

7. This law is supplemental.

E. Retainage, Bonds, and Payment (IC 5-15-5.5):

1. Applies to state agencies (excludes department of highways).

2. If contracts are for more than $100,000, retainage is authorized.

3. Escrow account.

4. Determination of retainage amount:

a. 10% of dollar value of work until 50% of work is finished; or
b. 5% of total value of work until all work is substantially completed.

5. Performance bond equal to total contract price.

6. Contractor must pay subcontractors within ten (10) days of receipt of any payment.

7. Suits against surety must be brought within one (1) year after completion of work in question.

F. Discrimination by Contractors and Subcontractors Prohibited (IC 5-16-6).

G. Minority Business Certification (IC 5-16-6.5).

H. Wage Scale (IC 5-16-7):

1. Prevailing scale of wages:

a. Applies to each class of work.
b. Committee of three (3) determine prevailing wage for skilled, semi-skilled, and unskilled.
c. Does not apply to department of highways of Purdue university agriculture or forestry work.

2. Contractors shall file the scale of wages.

3. Violation is a Class B misdemeanor.

I. Steel Procurement (IC 5-16-8).

J. Parking Facilities for Handicapped (IC 5-16-9).

K. Limitation on Employment of Construction Manager (IC 5-16-10).

L. Disclosure of Economic Interest by Consultants in Public Projects (IC 5-16-11).

M. Procurement of Services of Architects, Engineers, and Land Surveyors (IC 5-16-11.1):

1. Must notify.

2. May waive notice if emergency.

3. Must award contract on competence and qualifications.

Appendix D

Section 1. IC 4-13.4-2-8 is added to the Indiana Code as a new section to read as follows: Sec.8. A procurement under this article is subject to procurement preferences provided under IC 5-17-6.

Section 2. IC 5-17-1-10 is added to the Indiana Code as a new section to read as follows: Sec. 10. A purchase under this chapter is subject to procurement preferences provided under IC 5-17-6.

Section 3. IC 5-17-6 is added to the Indiana Code as a new chapter to read as follows:

Chapter 6. Procurement Preferences
Sec. 1. (a) This chapter applies to a purchase or a procurement of supplies:
(1) under IC 4-13.4;
(2) by a state agency not covered by IC 4-13.4;
(3) under IC 5-17-1;
(4) by a state educational institution;
(5) by an instrumentality of the state that performs essential governmental functions on either a statewide or local basis; or
(6) by the state lottery commission created by IC 4-30-3-1.
(b) This chapter applies to a purchase under IC 36-1-9.
Sec. 2. This chapter does not apply to a purchase or a procurement made from funds provided under a gift or grant of funds if compliance with this chapter would invalidate the gift or grant.
Sec. 3. As used in this chapter, "adjusted bid" means the bid price of a bidder for preferred supplies determined under section 15 of this chapter.
Sec. 4. As used in this chapter, "bid" includes a proposal submitted under IC 4-13.4-5-4.
Sec. 5. As used in this chapter, "bidder" includes an offeror submitting a proposal under IC 4-13.4-5-4.
Sec. 6. As used in this chapter, "preferred supplies" means supplies that are given a preference under this chapter.
Sec. 7. As used in this chapter, "price preference percentage" means the percentage preference provided by this chapter for a specified kind or item of supplies.
Sec. 8. As used in this chapter, "purchasing agent":
(1) means the procurement division of the department of administration (established by IC 4-13.4-3-2) for a procurement under IC 4-13.4;
(2) means the person responsible for awarding a contract for a state agency not covered by IC 4-13.4;
(3) means a purchaser for a purchase under IC 5-17-1;
(4) means the person responsible for awarding a contract for a state educational institution for a purchase by the state educational institution; and
(5) has the meaning set forth under IC 36-1-9-2 for a purchase under IC 36-1-9
Sec. 9. As used in this chapter, "state agency" has the meaning set forth in IC 4-13-1-1. The term includes the following:
(1) The administrative department of state government.
(2) The legislative department of state government.
(3) The judicial department of state government.
(4) All entities of local government, including but not limited to, counties, cities, towns, townships, school corporations, and combined groups of these entities.
Sec. 10. As used in this chapter, "state educational institution" has the meaning set forth in IC 20-12-0.5-1.
Sec. 11. As used in this chapter, "supplies":
(1) has the meaning set forth in IC 4-13.4-1-31 for a procurement by a state agency (whether or not the procurement is under IC 4-13.4);
(2) means materials, equipment, goods, or supplies for a purchase under IC 5-17-1 and for a purchase by a state educational institution; and
(3) means materials for a purchase under IC 36-1-9.
Sec. 12. As used in this chapter, "total adjusted bid" means the sum of the bids and adjusted bids of a bidder for each item of supplies.
Sec. 13. A bidder who wants to claim a preference provided under this chapter for a given item of supplies must indicate in the bid what item of supplies in the bid are preferred supplies.
Sec. 14. The purchasing agent may require a bidder who claims a preference for a given item of supplies under section 13 of this chapter to certify that the supplies offered meet the qualifications set for preferred supplies under this chapter.
Sec. 15. If a bidder bids a preferred supply for a given item of supplies, the purchasing agent shall compute an adjusted bid for that item according to the following formula:
STEP ONE: Determine the price preference percentage for the item of supplies under this chapter.
STEP TWO: Multiply the bidder's bid for the item of supplies by the percentage determined under STEP ONE.
STEP THREE: Subtract the number determined under STEP TWO from the bidder's bid.
Sec. 16. Notwithstanding any statute requiring the award of a contract to the lowest bidder, but subject to section 17 of this chapter, a purchasing agent shall award a contract to the bidder whose total adjusted bid is lower than the total adjusted bid of each other bidder.
Sec. 17. Award of a contract under section 16 of this chapter is subject to the following:
(1) A requirement of an applicable statute to award a contract to a responsible and responsive bidder.
(2) A requirement of an applicable statute to award a contract to the best bidder.
(3) The authority of the purchasing agent under an applicable statute to award contracts separately or for a combination of a line or class of supplies.
Sec. 18. If a purchasing agent awards contracts separately or for a combination of a line or class of supplies under an applicable statute, the purchasing agent shall compute total adjusted bids and award contracts as if each combination of lines or classes of supplies to be awarded to contract had been solicited separately.
Sec. 19. The price paid for preferred supplies purchased under a contract awarded under this chapter shall be the price bid for the supplies and not the adjusted bid price of the supplies.
Sec. 20. There is a price preference of ten percent (10%) for supplies that meet at least one (1) of the following descriptions:
(1) At least fifty percent (50%) of the volume of the original components of the supplies consisted of recycled materials.
(2) The cost of purchasing recycled materials constituted at least fifty percent (50%) of the cost of producing the supplies.
(3) A percentage by weight or volume of recycled materials which the commissioner of the department of environmental management determines by rule is eligible for procurement preference under this chapter.
Sec. 21. The state department of administration created by IC 4-13-1 may adopt rules under IC 4-22-2 to implement this chapter.
Section 4. IC 20-12-3.1 is added to the Indiana Code as a new chapter to read as follows: Chapter 3.1. Purchasing Preferences
Sec. 1. As used in this chapter, "state educational institution" has the meaning set forth in IC 20-12-0.5-1.
Sec. 2. As used in this chapter, "supplies" has the meaning set forth in IC 5-17-6-11.
Sec. 3. A state educational institution shall comply with IC 5-17-6 when purchasing supplies.
Section 5. IC 36-1-9-14 is added to the Indiana Code as a new section to read as follows: Sec. 14. A purchase under this chapter is subject to procurement preferences provided under IC 5-17-6.

Appendix E

Section 20.75 I.C. 5-16-8-2 Acts 1978, P.L. 27, �l; 1981, P.L. 59,, �l

Steel procurement; use of American steel products required except where cost is unreasonable. (a) Each public agency shall require that every contract for the construction, reconstruction, alteration, repair, improvement or maintenance of public works contain a provision that, if any steel products are to be used or supplied in the performance of the contract or subcontract, only steel products as defined by this chapter shall be used or supplied in the performance of the contract or any of the subcontracts unless the head of the public agency determines, in writing, that the cost of steel products is deemed to be unreasonable.

(b) The head of each public agency shall issue rules which provide that, for purposes of subsection (a) of this section, the bid or offered price of any steel products of domestic origin is not deemed to be unreasonable if it does not exceed the sum of:

(1) The bid or offered price of like steel products of foreign origin (including any applicable duty); plus

(2) A differential of 15% of the bid or offered price of the steel products of foreign origin.

However, the 15% differential provided by clause (2) may be increased to 25%, if the head of the public agency determines that use of steel products of domestic origin would benefit the local or state economy through improved job security and employment opportunity. Whenever the head of a public agency determines that the differential should be increased above 15% for a particular project, he shall file a report with the governor and the legislative services agency detailing the reasons for such determination and the probable impact on the economy of the use of domestic steel in the project.

Appendix F

Section 2.51 I.C. 35-44-1-3 Acts 1978, P.l. 144, �7; P.L. 144, �l7, P.L. 183-1988, �l;

Conflicts of Interest; public servants. A public servant who knowingly or intentionally: (1) Has a pecuniary interest in; or (2) Derives a profit from; a contract or purchase connected with an action by the governmental entity served by the public servant commits conflict of interest, a Class D felony.

(b) This section does not prohibit a public servant from receiving compensation for:

(1) Services provided as a public servant; or

(2) Expenses incurred by the public servant as provided by law.

(c) This section does not prohibit a public servant from having a pecuniary interest in or deriving a profit from a contract or purchase connected with the governmental entity served if:

(1) The:

(A) Public servant is not a member or on the staff of the governing body empowered to contract or purchase on behalf of the governmental entity;

(B) Functions and duties performed by the public servant for the governmental entity are unrelated to the contract or purchase; and

(C) Public servant makes a disclosure under subsection (d) (1) through (d) (6);

(2) The contract or purchase involves utility services from a utility whose rate structure is regulated by the state or federal government;

(3) The public servant:

(A) Is an elected public servant or a member of the board of trustees of a state-supported college or university; and

(B) Makes a disclosure under subsection (d) (1) through (d) (6);

(4) The public servant:

(A) Was appointed by an elected public servant or the board of trustees of a state-supported college or university; and

(B) Makes a disclosure under subsection (d) (1) through (d) (7); or

(5) The public servant:

(A) Acts in only an advisory capacity for a state-supported college or university; and

(B) Does not have authority to act on behalf of the college or university in a matter involving a contract or purchase; or

(d) A disclosure required by this section must:

(1) Be in writing;

(2) Describe the contract or purchase to be made by the governmental entity;

(3) Describe the pecuniary interest that the public servant has in the contract or purchase;

(4) Be affirmed under penalty of perjury;

(5) Be submitted to the governmental entity and be accepted by the governmental entity in a public meeting of the governmental entity prior to final action on the contract or purchase;

(6) Be filed within 15 days after final action on the contract or purchase with:

(A) The state board of accounts;

. . .

(7) Contain the written approval of the elected public servant (if any) or the board of trustees of a state-supported college or university (if any) which appointed the public servant.

(e) The state board of accounts shall forward a copy of all disclosures filed with the board under IC 16-12.1, IC 16-12.2-5, or this section.

(f) The state ethics commission shall maintain an index of all disclosures received by the commission. The index must contain a listing of each public servant, setting forth the disclosures received by the commission made by that public servant.

(g) A public servant has a pecuniary interest in a contract or purchase if the contract or purchase will result or is intended to result in an ascertainable increase in the income or net worth of the public servant or a dependent of the public servant.

(h) It is a defense in a prosecution under this section that the public servant's interest in the contract or purchase and all other contracts and purchases made by the governmental entity during the 12 months before the date of the contract or purchase was $250 or less.

(i) Notwithstanding subsection (d), a member of the board of trustees of a state supported college or university, or a person appointed by such a board of trustees, complies with the disclosure requirements of this chapter with respect to the member's or person's pecuniary interest in a particular type of contract or purchase which is made on a regular basis from a particular vendor if the member or person files with the state board of accounts and the board of trustees a statement of pecuniary interest in that particular type of contract or purchase made with that particular vendor. The statement required by this subsection must be made on an annual basis.

(j) This section does not apply to member of the governing board of a hospital organized or operated under IC 16-12.1 or IC 16-12.2-5.

(k) As used in this section, "dependent" means any of the following:

(1) The spouse of a public servant.

(2) A child, stepchild, or adoptee (as defined in IC 31-3-4-1) of a public servant who is:

(A) Unemancipated; and

(B) Less than 18 years of age.

(3) Any individual more than 1/2 of whose support is provided during a year by the public servant.

Appendix G

Section 2.32 I.C. 5-14-3-3 P.L. 19-1983, �6; P.L. 54-1985 �2

Right of Public Inspection of public records. (Entire State Statute) (a) Any person may inspect and copy the public records of any public agency during the regular business hours of the agency, except as provided in �4 . . . of this chapter. A request for inspection or copying must:

(1) Identify with reasonable particularity the record being requested; and

(2) Be, at the discretion of the agency, in writing on or in a form provided by the agency.

No request may be denied because the person making the request refuses to state the purpose of the request, unless such condition is required by other applicable statute.

(b) A public agency may not deny or interfere with the exercise of the right stated in subsection (a). The public agency shall either:

(1) Provide the requested copies to the person making the request; or

(2) Allow the person to make copies:

(A) On the agency's equipment; or

(B) On his own equipment.

Appendix H

POLICY: SALE OF COMPUTER EQUIPMENT

SCOPE:

The procedures outlined in this Policy 14.1 supplement current State approved methods for the sale and disposal of University-owned equipment. This Policy limits procedures only to computer equipment owned by Indiana University. This Policy does not govern nor allow equipment other than computing equipment to be sold by these procedures.

University departments currently have, and will continue to have authority to sell or transfer property to other IU departments. Authority to sell property to any other source is mandated only to the Purchasing Department and is governed by University Purchasing Policy P14.0 "Disposal and Re-distribution of University Property".

Sale of University property to any individual or entity other than an IU department must be directed by the Purchasing Department. In addition to these procedures governing computing equipment, there are two other approved methods for sale or disposal of equipment as governed under Policy P14.0 "Disposal and Re-distribution of University Property".

1) Public Auction

2) Solicitation of offers to buy from suppliers and/or the public

PURPOSE:

The purpose of this Policy is to expand the availability and use of viable computing technology to the Indiana University community. This community is represented by students, student constituencies, staff, and faculty. The computing technology is equipment that would otherwise be disposed of in a manner least conducive to its best use and application. This Policy seeks to facilitate a process to promote the most beneficial use of computing technology at Indiana University.

STATEMENT OF ETHICS:

Implementation of this Policy necessitates an ethical posture from all University personnel. It is incumbent upon all who dispose of data processing property under the auspices of this Policy, to do so in the true sense of the Policy's intent. Disposal of property for personal gain or favor is prohibited.

EQUIPMENT:

All equipment shall be sold "as is", "where is" and no warranties, guarantees, or functionality are implied by the sale of this equipment.

Equipment released by a department to this process will be considered "salvaged" equipment and will not be returned to an owner if unsold.

All computing equipment is sold on a first-come, first-serve basis. No equipment can be held back nor carry any prearrangement to its purchase.

No software other than the original operating system software can be sold or accompany with the sale of this equipment.

SOLD: Proceeds from the sale of equipment, minus a handling fee will be deposited into an account designated by the department selling the equipment.

UNSOLD: Unsold equipment will be disposed of by the Purchasing Department under one of the other approved methods of equipment disposal. No handling charge is assessed for unsold equipment.

DEPARTMENTAL RESPONSIBILITY:

Regardless of how computing equipment is disposed of, all IU personnel are liable for institutional data contained on any storage device. Therefore, it is the responsibility of the department and their personnel to see that all data residing on any type of storage device is removed from the computing technology prior to the equipment leaving their possession.

Before a department may relinquish computing equipment to another entity, and such equipment is, or contains a storage device, all data must be removed from the storage device(s). Minimally, data removal shall be achieved by using a product or products that have erase or wiping capabilities that meet or exceed the latest Department of Defense (DOD) standard. The actual method or process for removing institutional data from storage devices over and above that of meeting the DOD standard for removal of data shall be at the discretion of the individual campus. Some campuses may require more stringent regulations with regard to the removal of institutional data before property may be relinquished.

DoD References:
http://www.dtic.mil/whs/directives/corres/html/522022m.htm
http://www.dss.mil/isp/fac_clear/download_nispom.html

PROCESS TIME:

The length of time equipment is held for sale will be at the discretion of the Purchasing Department. A typical time for movement of equipment will be considered to be 90 days unless special cases or large quantities dictate otherwise.

BUYERS:

Equipment will be made available to all departments, students, staff, and faculty at the same time. No special arrangements will be made favoring one of these groups over another.

Caveat emptor prevails.

Only students, student constituencies and current employees of Indiana University are eligible to purchase computing equipment. Buyers must be able to verify their status with suitable identification.

Computing equipment may not be purchased for resale.

Buyers are responsible for removal of equipment immediately upon purchase. No deliveries, installation, or other services connected with the purchase are allowable.

Departments purchasing equipment may purchase more than one system.

SELLERS:

Only University departments can participate in this process. No personal equipment will be accepted nor will this process facilitate the sale of personal property.

PRICING:

Pricing will be accomplished by preset price lists predicated on current industry and market values for used equipment. Prices will be set for specific types of technology.

Pricing will consider the state and age of technology but not additions/expansions added to the technology. The technology carries the only value. All prices are non-negotiable.

Pricing for systems where no market information is available will be handled by the Purchasing Department in collaboration with university and other market sources.

Individuals involved with setting special pricing are precluded from participating in the purchase of this same equipment.

For the purchase of equipment known to have been funded from Student Technology Fees, a five (5%) discount will be granted to currently enrolled students only.

This procedure includes the right to reduce the original set selling price if equipment has not sold in a predetermined length of time.

Unless sale is to a tax exempt entity, Sales Tax at the current tax rate shall be applied to, and collected for a sale.

TRANSIT:

It is the responsibility of the seller to transport the sale equipment to the point of sale if it is not the owner's site.

COMMUNICATION:

All current University avenues of communication (electronic mail, newsletters, bulletin boards, newspapers, etc.) will be utilized to disseminate sale information.

PROCESS:

The proper FMS form must be completed and accompany the equipment to be sold. This form begins the process, provides departmental approval for the transaction, authorization to remove equipment from Capital Asset Management's property rolls, and specific accounting information.

Revised July 19, 2004

Appendix I

Instructions for Departmental Purchase Orders

The Departmental Purchase Order (DPO) facilitates quick placement of small, routine orders. It extends purchasing authority to a department for these transactions. The total dollar amount of goods/services for any single DPO cannot exceed the amount indicated on the DPO. This amount includes cost of shipping. Other restrictions apply and are described in section "C" of this document.

Please read all of these instructions carefully before using the Departmental Purchase Order. This is an additional method of procurement providing a convenience for the using department. While we encourage use of DPOs, it is strictly optional. However, if selected as a means of purchasing, failure to comply with these procedures can result in revocation of a department's right to use DPOs.

A. GENERAL INFORMATION

1. To obtain Departmental Purchase Order forms, an authorized representative from the department must personally pick up the forms at the Purchasing Department (Bloomington Campus, Poplars Bldg., Room 414, 855-2223). DPOs, in numbered sequence, will be assigned to a department and the preprinted sequential numbers recorded. The authorized representative must sign for the DPO forms taken.

The delegation of limited purchase authority to a department allowing use of the DPO means the department is responsible for compliance with all State of Indiana and Indiana University policies, rules and regulations governing procurement. This includes adherence to all prohibitions, restrictions, and limitations of such purchases. The Departmental Purchase Order may not be used to make purchases from: (1) Indiana University employees or their spouses, (2) business concerns of which an IU employee (or spouse) is a sole or principal owner, or (3) corporations of which an IU employee (or spouse) is a major officer or primary employee.

The Departmental Purchase Order must not be used to reimburse Indiana University employees. The proper vehicle for reimbursements is the Indiana University Disbursement Voucher with receipts attached.

NOTE: If any DPO is lost or stolen, the department must notify the Purchasing Department at once. Each department is required to maintain an accurate log of assigned DPO forms and their use. Under Internal Audit procedures, a department is accountable for each individual DPO assigned to them.

2. DISTRIBUTION OF DPO COPIES: Completed DPOs are distributed as follows:

White Copy (Vendor): The fully completed form is mailed to the vendor. All shipments, invoices, and correspondence from the vendor must refer to this form's preprinted purchase order number.

This copy must bear the original signature of the appropriate account manager.

Pink Copy (Purchasing): Send this copy via campus mail to the Purchasing Department immediately upon completing the transaction with the vendor. The transaction will be entered into TOSS (On Line Statement of Accounts) and funds encumbered.

Gold Copy (Department): Keep this copy along with any pertinent information regarding the order.

3. ADDITIONS, DELETIONS, CHANGES: Any revision of the original DPO must be documented. Make a copy of the department's copy of the Original order, clearly indicate all changes, and immediately send the revised copy to the Purchasing Department.

Note: Revisions to an order must not raise the total dollar amount for goods above that stated on the DPO.

4. CANCELLATION OR VOIDING A DPO: If a Departmental Purchase Order form is voided before it is mailed to a vendor, write VOID across the form and return the top two copies to the Purchasing Department. Keep the Departmental copy for your records.

If for any reason an order is canceled after being placed, make a copy of the departmental copy of the original order, write CANCEL across the order, and send the notated copy to Purchasing. It is the responsibility of the department placing the order to ensure that the vendor is aware of the cancellation. You should keep records indicating the date of cancellation, the reason for such, and the person at the vendor's office that was notified of the cancellation.

5. RETURN OF MERCHANDISE: Authorization from the vendor must be obtained for returns. A Return Goods Authorization number is usually given by the vendor, and must be visible on the outside container. A Material Return Slip and Shipping Permit must be completed prior to the return of any item. The return slip should include the purchase order number and a description of items returned. A copy of the return slip is packaged with the items being returned. If the vendor is responsible for return shipping, notify the vendor to issue a call tag for the package (at Central Receiving or at the department). If the department returns a package, retain documentation of the shipment.

6. TELEPHONE/FACSIMILE ORDERS: If an order is phoned to a vendor, this order must be marked "Confirming" to avoid a duplicate shipment being made.

7. PAYMENT WITH ORDER: You may send a check with a DPO. Just write "Check Enclosed" on the face of the order and send vendor and purchasing copy to the Purchasing Department. A check request is not required. Caution should be exercised when prepaying and its use should be limited.

8. STACKING: You may not use multiple Departmental Purchase Orders for one requirement. "Stacking" DPOs which keeps the dollar amount of the individual order under $500.00 but the total requirement over the $500.00 limit is not permissible.

B. COMPLETION OF THE DEPARTMENTAL PURCHASE ORDER FORM

All boxes on the order form should be completed prior to distribution of copies. Please refer to the attached facsimile of an order form for the following special instructions.

1. Complete name and address of vendor is necessary.

2. Date of order in format of mm-dd-yy.

3. Enter vendor's Federal Employer Identification Number in respective box.

4. Enter vendor's telephone number including area code in respective box.

5. For campuses with a central receiving dock, the address will be preprinted on the order form. For other campuses, provide a complete shipping address at which someone will always be available to accept deliveries.

6. Enter the date that the merchandise is required in this box. Do not use RUSH, ASAP, or similar terms.

7. Indicate how the shipment is to be made. (e.g., UPS, UPS Air, Commercial Carrier, etc.) Note: UPS Ground should be used when possible.

8. Check the box indicating whether F.O.B. is Destination or Shipping Point.

9. Indicate the vendor's payment terms.

10. Identify the source of the pricing information. (e.g., quotation, sales representative, catalog, etc.)

11. Catalog number, description, and unit price of each item should be given on the form. Show extended price for each line item. (Quantity x Unit Price = Extension).

12. Provide a contact in the area of use so that the vendor can ask questions if necessary.

13. The form must be signed by someone with signature authority for the account being encumbered. Signature verifies the accuracy of all information shown on the order as well as the propriety of the order including adherence to all policies, terms, and restrictions as stated in the instructions on the purchase order form.

14. Identify the account title, number, expense class(es) and amount encumbered per expense class.

C. RESTRICTIONS ON THE USE OF DEPARTMENTAL PURCHASE ORDERS:

DPOs cannot be used for the following:

• Animals
• Furniture, furnishings
• Hospitality
• Orders to University employees for personal service
• Inappropriate Purchases (An inappropriate expenditure is one that 'personal'
  in nature and is not for the purpose of the institution.)*
• Plants and Flowers
• Professional Services
• Purchases involving trade-in
• Radioactive materials
• Recurring payments (leases, rentals, standing orders, etc.)
• Reimbursements to Indiana University employees
• Travel or travel-related expenses, including reimbursement
• Weapons, ammunition
  *SEE: Institutional Policies:
  Policy No.P-10.0 http://purchasing.iu.edu/policies/10_0.shtml
  ACC-50, Hospitality Expenditures https://policies.iu.edu/policies/fin-acc-50-hospitality-expenditures/index.html

Appendix J

INDIANA UNIVERSITY

DEPARTMENTAL PURCHASING CARD PROCEDURES

There must be an active account manager or delegate in the FIS for the default account assigned to the card. If there is not, contact the FMS help desk at 5-0375 for assistance.

An electronic cardholder agreement/application form must be completed by cardholder with approval from fiscal officer/account manager and routed to the IU Purchasing Card Manager on you campus.

The Purchasing Department, in coordination with American Express, will issue the purchasing card. The cardholder will be asked to acknowledge receipt of the purchasing card by signing a Purchasing Card Agreement at the time the card is picked up. The card must be picked up in person at your Purchasing Department.

The purchasing card will allow individual transaction and cycle limits to be set for each card individually. The standard transaction limit will be $1,000 with the cycle limit set at $10,000. Any requests for limits above these guidelines will require approval from the Purchasing Department.

The account manager will receive a daily FIS Procurement Card Distribution of Expense document in the event one of the department�s purchasing cards has been used. The account manager is required to change the object code from the 4190 default to an object code that accurately describes the purchase. At this time the account manager will have an opportunity to redistribute or split the charges to different accounts, sub accounts, object codes or sub object codes and then approve the document. At the end of the billing cycle, each cardholder will receive a hard-copy statement. After doing a final reconciling of the statement against the receipts, a copy of the statement and all receipts, which must include a descriptive itemization (listing items purchased, amounts, prices, and vendors), will be sent to the campus Accounting Department.

Discrepancies are the responsibility of the cardholder and/or account manager to resolve. If the department requires assistance, they can initiate an online dispute form or contact your campus purchasing card manager.

If a card is lost, the user department has the responsibility to notify American Express as well as the Purchasing Department immediately. In addition, if the card is stolen, the user department has the responsibility to notify the University Police Department and Risk Management in addition to American Express and the Purchasing Department.

The purchasing card is to be used only by the named cardholder and is not to be loaned to another employee. Cardholders SHOULD NOT give their card to another employee and ask them to sign the cardholder's name at the time of purchase. Should a cardholder terminate employment with the University, the user department has the specific obligation to reclaim the purchasing card and return it to the Purchasing Department prior to the employee's termination date.

The purchasing card is intended for the purchase of low-cost purchases and access to electronic commerce contracts. All contracted vendors found on Purchasing's web page are secure environments for purchasing card transactions. If you are using a non-contracted vendor, verify that they offer a secure environment before proceeding with your transaction. Any URL with "HTTPS:" is a secure environment. The "S" designates it is secure.

The following items ARE NOT to be purchased in using this purchasing card:

• Animals
• Capital Equipment
• Cash Advances
• Furniture, furnishings
• Orders to University employees for personal service
• Personal Purchases (An inappropriate expenditure is one that 'personal'
  in nature and is not for the purpose of the institution.)*
• Plants and flowers
• Purchases involving trade-in
• Radioactive materials
• Recurring Payments - With the exception of where the Purchasing Department may specifically direct its use, the Procurement Card shall not be used for the acquisition of goods or services where multiple, repetitive, or installment payments are necessary to complete the transaction.
• Reimbursements to IU employees
• Travel or travel-related expenses, including reimbursement*
• Weapons, ammunition
  *SEE: Institutional Policies:
  Policy No.P-10.0 http://purchasing.iu.edu/policies/10_0.shtml
  ACC-50, Hospitality Expenditures https://policies.iu.edu/policies/fin-acc-50-hospitality-expenditures/index.html

Non-adherence to any of the above procedures will result in revocation of the individual cardholder privileges and may result in revocation of all division or departmental purchasing cards.

Revised 10/15/95
Revised 3/15/99
Revised 7/1/99
Revised 2/5/01
Revised 7/5/01
Revised 2/19/02

Revised 2/23/09

Appendix K

BIG RED GIFT CENTER AGREEMENT

OCTOBER 1991

The Indiana University Purchasing Department agrees to the initiation of a buying position located within the office of the Big Red Gift Center on the Bloomington Campus provided that the Center agrees and adheres to the following conditions:

The authority to obligate university funds in conjunction with the Purchasing Department shall be limited to the purchase of items for resale to the public. All other commodity purchases are to be excluded from this agreement.

The Big Red Gift Center may specify one individual to perform the function of Purchasing Agent within that office. Although others within the department may enter and prepare orders, under the supervision of the Purchasing Authority, only the authorized person shall approve the orders. Order approval signifies that the order is being placed in accordance with policies and procedures as outlined by the Purchasing Department.

All individuals participating in order preparation shall adhere to the Purchasing Code of Ethics set forth by the National Association of Educational Buyers as well as ethics policies determined by the Indiana University Purchasing Department.

The Big Red Gift Center shall prepare and maintain an audit trail for each order processed. The audit trail includes, but is not limited to, timely updates to orders within the system and accurate notes placed on the 106 screen.

Appendix L

FACILITIES AGREEMENT

MARCH 1990

The Indiana University Purchasing Department agrees to the initiation of a buying position located within the Facilities Office of the Vice President of Administration on the Bloomington Campus provided that the Facilities Office agrees and adheres to the following conditions:

The authority to obligate university funds in conjunction with the Purchasing Department shall be limited to Architectural and Engineering consulting contracts, considered as Professional Services, and contracts relating to construction/renovation on the Bloomington, Indiana University - Purdue University Indianapolis, and all regional campuses. The construction orders shall be of the nature normally handled and managed by the Facilities Office and shall exclude construction and repair orders normally handled in the daily functions of the Purchasing Department. All other commodity purchases are to be excluded from this agreement.

The Facilities Office may specify one individual to perform the function of Purchasing Agent within that office. Although others within the department may enter and prepare orders, under the supervision of the Purchasing Authority, only the authorized person shall approve the orders. Order approval signifies that the order is being placed in accordance with policies and procedures as outlined by the Purchasing Department.

All individuals participating in order preparation shall adhere to the Purchasing Code of Ethics set forth by the National Association of Educational Buyers as well as ethics policies determined by the Indiana University Purchasing Department.

The Facilities Office shall prepare and maintain an audit trail for each order processed. The audit trail includes, but is not limited to, timely updates to orders within the system and accurate notes placed on the 106 screen.

The Quotation Subsystem of TOPS may be utilized in preparation of quotations. A quotation file must be maintained for audit purposes. The quotation process within the Facilities Office shall follow the guidelines, policies, and procedures as established for the Purchasing Department.

A report shall be filed with the Purchasing Department for all single source orders or those which the low quote was not accepted, excluding those for professional services, between $5,000.00 to $25,000.00. The report must state the nature of the order, criteria for choosing the particular vendor, and why no other vendors were contacted or accepted if lower in price. This report should be forwarded to the Purchasing Department, in care of Don Young. A report shall also be filed with the Purchasing Department for orders as described above that are in excess of $25,000.00. These reports should be sent to the Purchasing Department in care of Guy De Stefano, Director.

Finally, the Purchasing Agent within the Facilities Office is charged with the responsibility of supervising all office personnel engaged in the purchasing function. All concerned in this function shall follow all Indiana University Purchasing guidelines, policies, and procedures and will be held accountable. The Facilities Office must maintain a list of all personnel engaged in the purchasing functions and describe their responsibilities. A copy of this list shall be sent to the Purchasing Department and updated when necessary.

Appendix N

Physical Plant - IUPUI Agreement

A. OVERVIEW

The transfer of certain major procurement responsibilities from IUPUI Purchasing Services to the IUPUI Campus Facility Services Departments "CFS" is intended to streamline the procurement process by allowing direct end-user access to the TOPS system. All CFS purchasing agents will receive initial training and continuing education relative to IU purchasing policies and practices from the IUPUI Purchasing Services Department. All CFS purchasing agents must comply with IU and IUPUI purchasing policies.

The transfer of these purchasing responsibilities is not to be construed as a separation of the CFS purchasing function from the authority of IUPUI Purchasing Services, but rather an enhancement of the purchasing process IUPUI Purchasing Services will continue to represent IUPUI campus administration in overseeing policy and procedure compliance and adherence to the overall campus purchasing philosophy.

Official documentation such as purchase orders shall continue to be formatted and printed in a manner consistent with our present IUPUI designation. Signature authority shall be limited to the purchasing agent involved in the purchasing transaction. Board reports when required, shall be subject to the same format routing and levels of approval as are currently in place, i.e., a copy will continue to he directed to IUPUI campus administration, represented by the IUPUI Director of Purchasing Services. The request for approval copy will be sent directly to the IU Director of Purchasing.

The procurement responsibility transfer is to begin April 17 1993 with completion no later than July 1993

B. POLICIES AND PROCEDURES

CFS purchasing agents will be required to follow IU and IUPUI policies and procedures as well as CFS policies relative to procurement practices and requirements.

C. AUDIT MECHANISMS

Appropriate documentation will be maintained to ensure that IU and IUPUI purchasing practices are followed. IUPUI Purchasing Services will provide oversight and conduct prefatory audits of CFS purchasing process and documentation. All functions will be subject to the review of the IU Internal Auditing Department.

D. THE ON-LINE PURCHASING SYSTEM (TOPS)

The University-based TOPS purchasing system will be utilized to process all purchases and will be the official repository for all purchasing and payment records.

E. CONTRACT ACCESS

IUPUI Purchasing services Department will extend U.H .C. V.H.A. and any hospital-based contract pricing as may be requested through CFS Purchasing Services. In some cases, we are prohibited from providing access due to issues relating to the Robinson Patman Act. CFS may access IU system-negotiated contracts where possible. IUPUI Purchasing Services will assist CFS in the contract selection process.

F. DEPARTMENTAL PURCHASE ORDERS (DPOs)

DPOs currently have a dollar ceiling of $500 (this has been increased to $1,000 for CFS). All DPOs for CFS will he issued/controlled by the IUPUI Purchasing Services Department.

G. WAREHOUSING

When feasible, CFS storage at 1220 North Drive and 620 Union Drive will be used. Just in Time (J.I.T.) and pick and pack programs will be evaluated and used as appropriate. Central Stores will be used as appropriate.

H. ACCOUNTS PAYABLE

CFS related invoice discrepancies/resolutions for those areas being transferred are to be resolved by CFS with Accounting Services. A file of invoice discrepancy resolutions will be maintained to audit vendor contract pricing performance.

I. HAZARDOUS MATERIALS

CFS will coordinate as required with the IUPUI Department of Environmental Health and Safety in the purchase, storage, or other management of hazardous materials.

J. MINORITY BUSINESS

All purchasing activity performed by CFS will conform to the University's minority business program to provide equal opportunities to minority and disadvantaged businesses to quote on CFS requirements. CFS shall work with the Minority Business Coordinator in IUPUI Purchasing Services as required to accomplish this effort.

K. PROCUREMENT RESPONSIBILITIES

1. Janitorial/Housekeeping

CFS will specify, bid and procure the following categories with appropriate input from IUPUI Purchasing Services.

a. Janitorial/housekeeping equipment

b. Paper products

c. Plastics (can liners)

d. Chemicals (wax, strippers, solvents)

e. Hand soaps

f. Related items

2. Facilities Maintenance

CFS will specify, bid and procure the following categories with appropriate input from IUPUI Purchasing.

a. Construction (remodeling)

b. HVAC

c. Grounds (supplies and equipment)

d. Lighting

e. Roofing

f. Plumbing

g. related materials, repair and operating items

3. Paper/Forms/charts/Office Supplies

IUPUI Purchasing Services Department will specify, bid and procure with appropriate input from CFS, the following categories. The IUPUI Graphic Reproductions Department will continue to be given opportunities to quote on forms and other printing requirements.

a. Continuous forms

b. Snap-out forms

c. Brochures, handbooks, artwork

d. Flat work

e. Labels

f. Charts and chart dividers

g. Office supplies

h. Related items, e.g. nametags, trophies, awards

4. Office/computer/Audiovisual/Equipment

IUPUI Purchasing Services will specify, bid and procure the following categories with appropriate input from the CFS Department.

a. Calculators, cash registers, coin changers, dictation and filing equipment, imprinters, typewriters, and mailroom equipment including service and repair

b. Computers, microcomputers, hardware, software, and peripherals including service and repair

c. Printers and tape recorders

d. Photocopiers and supplies

e. Audiovisual and television equipment including service and repair

f. Communications equipment including telephones, answering machines, paging systems, pagers, radios, etc.

g. Photographic equipment, cameras, etc.

h. Related items

5. Furniture and Furnishings

IUPUI Purchasing Services will specify, bid and procure the following categories with appropriate input from CFS Department.

a. Interior furniture and building accessories for public waiting areas and lounges, administrative and physician/staff offices, conference rooms, classrooms, staff lounges, and public elevator lobbies.

b. Carpeting and draperies

c. Laboratory furniture and lockers

d. Furniture upholstering and refinishing

e. Interior and exterior signage

f. Appliances

g. Related items

6. Professional Services

IUPUI Purchasing Services will specify, bid and procure the following categories with appropriate input from CFS Department.

a. Consultants

b. Management Contracts

c. Related contractual services

7. Areas of shared responsibility

a. Security

b. Waste Removal

c. Water Treatment

d. Elevator Maintenance

e. Laundry Services

f. Towels/tissue

g. Floor Cleaners/wax

It is further understood that this agreement is specifically designed to assist Campus Facility Services in accomplishing their mission and goals. It is not an encompassing license for CFS to purchase related items for departments, i.e. purchasing activity is limited to the acquisition of items for the 12-745-01, 12-748-65, 66-742-00, and 66-750-00 accounts. Additionally, procurement responsibility for other accounts through a CFS account, e.g. on a remodeling project where a bill back may occur.

Appendix O

Solicitation Process Procedures
(RFI, RFP, RFQ)

By institutional requirement, the procurement process calls for the Purchasing Department to develop and maintain an adequate audit trail for every transaction that creates a liability for the University. (P-1.0, P-4.0, P-5.0, P5.7)

An audit trail is defined by the documentation of a transaction from its beginning to its end which is usually the creation of the liability such as a purchase order, contract, or agreement of some nature. This documentation must illustrate how the procurement process was handled, who was involved, what decisions were made and how and why a supplier was selected to provide goods or services.

On occasion, certain transactions may require a specific report to The Board of Trustees. These are where the cost of a transaction exceeds $25,000.00 and the transaction is not competitively bid, or the lowest cost alternative is not selected. (P-12.0)

Part of this documentation process may involve formal solicitations described as follows. (P-5.0)

There are three basic solicitation processes employed to gather data, technical specifications, contractual and cost information. These processes are a Request for Information (RFI), a Request for Proposal (RFP) or a Request for Quotation (RFQ).

1. It should be noted that a Request for Information (RFI) cannot lead to a purchase order or contractual agreement. Only the other two processes can accomplish this. By definition, an RFI requires a follow-up process of an RFP or RFQ.

   1. An RFI is generally used when you have very undefined needs and/or little information at hand as to what is available in the market that might fit your requirement. You are merely collecting "information" with which you may later define your needs.

   2. An RFI may be used to identify and/or pre-qualify suppliers. This method of use for an RFI outlines the scope of what we wish to accomplish and asks participants to provide us with their capability to meet these requirements. This process offers the ability to pare down those providers who cannot provide the service or technology we require before we proceed to a more complex RFP or RFQ solicitation.

2. A solicitation process typically follows these basic steps:

   1. Development of the solicitation document language and potential vendor list: (P-5.1)

      • with department personnel or a committee
      • Purchasing Department individual(s) are a de facto member(s) of any procurement committee
      • Purchasing personnel develop the legal or contractual elements of the document requesting department personnel may develop their needs and technical specifications of the document or it may be a collective effort with Purchasing personnel and the requesting department
      • it should be noted that by institutional policy, development and selection of suppliers (sourcing) is mandated to the Purchasing Department. However, this does not mean that the requesting department will have no input into the process of selecting participants
      • a calendar of events is developed governing how long the solicitation process should take.
      
      

   2. Purchasing issues the solicitation document to a list of participants mutually agreed upon.

   3. Purchasing fields all questions (referring to the department or committee members for clarification when appropriate) (P-3.0, P-3.2, P-3.3)

      • On some occasions where the nature of the transaction is highly technical, Purchasing may request a technical contact be appointed from the requesting department.

   4. Participants in a solicitation process must send all responses to the Purchasing Department on or before the due date. Responses may not be accepted by the requesting department.

      • Response documents are time and date stamped when received. This forms a part of the audit trail for the transaction and assures the participants have complied with the required response date.

      • In the event an extension of time to respond is requested by a participant, this extension if granted, must be granted to all those participating in the process.

   5. Purchasing compiles responses into packets and distributes the packets to the department or committee participants for review.

      • Sufficient copies of response are typically requested so that all personnel involved have copies of the responses.

      • Individual responses are not provided to the requestor or committee prior to the due date or until all responses are received, whichever occurs first.

   6. A review of all responses begin. Purchasing or the requesting department may schedule committee meetings to discuss the proposals.

   7. If it is determined that walk-through, vendor presentations, interviews or other follow-up methods are appropriate, Purchasing will schedule these events with all or some of the selected respondents.

      • Some presentations are pre-scheduled within the calendar of events and noted in the solicitation document when it is drafted. Other presentations or interviews may be scheduled after all responses are returned. In either event, the document should reflect this intent.

      • Mandatory supplier meetings may be held during the course of a solicitation process. Where there is important technical data or other relevant information concerning the project, it may be important to impart this to all participants so they all have the same understanding.

   8. Selection of supplier(s) and negotiation: (P-1.0, P-2.0, P-3.0, P-3.2, P-3.3, Conflict of Interest and Disclosure)

      • Upon the selection of one or more suppliers to continue with a transaction, Purchasing will notify all those selected.

        • In some instances, participants not selected to proceed further will be notified that they have been eliminated. In all cases, this is the responsibility of the Purchasing Department.

        • Proposals will not be accepted from participants who do not attend a required meeting during the solicitation process.

      • Subsequent negotiations with one or more suppliers in a solicitation process can be a joint process with Purchasing and the requesting department or handled only by the Purchasing Department. In no case should negotiations in a solicitation process proceed without a representative of the Purchasing Department participating.

      • Contract language as required by Indiana University policies and/or State regulations will be handled solely by the Purchasing Department or in concert with University Counsel. From time to time, certain processes may require the participation of other University department such as Risk Management or Environmental Health & Safety, Physical Facilities, etc.

   9. Purchasing will develop and sign the final contract with the supplier. (P1.0)

      • Signature authority: By institutional policy, only the Treasurer of the University or contract managers in the Purchasing Department have authority to sign contracts and commit funds of the institution.

   10. On most all occasions, a purchase order will be issued to facilitate payments to the supplier.

   11. Purchasing and the requesting department must play a role in monitoring the supplier's adherence to the terms and conditions of the contract. Notice must be given to the Purchasing Department at any time performance of the contract does not meet the original terms and conditions.

       • This is a critical element of any contract and particularly long-term contracts. Failure to enforce any term or condition can lead to setting precedent whereby the supplier may continually chose to ignore elements of a contract.

       • It is imperative that the Purchasing Department be notified immediately when any element of a contract is ignored or performance measures less than contractually guaranteed.

3. Procedures to follow during a solicitation process for Indiana University. (P-3.0, P-3.2, P-3.3, Conflict of Interest and Disclosure)

   1. Pricing, terms, and conditions: All information garnered from suppliers during a procurement process is considered at all times-- Institutional Data. At no time may this information may be shared or divulged to any person other than the individuals involved with the selection process of the particular transaction. (P-11.0)

      • This rule applies at all times even for the process of acquiring simple pricing or quotations.

   2. If a consultant is used during a solicitation process this individual(s) may have access to the data from a solicitation process but are also under the same governance as IU employees. A non-disclosure agreement should be secured from any consultant during a solicitation process.

   3. IU is subject to Indiana�s Open Records law, I.C. 5-14-et seq., for disclosure of information. However, this process may only be executed by the Purchasing Department. No other IU employee has the authority to release information from a procurement process at any time to anyone. (P-11.0)

      • The Purchasing Department does not release competitive information during the solicitation process, only after a contract has been awarded.

      • Provision of Information: During a solicitation process, information provided to any supplier participating in a transaction must be equal and the same as that provided to all suppliers participating in the process. It is solely Purchasing's responsibility to send any information to the participants in solicitation process. All inquiries or requests for clarification must also be directed to the Purchasing Department.

   4. Providing different or additional information to one or more suppliers participating in a transaction and not to all of the participants corrupts the process and allows the solicitation process to be challenged or perhaps may require that the process be canceled or re-done. (P-3.0, P-3.3,)

   5. In high-dollar or highly technical transactions, it may be appropriate to have a �gag� order invoked so that supplier participants are not dealing with multiple IU personnel and securing different or conflicting sets of information. In this case, all participants are prevented from contacting anyone but the Purchasing Department. (P-3.0, P-3.3, Conflict of Interest and Disclosure)

   6. At all times, the requesting party should keep in mind that you may have to walk away from a project in the event that contractual terms cannot be mutually agreed upon with a provider.

      • Consequently, users should not have a preconceived idea of the outcome of a competitive solicitation process nor have shared that with any supplier or provider of services.

      • The imperative in any transaction is that the University be contractually protected and no agreement undertaken that puts the institution at peril in a legal or ethical sense.

   7. During any procurement function, the elements of non-collusion govern all parties in their conduct of procurement processes. Collusion is defined as a secret agreement or cooperation especially for an illegal or deceitful purpose. Most standard RFPs and RFQs include a Non-Collusion form or clause. If a form is used, it requires the agreement and signature of the suppliers. (P-3.0, P-3.2, P-3.3, P-3.4)

      The essence of non-collusion requires that each party confirm that:

      • No employee of the University or their consultant(s) has received or will receive:

        • any payment or any other form of financial return including gratuities;

        • entertainment or gifts offered by a supplier, his agent or representative with a view toward securing favorable treatment with respect to the award; and/or

        • an amendment or determination of a contract or the promise of such.

      • The pricing, terms and conditions in a solicitation response have been arrived at independently without collusion, consultation, communications, or agreement for the purpose of restricting competition, and no attempt has been made or will be made by the supplier to include any other person, partnership or corporation to submit or not to submit a proposal for the purpose of restricting competition.

      • Unless otherwise required by law, the prices stated in a response have not been knowingly disclosed by the supplier and will not knowingly be disclosed by the supplier, directly or indirectly to any other supplier or to any other competition.

      
      
      
      

      PROCESSES

       

      INPUT/ PROCESSES	RFI	RFP	RFQ
      When to Use	- When you don�t know exactly what you want or you don�t know what is available in the market place	- When you have a general idea with some specifi- cations and/or it�s a large, complex project with the potential for multiple solutions	- When you know precisely what product(s)/service(s) you need and have precise requirements and specifications
      Departmental Input	- User or committee contact - Rough sketch or outline of presumed need or desired information	- User or committee contact - General scope of work, approximations of need, timelines, performance wishes to meet a specific goals	- User or committee contact - Model numbers, color, finishes, technical data, timelines and delivery necessities, performance requirements, quantities or service required
      Purchasing Input	- Modified contractual & document language - Protect the Institution w/fair and ethical process	- Contractual & document language - Protect the Institution w/fair and ethical process - Draft RFP language to department - Clarification to responses - Assure all terms & conditions known including freight, delivery, etc.	- Contractual & document language - Protect the Institution w/fair and ethical process - Clarification to responses Assure all terms & conditions known including freight, delivery, etc.
      Purchasing & Department Input	- Suggested vendor list - Language of document - Express limited terms for dealing with IU	- Suggested vendor list - Language of document - Terms & legal conditions for dealing with IU	- Suggested vendor list - Language of document - Terms & legal conditions for dealing with IU
      Vendor Input	- Catalogs, specification sheets, product information, service outlines, conceptual data, suggestions, etc.	- Suggested solution(s) to our request - Price, terms, conditions, delivery, performance, contract language	- Price, terms, conditions, delivery, performance, contract language
      Purchasing Processes	- Solicitation process, documentation of audit trail, vendor contact or meetings, elimination of some participants	- Solicitation process, documentation of audit trail, vendor contact or meetings	- Solicitation process, documentation of audit trail, vendor contact or meetings
      Decision-Making Process	- Terminate the process or proceed to RFP or RFQ solicitation	- Further negotiation - Acceptance of most advantageous offer - Contract appropriate for the University - Issue purchase order or sign contract - Cancel process	- Further negotiation - Acceptance of most advantageous offer - Contract appropriate for the University - Issue purchase order or sign contract - Cancel process
      Issue PO and/or Sign Contract	No	Yes/No	Yes/No
      Post Contract Award �   Purchasing & Department	None	- Monitor performance &  adherence to contract.  Immediate notice to  Purchasing if failure to perform	- Monitor performance &  adherence to contract.  Immediate notice to Purchasing if failure to perform

      ---

      Appendix P

      Pleases see the updated Instructions for Automatic Purchase Orders