The Purchasing Services team aims to assist you in the purchasing process and procure high quality goods and services on behalf of the University. We are guided by University policy to ensure fiscal responsibility. Below you’ll find a list of resources to assist you. If you have any questions or concerns, please contact our team at [email protected].
Organization
| Function | Types of Inquiries | Contact Information |
|---|---|---|
| Purchasing | Supplier maintenance, requisitions, purchase orders, sourcing ($50,000+) | [email protected] |
| Payments | Check, ACH, VCard (a form of EFT), wire transfer payments | [email protected] |
| Travel & Business Expenses | Emburse, travel, business expenses, relocation | [email protected] |
| Travel & Business Expenses | Cash advances | [email protected] |
| Card Programs | Procurement card (PCard), Travel Card, Prepaid Debit Card, gift cards | [email protected] |
Resources
Accounts Payable
The following can be found in the Policy Library:
Accounts Payable: Paying Non-Payroll Expenses
- Requesting a New Supplier or Changing an Existing Supplier
- Depositing Supplier Checks (sponsored and non-sponsored accounts) and Depositing Refunds of Sponsored Employee Expense Overpayments
- Making Payments Using Single Payment Supplier Numbers
Cell Phone and Data Plan business expenses are part of the Business Expenses policy.
Paying Human Subjects and Maintaining Confidentiality and 1099 Reporting
Compliance
Accessibility
The University is committed to providing equitable access to information technology and all departments are responsible for implementing the University accessibility requirements. Purchasing hardware and software products or web site design services, are some examples of where you may need to work with the Accessibility Department to ensure your purchases are compliant.
Gramm-Leach-Bliley Act
The Gramm-Leach-Bliley Act (GLBA) requires the University of Minnesota to implement safeguards to insure the security and confidentiality of certain non-public customer information. This imposes on the University the obligation to select only suppliers that can demonstrate their ability to safeguard non-public financial information to which suppliers might have access, or be granted access by the University. If you are drafting a Request for Proposal (RFP) and it deals with any of the financial services/products that may apply to GLBA and the supplier may have access, or be granted access by the University to non-public customer information identifiable to an individual (student, employee, customer, etc.) additional questions may need to be included.
Gramm-Leach-Bliley Act information is on the Controller's Office website.
Health Information Portability and Accountability Act (HIPAA)
The Health Information Portability and Accountability Act (HIPAA) is designed to protect an individual's protected health information (referred to as PHI) and to restrict how PHI may be used. If you are purchasing something that may involve PHI you may need to discuss this further with the Health Information Privacy & Compliance Officer and may need to include additional questions if drafting a Request for Proposal (RFP).
Payment Card Industry Data Security Standards (PCI DSS)
University colleges and business units that accept credit cards as payment for goods and services are obligated to follow the Payment Card Industry Security Standards (PCI DSS). These standards protect cardholder data.
If you are considering the purchase of any solution that involves payment cards (even if your department is not accepting those cards) additional security related questions may need to be included in Request for Proposal (RFP) along with the University's Cardholder Data Security document. University's PCI Compliance Officer may also need to be included in these discussions.
Payment Cards/PCI DSS Standards Compliance information is on the Controller's Office website. The University may already own a solution that fits the needs of your unit, it is a good idea to check with the Controller's Office before getting too far into the process.
Sarbanes-Oxley Act (SOX)
The Sarbanes-Oxley Act (SOX) was enacted November 15, 2004 and is intended to deter abuses by accounting professionals. The law requires accountants to prepare corporate financial reports in accordance with generally accepted accounting principles (GAAP), the commonly accepted standard of recording and reporting accounting data. All University purchases for auditing or financial services must be conducted with suppliers who are compliant with SOX and its requirements.
Contact [email protected] if you have questions about a specific purchase that may be covered by SOX.
Conflict of Interest
The Office of Institutional Compliance administers the University's individual and institutional conflict of interest review processes.
Conflict of Interest Policy
The University Conflict of Interest requirements are governed by Minnesota Statute MS15.43.
M.S. 15.43 ACCEPTANCE OF ADVANTAGE BY STATE EMPLOYEE; PENALTY.
Subdivision 1. Financial Interest agents. No employee of the state or University of Minnesota in direct contact with suppliers or potential suppliers to the state or the university, or who may directly or indirectly influence a purchasing decision or contract by establishing specifications, testing purchased products, evaluating contracted services, or otherwise has official involvement in the purchase or contracting process may:
- Have any financial interest or have any personal beneficial interest directly or indirectly in contracts or purchase orders for goods or services used by, or purchased for sale or furnished to a department or agency of the state or the university; or
- Accept directly or indirectly from a person, firm, or corporation to which a contract or purchase order has been or may be awarded, a rebate, gift, money, or anything of value other than items of nominal value. No such employee may further accept any promise, obligation or contract for future reward...
(Re: Subdivision 4. Penalties. A violation of this section is a misdemeanor.)
It is also the policy of the Purchasing Department to comply with the Anti-Kickback Act of 1986 which provides that no fees, gifts, gratuities, or compensation of any kind may be offered or accepted for the purpose of obtaining favorable treatment in the acquisitions of goods or services with federal funds. Possible violations of the Anti-Kickback Act of 1986 should be reported to the University of Minnesota, Director of Audits, (612) 625-1368.
Statutes/laws/regulations
Minnesota Statutes, Session Laws, and Rules
Compiled by the Office of Revisor of Statutes. The most current compilation of Minnesota Statutes and Minnesota Rules can be found on the site listed below.
Uniform Guidance
The Office of Management and Budget (OMB) has combined many federal circulars, including A21 and A110, into a single guidance document that can be used by all agencies. This combined document is known as "Uniform Guidance."
Read the full Uniform Guidance: 2 CFR 200. Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards)
Federal Contracts
Additional Terms & Conditions (Flowdowns) for Federal Contracts
Certificate of Compliance with Federal Requirements - Payments to Influence, Debarment, Clean Air & Water (required for purchases $150,000 and over funded by a federal contract).
Supplier Diversity & Sustainability
Supplier Diversity
The mission of the University's Office for Supplier Diversity (formerly Business & Community Economic Development, BCED) is to contribute to the economic growth, development and prosperity of Minnesota’s urban communities. The Office for Supplier Diversity is a social enterprise whose purpose is to leverage the assets and resources of the University to create programs and services that provide innovative solutions to real-world social-economic problems that impact urban communities. More importantly, the department is a critical component of the University’s public service and outreach mission and its role is to create economic and community development strategies that drive the University’s Urban Agenda. The Office for Supplier Diversity facilitates collaborations between the University and nonprofit, corporate and public sector partners that focus on enhancing the human condition of underserved populations. Additional information can be found on the University's Office for Supplier Diversity website.
Sustainability
The University's Office of Sustainability, and its educational campaign "It All Adds Up," provides direction and coordination for sustainability initiatives by bringing forth their continuous effort of integrating environmental, social and economic goals through design, planning, and operational organization. The goal is to create a culture of sustainable practices, with a commitment to becoming carbon neutral by 2050 through inclusive projects, cross-campus planning, partnerships, and working with the greater community. Additional information can be found on the University's Office of Sustainability website.
Tax Exempt Status
Tax Certificate of Exemption and W-9 Tax ID
The University of Minnesota is exempt from MOST, not all, Minnesota Sales Tax. Please read the following for more information on State Tax Exemption laws.
Click on the appropriate link below to access the proper form/document.
- State of Minnesota Sales Tax Exempt Certificate & Procedures (ST3) for the University can be found on the Tax Management Office website
- W-9 Request for Taxpayer Identification Number (Federal ID) form for the University can be found on the Tax Management Office website
Procurement
RFP Planning Documents
The Request for Proposal (RFP) Planning Documents are used to aid in the creation of an RFP. Purchasing Services requires this form to be attached to any RFP request.
Click on the appropriate link below to access the proper form/document.
Price/Supplier Justification Forms
University of Minnesota Purchasing Policy requires price and/or supplier justification be attached to any EFS requisition or Purchase Order (PO) request for:
- Goods and Standard/Professional Services that totals between $10,000 and $49,999.99; or
- Construction Services that totals between $50,000 and $249,999.99.
Forms
Department Request for Exception to Bidding
The Exception to Regents Purchasing Policy form is completed by departments and documents a request to purchase through an exception process before the purchase takes place. The form is required for purchases which are over the bid thresholds (below) and where there is sufficient justification available for Purchasing Services to waive the Regents requirement for a competitive bidding process.
- Goods and Standard/Professional Services that exceed $50,000
- Architecture & Engineering (aka A&E or Design) Professional Services that exceed $100,000
- Construction Services that exceed $250,000
Discuss the situation with Purchasing Services before completing the form: Department Request for Exception to Board of Regents Policy (UM 1721)
Change Order Form
The purpose of this is to capture what needs changing on an existing EFS PO and why. Purchasing Services requires this form to be attached in the PO Change Order's header-level justification comments for all POs totaling $50,000 or greater. This form is optional for PO Change Orders that total less than $50,000.
Code of Ethics
Any department employee responsible for any portion of the Purchasing process should have a signed copy of this code on file in the department files. This form should be signed annually.
Construction Contract Award Memo
The Construction Contract Award Memo is used to initiate the Notice to Proceed process on Lump Sum Agreements that exceed $100,000. This form should be completed and attached with your request for Purchase Order.
TRIRIGA Forms
The following are for use to complete certain tasks in TRIRIGA.
Capital Equipment Asset Receipt
Complete this form during the physical receiving process to capture data about capital equipment assets and notify the procurement specialist of the physical receipt of assets.
New Location Request
Use this form to create a new, or make changes to an existing "P Location" (a location code used in the financial system and on requisitions and purchase orders for "ship to" addresses).
Sales Tax Exemption Certificate
Use this form for to identify the University's tax exempt status. Suppliers may require this form when providing you with a price quote.
The University's Certificate of Exemption (ST3) can be found on the Tax Management Office website.
Supplier Authorization/Change Form
Use this form for suppliers that do not qualify for single payment. A completed and signed form W-9 or W-8 BEN Series must accompany this completed form for all new supplier set-ups or changes to a supplier's name or tax ID#.
Board of Regents Approval
Regents Approval for Purchase of Goods and Services $5M or More
Regents Policy requires that individual purchases and contracts be presented to the Board of Regents for approval after the bid/proposal process has been completed and prior to making the purchase or contract:
- Individual purchases or contracts valued at $5,000,000 or more.
- Value shall include both the base term and any optional contract extensions.
- Amendments to individual purchases or contracts previously approved by the Board when the amendment will increase the value of the agreement by 30% or more.
- Existing individual purchases and contracts that were not previously approved by the Board when the value increases over $5,000,000 or more.
- Value shall include both the base term and any optional contract extensions.
The following documents are required to be reviewed by Purchasing Services prior to requesting Board Approval.
Prepaid Debit Cards
PPDC Study Form
Use the Study Form to set up an approved program or study in the ClinCard Portal in order to pay individuals using a reloadable prepaid debit card.
Revise PPDC Portal Access
Use this form to request or remove individual University employee access to the ClinCard Portal.
Procurement Card (PCard)
Procurement Card Application
Once you have received approval from your Department Card Administrator and completed the online training, use this form to apply for a PCard.
Statement in Lieu of Receipt
Use this form to document and support a transaction when the receipt is lost or unattainable.
Professional Services
HIPAA Data Collection
Business Associates of health care components must be identified. All identified business associates should be reported to the Privacy Coordinator of the appropriate health care component for tracking.
Independent Contractor
This form must be completed to help the University of Minnesota (University) determine whether an employer/employee relationship exists for employment tax purposes.
Non-Resident Alien Form
Eligibility for a nonresident alien (specifically, foreign national) to receive compensation from an U.S. source depends on the person's visa status. Departments need to ascertain certain work eligibility and tax information about the international visitor in order to complete the contract and payment process. Payroll Services requires this form for Professional Services requisitions.
Professional Services Information Sheet (PSIS)
This form is required for all Professional Services $3,000 and above.
Statement of Work (SOW)
The Statement of Work (SOW) explains in detail all the tasks and milestones that must be reached within the period identified. It will also contain specific, detailed responsibilities for both the supplier and the University department. Include any agreed upon payment plan or payment details in the SOW.
Travel
Employee Expense Worksheet
Incurring out-of-pocket University business expenses should be rare. In the event an employee needs to submit expenses, employees will need to file their expense claim via the Emburse Enterprise system by going to MyU and navigate to Key Links > U Travel.
Request for Lodging Exception
Use this form to request approval for a non-conference lodging rate that falls outside of the University guidelines. This form should be completed and submitted to a supervisor/manager/designee who is at least one level higher in authority than the traveler. Approval should be obtained before the hotel room is reserved and travel begins.
Accounts Payable and Related Forms
Check Request
This form is used to facilitate and support voucher/payment entry to an individual or company when an invoice is unavailable (for example, deposit refunds, human subject payments). This form is not used for employee reimbursement.
FedEx Electronic Billing Enrollment, Change, or Cancellation
This form is used to establish, change, or withdraw a department's participation in the FedEx electronic billing program. The electronic process eliminates the need to process paper invoices/vouchers.
FedEx Electronic Billing Enrollment, Change or Cancellation (UM 1678)
Single Payment Vendor Number Request
Each cluster (campus or college) has a cluster-specific single vendor payment number. Your Chief Financial Manager or EFS Cluster Director will know which code to use. If you need to request a payment be made using the SPV, where allowed, use the Check Request Form.
I need to purchase something from a supplier and they have sent me the order form to sign. Can I sign it?
If a supplier has requested you sign something as a result of your purchase, please note the following to help resolve the issue:
- Do not sign the supplier’s form as that may mean you are agreeing to their Terms and Conditions. The University’s standard Purchase Order (PO) Terms and Conditions must be used in all but unusual circumstances. The University is a constitutional function of the State of Minnesota, so certain laws and regulations apply to our contracts that do not apply to other purchasers.
- If the supplier’s form contains “business” terms, such as specifying the goods or services, price, delivery information, etc., you can attach it to our PO without signing it.
- Additional information about contracts can be found in the University’s Policy on Entering into Contracts.
Can I get a cash advance for a purchase?
In certain situations a cash advance may be available for an employee. See the Cash Advances policy for more information.
What do I do if my EFS Purchase Order was inadvertently closed at fiscal year-end?
If your EFS Purchase Order (PO) was unexpectedly closed during the year-old closure process, please note the following reference documents to help resolve the issue:
- Decision Matrix on Potential Next Steps
- Creation of Replacement Requisition/PO Instructions (for totals of $50,000 or more.)