Sole/Single Source Justification Policy

Who Is Governed By This Policy

This policy applies to everyone working at the University, or working on behalf of the University, who plays a role purchases goods and services with University funds.

Exceptions & Exclusions

Agreements with law firms, lawyers and other advisors on legal matters that are entered into by the Office of the General Counsel are not governed by this policy. Engagement of auditors is not governed by this policy.

Who Should Know This Policy

All University employees who make procurement decisions--including administrators in schools and departments who have primary responsibility for purchasing, and officers of instruction and research who make purchasing decisions-- have a particular obligation to be familiar with the requirements outlined in this policy.

Policy Text

The University conducts free and open competition for procurement of goods and services to the maximum extent practicable, and expects University employees to follow competitive procedures where applicable. In addition, the Purchasing Department has established numerous University-wide Purchasing, Service and Task Order Agreements, based on customer input and a subsequent competitive and/or scrutinized process. These agreements provide ease of use, along with negotiated pricing, terms and conditions. Members of the University community are, therefore, expected to utilize these agreements wherever possible, and their use is not considered a sole or single source procurement decision.

The University has also set dollar thresholds under which it considers competitive sourcing not practicable:

• For most goods and services that are non-construction related and under $2,500, competitive sourcing is not required.
• For consultant agreements under $25,000 competitive sourcing is not required

Please refer to the Purchasing Matrix in the Appendix for a complete listing of thresholds by category.

For goods and services that are above the dollar thresholds for which competitive sourcing is considered practical, University employees are expected to use a competitive procurement process. At lower dollar amounts and for less complex purchases the standard competitive procurement process is the obtaining of a bid from three separate vendors. At higher dollar amounts and for more complex purchases the standard competitive procurement process is the solicitation and review of more detailed proposals from three separate vendors. Please refer to the Purchasing Matrix in the Appendix for specific process requirements by category and dollar threshold.

There are circumstances under which someone might seek exemption from competitive procurement processes for the purchase of goods and services over the established thresholds. Examples include, but are not limited to:

• Products or services can be obtained from only one person or firm
• Competition is precluded because of the existence of patents, copyrights, confidential processes, proprietary information or other such conditions
• When competitive bids are solicited and no responsive bid is received
• When a provider of services has unique qualifications
• Continuation of work
• Need for specially designed replacement parts or specialized technology

In these circumstances, the person in the school or department seeking to purchase the goods or services must provide justification for the sole or single source procurement decision. The University has approved a limited set of criteria for sole/single source procurement, and the justification must meet at least one of those criteria. The full set of criteria are listed in the Appendix.

When the value of the goods or services being purchased is over $25,000, the Sole/Single Source Justification Form must also be signed by a Dean, Vice President, or their senior administrative officer. This senior officer is acknowledging his/her support of the exception request and through his/her signature is attesting that he/she considers the request appropriate and policy compliant.

A person requesting sole/single source procurement is also required to be in compliance with the University's conflict of interest policy and any obligations set forth by the policy.

Without the completion of the Sole/Single Source Justification--including the valid identification of an acceptable criterion, supporting documentation and the sign off by the appropriate senior officer for purchases over $25,000-- the Purchasing Department will not process the request.

Responsibilities

Requestor of Sole/Single Source Procurement - person in a school or department who seeks to purchase goods or services through a sole or single source process, and who must complete the Sole/Single Source Justification Form, as well as the Conflicts of Interest Form.

Senior Officer in Requestor's School or Department - a Dean, Vice President, or their senior administrative officer in the school or department of the person requesting the sole/single source purchase who must sign off on the Sole/Single Source Justification Form for purchases of goods and services over $25,000. This senior officer is acknowledging his/her support of the exception request and through his/her signature is attesting that he/she considers the request appropriate and policy compliant.

Buyer in the Purchasing Department - reviews Sole/Single Source Justification Form, as well as the Conflicts of Interest Form. The Buyer has the responsibility to ask any necessary follow up questions, ensure the accuracy and completion of the form, and clarify any items that are not clear. The Buyer also has the responsibility to proceed with the purchase only after determining that a request meets one of the required criteria and that the justification form is complete. The Buyer has the responsibility and obligation to return incomplete or insufficient requests and to reject requests that do not meet the required criteria.

Definitions

Sole Source Procurement:

A Sole Source Procurement is a purchase of goods or services where the products and/or services can be obtained only through one source. A Sole/Single Source Justification Document must be completed for this procurement.

Single Source Procurement:

A Single Source Procurement is a purchase of goods or services without competitive bids/proposals not made under a University-wide Purchasing Agreement for which there might be an alternative source available, but for which it would not be feasible, practical or cost-effective to seek competitive proposals. A Sole/Single Source Justification Document must be completed for this procurement.