Step 1: See Reverse Side of This Form for Explanation and Guidance of Non-Conforming Purchases

Authorization to Proceed with Non-Conforming Purchase Step 1: See reverse side of this form for explanation and guidance of Non-Conforming Purchases. Purchase or Attempted Purchase (to be filled out by Pre-Audit or Purchasing and sent by email to UBR) DP, PO or other number: Date: Reason that non-conforming The purchase is for over $5,000 and was placed without authority to do so.

A contract was signed without appropriate signature authority.

The purchase was outside a mandatory State contract for .

A purchase was not permitted under serial purchasing rules (multiple purchases by the same department/program totaling more than $5,000 within any 30 day period; $12,000 within any 90 day period; and $24,500 over a twelve month period to the same vendor) A fully-executed contract was not provided prior to the event/purchase.

Other: .

Recommended Steps to Cure There are no steps that can reasonably be taken to make this purchase non-conforming purchase. conforming. .

Step 2: The UBR determines the individual responsible for the decision to proceed in a non-conforming manner and emails that person the form to complete the Explanation of Circumstances Surrounding Non-Conforming Purchase below. That person then emails form back to UBR. Explanation of Circumstances Surrounding Non-Conforming Purchase Description of good or service sought to be being purchased The circumstances surrounding this non-conforming purchase are the following:

I believe it is appropriate to proceed with the non-conforming purchase for the following reasons:

These are the steps I have taken to cure the non-conforming purchase:

The following are the concrete steps I will take to avoid future non-conforming purchases: Date: Empl. Id.: (type name)

Step 3: The UBR fills out the Authorization of the UBR below. PLEASE NOTE NO FURTHER ACTION WILL BE TAKEN UNTIL THIS FORM IS COMPLETED AND FORWARDED TO PRE-AUDIT ([email protected] or Engelmann Hall, Room 230E). Any interest incurred for failure to timely return will be added to the purchase price. Authorization of the UBR The undersigned acknowledges the non-conforming purchase identified above and accepts responsibility for ensuring that the above described steps will be taken by the responsible individual to avoid non- conforming purchases in the future and/or that the recommended steps to cure have been made

Other UBR comments:

Date: Empl. Id.:

(type name)

History (to be filled out by Purchasing) This is the non-conforming purchase by this responsible individual since . This is the non-conforming purchase by individuals reporting to this UBR this fiscal year. Authorization to Proceed with Non-Conforming Purchase p.2

The purchase of goods and services at the University is governed by Wisconsin State Statutes, the Wisconsin Administrative Code, the State of Wisconsin Procurement Manual, the University of Wisconsin System Financial Administration Policies, UWM Selected Academic and Administrative Policies and BFS Purchasing Procedures. It is the responsibility of each UWM employee to comply with purchasing requirements when making purchases (regardless of funding source). Training is available to assist any UWM employee in understanding the purchasing requirements. Simply contact Purchasing at 229-4301. Non-conforming purchases are a serious matter. Such transactions may be considered void and be repudiated by UWM. The responsible employee may be held personally liable and even criminally responsible in egregious cases. See Wis. Stat. § 946.12 (Any public officer or public employee who knowingly exceeds their authority may be guilty of a Class I felony.) The Direct Pay (“DP”) or Purchase Order (“PO”) purchase documented below is a non-conforming purchase. In order for UWM to proceed with the purchase, the Unit Business Representative (“UBR”) for the department making the purchase must acknowledge that the purchase is non-conforming and accept responsibility for ensuring that the individual responsible has taken steps to cure any deficiencies that can be cured and/or to implement preventive measures for future, similar purchases. If such preventive measures are not implemented, future non-conforming purchases may not be processed or paid with State funds.