Exceptions - Approved / Unapproved Exceptions
to Regents Purchasing Policy / Reasonableness of Single Price (Sole Sources)

1. Buyer Tasks
• Review the requisition (rx) and any Departmental Exception documentation submitted.
• Complete the form, prior to issuing the award.
• Forward form to Executive Secretary for recording.
2. Executive Secretary Tasks
1. Verify the form is completed correctly. See THE FORM below for details.
2. Check 4 e box Purchasing / Regents File Copied
3. Sign name by Executive Secretary and add current date.
4. Make a copy of the form and highlight areas which include: dept., vendor, requisition #, purchase order #, dollar amount, description, the X selected under 1., any X, signature and dates under 4.
5. File the copy in one of the following folders. These are located in the black lateral file cabinet.
   
   • Justified Exceptions
   • Preapproved Exceptions
6. Return the original form to the buyer or the purchasing assistant (PA).
   1. Facilities Management (FM) Procedures for APPROVED EXCEPTIONS:
   1. Sign the form from FM - Denis Larson
   2. Fax the top sheet to Denis
   3. Make a copy set for Regents File
   4. Staple fax confirmation to the back of set
   5. Send form with original signatures to FM - Denis Larson
   2. Facilities Management (FM) Procedures for PREAPPROVED EXCEPTIONS:
   1. Sign the form from FM - Denis Larson
   2. Fax the top sheet to Denis
   3. Keep the form for your files
   4. FM will keep the original and we keep the copy that was faxed over.
   
   THIS IS DONE FOR PREAPPROVED EXCEPTIONS ONLY.
3. Understanding the Form

Below are areas of importance to look for and highlight on the Regents Report Office Staff copy:
1. Dept: Must be completed. Highlight on the Regents File copy. If department name is abbreviated, write in the full name. This will be needed later on the Quarterly Regents Report.
2. Vendor: If the vendor name is blank write it in. If it is abbreviated, try to determine the full name.
3. To: This field should indicate who the form is being routed to for signature. See below for details on who is authorized to sign. (this field does not have to be highlighted)
   Executive Secretary will receive approved forms back from Director or Controller for her signature and copying for the Regents Files. The form is returned to originator (PA or buyer) and is retained in the RX/Bid folder.
   • All forms that are NOT for Preapproved Exceptions go to Technology Buyer for approval (or recommendation to Director if over $25,000). Buyers may also choose to review some Preapproved Exceptions with Technology Buyer.
     NOTE: The Technology Buyer is also authorized to sign over $25,000 in the Director's absence.
   • The Director applies final approval between $25,000 and $99,999 (or recommendation to the Controller if $100,000 and over).
   • The Controller approves those $100,000 and over.
   • All fully approved forms for Justified Exceptions (other than Preapproved) are returned to the Executive Secretary for signature and a copy filed in the Justified Exception folder. The form is retained in the RX/Bid folder.
4. Requisition #: The correct RX number is required and will include the Area number.
5. From: This field identifies the buyer submitting the form. (this field does not have to be highlighted)
6. Purchase Order: Enter the assigned purchase order number. PA s will enter this number as part of the award process for Preapproved Exceptions. For Exceptions and some Preapproved Exceptions, Executive Secretary will enter the purchase order number after looking up and verifying it on CUFS.
   NOTE: Executive Secretary will verify the purchase order number and dollar amount against the CUFS record (See RQST/OPPH).
7. One-Time Order and Blanket Order: The buyer will check one of these two boxes.
8. Price per attached firm quote $: The buyer will fill in the correct dollar amount. The Executive Secretary will check to make sure that the dollar amount matches the amount on the Exception Form when verifying the purchase order number in CUFS (OPPH).
9. Description: Buyer will enter the type of commodity or services requested. Sometimes more information in needed on the Purchasing Quarterly Report, so the Executive Secretary will verify description information against documents submitted with the Exception form and modify accordingly. If necessary, the buyer will be asked to supply a better description of what is being ordered through the exception process. (Keep in mind that the Regents who review the report may not know what a model number is, so a better description is necessary.)
10. Section 1: Choose One: The buyer will check one of the boxes and complete the other referenced sections as stated on the form.
    • Exception to BID - Sole Source - Complete Section 2a, 3 and 4. Buyer must complete Section 3 - Reasonableness of Single Price.
    • Exception to BID - Emergency - Complete Section 2b, 3 and 4. Buyer must complete Section 3 - Reasonableness of Single Price.
    • Single Bidder - Completion Section 3 only and file in bid folder - no additional approvals needed. This is selected only for reference purposes only, completed by buyer and filed in the folder. It does not need to be routed to anyone for approval and does not need to be sent to Executive Secretary for Regents reports.
    • Preapproved Exceptions to Bid Process, #____. Buyer must include the exception number from the second page of the form and must complete Section 3 - Reasonableness of Single Price. Follow approvals and routing on form.
11. Section 2: (a) SOLE SOURCE or (b) EMERGENCY: If Exception to Bid (Either Sole Source or Emergency) are checked in Section 1, the buyer will also check one of the sole source boxes and get form approved. If Other is check, the buyer will provide additional explanation on the type of product or service.
12. Section 3: Reasonableness of Single Price: The buyer must check at least one or more of the boxes and complete any additional explanation needed for this section. This is required on all Exceptions submitted on this form.
13. Form is approved and routed as directed on the form. For Single Bidder Only, form is filed in the folder only and no routing is necessary. If the Executive Secretary receives the form with the Single Bidder Only marked, she will verify with the Buyer or Directory that the proper box is checked, put N/A on the 4e. signature line and return it to the buyer to be filed.
14. Signatures:
    1. Buyer signs and dates.
       • No further signatures needed if Single Bidder is checked.
       • If Preapproved Exception and under $100,000, form goes directly to Executive Secretary for signature. A copy is filed in the Regents Preapproved File and the fully approved form is return to originator (PA or buyer) to retain in the RX/Bid folder.
       • All other Exceptions for any dollar amount go to Technology Buyer. If the Technology Buyer is absent, then the form will go directory to the Director.

    2. All Exceptions are reviewed by Technology Buyer who approves those up to $25,000. At $25,000 and over, Technology Buyer recommends to the Director.
    3. All Exceptions are reviewed by Director who approves those up to $100,000. Any Preapproved or Exceptions of $100,000 and above, the Director recommends to the Controller.
    4. All Exceptions of $100,000 and over are approved by the Controller and routed back to the Executive Secretary.
       NOTE: For any PreApproved or Exception forms that are not approved, the buyer will document the reason and file in the folder.
       This form is usually submitted along with the RX, or Purchase Order and any other support documentation, i.e., the Departmental Request For Exception to Regents Purchasing Policy (formerly Sole Source Request) Form (PDF format).