Exhibit “B”
February 23, 2010
GUIDELINES FOR PROCUREMENT
CONTRACTS
These Guidelines for
Procurement Contracts (“Guidelines”) comply with the applicable provisions of
Article 4-C of the Economic Development Law, the Public Authorities Accountability
Act, §2879 of the Public Authorities Law and §§139-j and 139-k of the State
Finance Law, and establish the basis for the Authority to solicit and evaluate
proposals from individuals and/or firms providing goods and/or services as
defined in Article 2 below. Consistent
with these Guidelines, individual facilities,
A.
“Procurement Contracts” are contracts for the acquisition of goods
and/or services in the actual or estimated amount of $5,000 or more. Such goods and/or services are those
necessary to support the Authority’s
B.
“Non-Procurement Contracts” include contracts for energy, capacity,
ancillary services, transmission, distribution or related services in support
of providing service to Authority customers; contracts for differences;
financial hedge contracts (including but not limited to swaps, calls, puts or
swap options) and credit rating services.
In addition, Non-Procurement Contracts
include direct placement of advertisements with radio, television and
print media, periodicals, subscriptions, reference materials or professional
research tools, fees or tuition associated with continuing education courses,
training courses, conferences, seminars and symposiums, funding agreements,
co-funding agreements, grants or memberships in various industry groups,
professional societies or similar cooperative associations, or any cooperative
projects and procurement activities conducted or sponsored by such
organizations in which the Authority participates.
C.
“Services Contracts” are Procurement Contracts for services of a
consulting, professional or technical nature provided
by outside consultants/contractors (individuals, partnerships or firms who are
not and do not employ officers or employees of the Authority) for a fee or
other compensation. Services Contracts
comprise three specific types: Personal Services, Non-Personal Services and
Construction. Personal Services include,
but are not limited to: accounting, architectural, engineering, financial
advisory, legal, public relations, planning, management consulting, surveying,
training (when specifically developed by consultant for the Authority) and
construction management. Non-Personal
Services include, but are not limited to: skilled or unskilled temporary
personnel, including clerical office staff, technicians or engineers working
under Authority supervision; maintenance, repairs, and printing services. Construction consists of craft labor and
other services utilizing laborers and/or mechanics not otherwise considered
Non-Personal Services.
Note: Use of such
services may be appropriate (1) when a consultant/contractor possesses special
experience, background or expertise; (2) when there is insufficient Authority
staff and retention of a consultant/contractor is more appropriate or
economical than hiring additional permanent staff; (3) to provide independent
external review or a second opinion; (4) to meet unusual schedule requirements
or emergencies or (5) for a combination of these factors.
D.
“Goods” include equipment, material and supplies of any kind.
E.
“Contact” means any oral, written or electronic communication with the
Authority under circumstances where a reasonable person would infer that the
communication was intended to influence the procurement.
F.
“Relative” is any person living in the same household as the Authority
employee or any person who is a direct descendant of the Authority employee’s
grandparents or the spouse of such descendant, as referred to in Subsection 9.E.1
of these Guidelines.
G.
“Minority and
Women-Owned Business” (“M/WBE) is defined as any New York State
certified business enterprise at least 51% of which is owned by black persons,
Hispanics, Native Americans , Asians, Pacific Islanders and/or women, and as
further described in the Authority’s Supplier Diversity Program Policy and
Procedures and Executive Law Article 15-A.
A.
Preparation of the solicitation of proposals for
Procurement Contracts is the joint responsibility of the White Plains
Procurement Department, or the facilities’ Procurement Departments and the
initiating department. Except as
otherwise authorized by these Guidelines, a Request for Proposals (“RFP”) or
Request for Quotations (“RFQ”) will be made available to a minimum of three
providers and/or firms (if available) for purchases valued under $25,000 and a
minimum of five providers and/or firms (if available) for purchases valued at
$25,000 and greater, commensurate with the magnitude and nature of the goods
and/or services, and the schedule for performance. Whenever possible and
practicable, notification of the availability of an RFP’s and RFQ’s on our web
site should be sent to more than five providers.
B.
Prospective bidders on Procurement Contracts may
be prequalified by invitation. In such
cases, proposals are requested only from those providers and/or firms whose
prequalification submittals demonstrate sufficient ability and competence to
supply the particular goods and/or perform the particular services required.
C.
The Authority may withdraw any pending
solicitation (including but not limited to RFP’s and RFQ’s) at any time, for
cause or no cause. Any person or entity
submitting any responsive document to the Authority does so at its own cost or
expense and will not be reimbursed by the Authority for the preparation of any
responsive document, unless otherwise agreed to in writing and signed by an
authorized Authority representative.
D.
In order to promote the use of Minority and Women-owned
Business Enterprises “M/WBE’s”, the Authority will solicit offers from M/WBE’s
known to have experience in the type of goods and/or services to be provided,
regardless of the type of contract. For
the purpose of these Guidelines, the definition of a NYS certified M/WBE is in
Section 2.G.
To
foster increased use of M/WBE’s, a single proposal may be sought, negotiated
and accepted for purchases of goods and/or services not exceeding $5,000 from a
NYS-certified M/WBE that offers a reasonable price for such goods and/or
services.
E.
It is the policy of
1.
“New York
State Business Enterprise” is a business enterprise, including a sole
proprietorship, partnership or corporation that offers for sale or lease or
other form of exchange, goods sought by the Authority that are substantially
manufactured, produced or assembled in New York State or services, excluding
construction services, sought by the Authority that are substantially performed
within New York State as further described in Public Authorities Law §2879.
2.
“New York State resident” is a person who maintains a fixed, permanent and
principal home in New York State to which such person, whenever temporarily
located, always intends to return as further described in Public Authorities
Law §2879.
3.
“Foreign Business
Enterprise” is a business enterprise, including a sole proprietorship,
partnership or corporation, that offers for sale, lease or other form of
exchange, goods sought by the Authority that are substantially produced outside
New York State, or services other than construction services, sought by the
Authority that are substantially performed outside New York State as further
described in Public Authorities Law §2879.For purposes of construction
services, Foreign Business Enterprise is a business enterprise, including a
sole proprietorship, partnership or corporation, which has its principal place
of business outside New York State.
F.
Pursuant to the Public Authorities Law §2879, the
Authority will, where feasible, make use of the stock item specification of New
York State manufacturers, producers and/or assemblers for any Procurement
Contract for the purchase of goods when preparing an RFP, RFQ, purchase order,
price inquiry, technical specifications or similar document.
G.
Goods and/or services may be procured pursuant to
Procurement Contracts let by any department, agency, officer, political
subdivision or instrumentality of the State or Federal government or any city
or municipality where the White Plains Procurement Department, or facility Procurement Departments, and the
initiating department determine that a reasonable potential exists for cost
savings or other benefits to the Authority and have approved the specifications
and proposed terms and conditions of such contract.
H.
Solicitations will include a scope of work that
defines the goods required and/or the services to be performed; milestone dates;
the Authority’s Supplier Diversity Program requirements, if applicable; all other
applicable Authority requirements and any special methods or limitations that
the Authority chooses to govern the work.
Telephone solicitation, usually for procurements valued at $25,000 or
less, may be used where time constraints do not permit issuance of an RFP,
where issuance of an RFP is otherwise impracticable or for goods that are
catalog items or do not require a detailed bill of materials or specification.
I.
For all Procurement Contracts with a value equal
to or greater than $15,000 (except for
those contracts noted below), the
Authority will, prior to soliciting proposals, submit the following
This
provision does not apply to Procurement Contracts awarded on an emergency basis
as described below in Section 3.M; Procurement Contracts being rebid or re-solicited
for substantially the same goods and/or services, within 45 business days after
the original due date; and/or Procurement Contracts awarded to not-for-profit human
services providers.
Certain
Procurement Contracts may require purchases: (1) on the spot market; (2) needed
prior to the time limits for noticing on the Contract Reporter website or that
do not lend themselves to the solicitation process. In accordance with
paragraph 3(h) of §2879 of the Public Authorities Law, such
purchases, including, but not limited to, oil or gas purchases on the spot
market, are exempted from the noticing requirements of Article 4-C of the
Economic Development Law subject to the approval of the Vice President of
Procurement or equivalent(s) or designee and the head of the initiating department.
From time to time or where appropriate, generic notices may be published on the
Contract Reporter website notifying potential bidders of such opportunities and
soliciting qualification statements for consideration by the Authority.
J.
Proposals for certain Services Contracts may also
be solicited by competitive search, as follows:
For
contracts where the scope of work cannot be well defined or quantified, or
where selection requires evaluation of factors such as breadth and depth of
experience in a unique or highly specialized field and suitability as an
Authority representative, a “competitive search” will be conducted to determine
which consultants are most qualified, for reasonable compensation terms, to
perform the work. Depending on market
conditions, at least five potential sources should be evaluated; if there are fewer
than five sources, all sources should be evaluated. The White Plains Procurement Department or
the appropriate facility Procurement Department will work with the initiating department
to gather
K.
A Procurement Contract may be awarded on a sole
source basis where:
L.
Subject to the Authority’s Expenditure Authorization Procedures (“EAP’s”),
a Procurement Contract may be awarded without following the solicitation
requirements that ordinarily apply (but using such competitive selection
procedures as are practicable under the circumstances) where emergency conditions exist, such as:
1.
A threat to the health or safety
of the public or Authority employees or workers.
2.
Proper functioning of the
Authority facilities or construction or operating projects requires adherence
to a schedule that does not permit time for an ordinary procurement
solicitation.
M.
Whenever an initiating department determines that
a Procurement Contract should be awarded on either a sole source or an emergency
basis, the head of the department will provide a written statement explaining
the reasons therefor to the White Plains Procurement Department or the
appropriate facility Procurement Department.
When a procurement is made on a sole source basis, and the price for
goods or services purchased exceeds fair market value, prior to making the
purchase, the Business Unit Head
of the initiating department shall provide a detailed explanation of the
justification for making the purchase and a certification shall be signed by
the Chief Executive Officer and Chief Financial Officer of the Authority
stating that they have reviewed the terms of such purchase and determined that
it complies with applicable law and procurement guidelines. In furtherance of Chapter 506 of the Laws of
2009 regarding the Public Authorities Law (“PAL”), the following definition
shall apply: “Fair Market Value” shall
mean the estimated dollar amount that a willing buyer would pay to a willing
seller for property in an arms-length transaction in the appropriate
marketplace and under similar circumstances.
Fair market value may be determined by industry-recognized sources, or
other methods of valuation generally accepted in the industry in which such
property is utilized, as may be approved by the Vice President of Procurement
or authorized designee.
N.
It is the policy of
1.
Pursuant to Article 11-B of the State Finance Law
a “Procurement Contract” is any contract or other agreement for a commodity,
service, technology, public work, construction, revenue contract, the purchase,
sale or lease of real property or an acquisition or granting of other interest
in real property that is the subject of a governmental procurement. Grants, contracts between the Authority and
non-profit organizations pursuant to Article 11-B of the State Finance Law, intergovernmental
agreements, railroad and utility force accounts, utility relocation project
agreements or orders and eminent domain transactions are not Procurement Contracts.
2.
The “Restricted Period” is the period of time
commencing with the earliest written notice, advertisement or solicitation of a
request for proposal, invitation for bids, or solicitation of proposals, or any
other method for soliciting a response from bidders/contractors intending to
result in a procurement contract with the Authority and ending with the final
contract award.
3.
The Authority shall designate a person or persons
who may be contacted, with respect to each Authority
procurement. The bidders/contractors or persons acting on their behalf, shall
only contact the Authority’s designated person or persons where a reasonable
person would infer that the communication was intended to influence the
procurement during the Restricted Period.
4. EVALUATION OF PROPOSALS
A.
Proposals will be evaluated using a fair and
equitable comparison of all aspects of the proposals against the specifics of
the solicitation and against each other, including an analysis of each offer that considers: the quality of the goods
and/or the competence of the bidder, the technical merit of the proposal and
the price for which the goods and/or services are to be supplied.
In the event the price
submitted by the bidder recommended to be awarded a contract exceeds the cost
estimated, where a cost estimate is provided, on the solicitation at the time
of bidding, the initiating department will prepare a written explanation to be
reviewed by the White Plains Procurement Department and/or the appropriate
facility Procurement Department and appropriate managers as stipulated in the EAP’s. The following options should be considered:
(1) rejecting the bids, resoliciting proposals and/or modifying the scope of
work; (2) revising the cost estimate and proceeding with the contract award; and
(3) negotiating with the low bidder(s), as determined by the Vice President of
Procurement or equivalent(s) or designee, to reduce the price quoted. Factors to be considered in reaching the
proper course of action include but are not limited: to the effects of a delay
on both the schedule and the cost of the specific capital construction project
or outage at an operating facility, the magnitude of the contract, available
bidders, the ability to attract additional competition if the solicitation is
reissued, and the accuracy of the original cost estimate. The recommended course of action and the
reasons therefor must be fully documented in a memorandum for consideration by
the appropriate level of management prior to approval and placed in the
appropriate procurement file.
B.
Factors to
be considered in evaluating the goods and/or services to be supplied and/or the
competence of the bidder are: previous experience (including applicable
experience in New York State and evaluations from other clients for whom the
bidder has provided goods and/or services); the abilities and experience of the
personnel to be assigned to the Authority’s work and the ability to provide any
needed advanced techniques such as simulation and modeling. The approach proposed in meeting the exact
requirements of the scope of work will be given consideration in evaluating the
technical merit of the proposal, together with a well-organized task structure,
the ability to timely supply the goods and/or perform the proposed services and
the ability to meet Supplier Diversity Program goals, if any. The need to purchase the goods from and/or
subcontract performance of services to others will be evaluated as to their effects
on cost, as well as quality, schedule and overall performance.
C.
For Services Contracts, (as defined in Section 2.C
of these Guidelines), the technical merits of the proposals and the experience
and capabilities of the bidders will be the primary factors in determining the
individual or firm to be awarded the contract, provided that the price for
performing such work is reasonable and competitive.
D.
For Procurement Contracts other than Personal
Services (as defined in Section 2.of these Guidelines), the award should generally
be made to the lowest-priced firm submitting a proposal that meets the
commercial and technical requirements of the bid documents.
E.
Pursuant to §139-j of the State Finance Law, the Authority
shall not award a Procurement Contract (as defined in Subsection 3.N.1. of
these Guidelines) to a bidder/contractor who fails to provide timely, accurate
and complete responses to inquiries about past determinations of
non-responsibility (unless awarding the contract is necessary to protect public
property or public health or safety and the bidder/contractor is the only
source capable of supplying the required article of procurement within the necessary
timeframe.)
A bidder’s/contractor’s knowing and willful
violation of the Authority’s policy providing for certain procurement
disclosures shall result in a determination of non-responsibility of such
bidder/contractor pursuant to State Finance Law §§139-j and 139-k only.
More than one determination of non-responsibility
due to violations of State Finance Law §139-j in a four-year period shall
render a bidder/contractor ineligible to submit bids for four years from the
second determination of non-responsibility.
F.
An award to “other than low bidder” can be made
only with the approval of appropriate management as stipulated in the EAP’s,
and should be based on such a proposal providing a clear advantage to the Authority
over the lower-priced proposal. Factors
justifying an “other than low bidder” award may include, but are not limited:
to improved delivery schedules that will reduce outages, longer warranty
periods, improved efficiency over the usable life of the equipment, reduced
maintenance costs, the bidders’ financial resources or the ability to meet or
exceed Supplier Diversity Program goals.
G.
The specifications set forth in any
solicitation prepared under these Guidelines were based upon
A.
A recommendation for approval of a proposed award
of a Procurement Contract is usually prepared in the form of a memorandum or e-mail
by the department requiring the goods and/or services. The recommendation must include an evaluation
of proposals as specified in Article 4 above, as well as proposed specific
compensation terms that provide a clear breakdown of cost factors and methods
of calculation, including, as applicable:
1.
Lump sum and/or unit prices for equipment and
construction work.
2.
Hourly or daily rates for personnel.
3.
Markups for payroll taxes, fringe benefits,
overhead and fees, if the proposal is based on reimbursement of actual payroll
costs.
4.
Terms for reimbursement of direct out-of-pocket
expenses, such as travel and living costs, telephone charges, services of
others and computer services.
5.
Provisions, if any, for bonus/penalty arrangements
based on target person-hours and/or target schedule.
B.
The recommendation will also review any
substantive exceptions to commercial and technical requirements of a price
inquiry, RFP, RFQ or bidding documents, including but not limited to payment
terms, warranties and bond requirements, if any.
A.
Services Contracts to be performed for a period of more than 12 months are
approved and reviewed annually by the Trustees.
Services Contracts for a period of less than 12-months are approved by
authorized designees in accordance with existing EAP’s. Extending a contract for services with an
initial duration of less than 12 months beyond 12 months will be approved by
the Trustees at the request of the initiating department and will be reviewed
by the Trustees annually. Extending a
contract for services that has previously been approved by the Trustees for a
cumulative term of more than 12 months requires further Trustees’ approval. Extending a contract previously approved by
the Trustees for 12 months or less requires approval by an authorized designee
in accordance with existing EAP’s.
B.
For Services Contracts to be performed for a period of more than 12
months that must be awarded prior to the next scheduled Trustees’ meeting, the
initial contract will be issued for the entire intended term of the contract. Based on its total value, such contract must
be approved by the appropriate management as set forth in the EAP’s. Such contract is subject to the Trustees’
approval, at the next quarterly Trustees’ meeting. If such approval is not granted, the contract
will be terminated immediately.
C.
A contract or contract task is deemed to be for
services in excess of 12 months where the contract does not specify a definite
term and the work will not be completed within 12 months, and any “continuing
services” contract with no fixed term that provides for the periodic assignment
of specific tasks or particular requests for services. This includes Trustee-approved contracts for
architect/ engineering services with the original engineers of operating
facilities, as well as the original supplier of steam supply systems or boilers
and turbine generating equipment. Each task authorized under such contracts
(which may be referred to as a “Change Order,” “Purchase Order” or “Task
Number”) is considered a separate commitment and must be separately approved in
accordance with the EAP’s.
D.
The term of a Personal Services contract is
limited to a maximum of five (5) years, including any extensions.
E.
When time constraints or emergency conditions
require extending an existing contract with an initial duration of less than a
year beyond a year, and the cumulative monetary change order value does not
exceed the appropriate limit set forth in the EAP’s, the Business Unit Head,
with the prior concurrence of the Vice President of Procurement or
equivalent(s) or designee, may authorize extending such contract, subject to
the Trustees ratifying such action as soon as practicable.
F.
When the total estimated contract value or the
value of the extension exceeds the monetary limits set forth in the EAP’s,
interim approval by the President and Chief Executive Officer or Chief
Operating Officer or equivalent(s) or designee
is required, subject to the Trustees’ ratifying such action as soon as
practicable.
G.
When time constraints or emergency conditions
require immediate commencement of services to be performed for a period of more
than one year, and when the contract value exceeds the monetary approval limit
for the President and Chief Executive Officer or Chief Operating Officer or
equivalent(s), as set forth in the EAP’s, the President and Chief Executive
Officer or Chief Operating Officer or equivalent(s) or designee, with the prior
concurrence of the Vice President of Procurement
or equivalent(s) or designee, may authorize the commencement of such services. The initial
compensation limitation may not exceed the authorization level for the
President and Chief Executive Officer or equivalent(s) or Chief Operating
Officer or equivalent(s) as set forth in the EAP’s. Such contracts will be subject to the
Trustees’ approval, which will be solicited at their next scheduled Trustee
meeting.
H.
The White Plains Procurement Department or the facilities’
Procurement Departments prepare the contract for execution by the Authority and
the successful bidder. No work by the
selected contractor will commence until the contract is executed by both
parties, except that mutually signed letters of award or intent may initiate
work prior to formal execution.
Authority signatories of such letters must be authorized to approve
contract awards pursuant to the EAP’s.
I.
Pursuant to Public Authorities Law §2879, the Authority shall notify
the Commissioner of Economic Development of the award of any Procurement
Contract for the purchase of goods and/or services from a Foreign Business Enterprise
(as defined in Subsection 3.E.3 of these Guidelines) in an amount equal to or
greater than $1 million simultaneous with notifying the successful bidder
therefor. The Authority shall not enter into the Procurement Contract for said
goods and/or services until at least 15 days have elapsed from the notification
of the award, except for a Procurement Contract awarded on an emergency or
critical basis. The notification to the
Commissioner shall include the name, address, telephone and facsimile number of
the Foreign Business Enterprise, the amount of the proposed Procurement
Contract and the name of the individual at the Foreign Business Enterprise or
acting on behalf of same who is principally responsible for the proposed
Procurement Contract.
A.
The following standard forms of contracts are
available from the White Plains Procurement Department: purchase order format
for standard procurements of goods and/or services; furnish-and-deliver format
for major equipment purchases; letter agreements and agreement formats for
consulting work and contract work orders (for construction work of small magnitude),
construction contracts (for major construction work) and furnish, deliver and
install contracts (for specialized, major procurements where single
responsibility is required for procurement and installation). These contract forms are intended to govern
the purchase of goods and/or performance of services. Authority departments proposing to initiate a
Procurement Contract should review these forms to suggest any modifications and
additions that may be required for the particular goods and/or services. Under no circumstances should contract forms
be shown to proposed bidders without the prior approval of the Procurement Department,
which, along with the facilities’ Procurement Departments, is solely
responsible for requesting proposals.
B.
The following types of provisions setting forth contractor
responsibilities are to be contained in the standard forms of Procurement
Contracts, except that any provisions listed below that are inapplicable or
unnecessary because of the nature or duration of the work to be performed, the
location(s) where the work is to be performed or the type of compensation being
paid therefor, need not be included.
Other provisions may be added as necessary and appropriate.
1.
Schedule of Services or Specifications
2.
Time of Completion
3.
Compensation or Itemized Proposals
4.
Relationship of Parties
5.
Delays
6.
Termination
7.
Changes in the Work
8.
Claims and Disputes
9.
Warranty
10.
Insurance
11.
Records, Accounts, Inspection and Audit
12.
Assignment
13.
Notices
14.
Indemnification
15.
Governing Law
16.
Proprietary Nature of Work
17.
Testimony
18.
Entire Agreement
Contract Attachments
1.
Compensation Schedule
2.
Schedule of Services or Specifications
3.
Appendix “A” (Miscellaneous Statutory Provisions)
4.
Appendix “B” (Prompt Payment Provisions)
5.
Appendix “C” (Minority and Women-Owned Business
Enterprises Provisions)
6.
Appendix “D” (Background
Security Screening for Authority Contractors)
7.
Appendix “E” (Omnibus Procurement Act of 1992
Requirements)
8.
Appendix “F” (Computer Aided
Drawing Requirements For
9.
Appendix “G” (Equal Employment
10.
Appendix “H” (Tax Law Requirements)
11.
Appendix “I”
(
12.
Appendix “J” (Bidder/Contractor Compliance with
State Finance Law §§139-j and 139-k Providing for Certain Procurement Disclosures)
13.
Appendix “K” (Additional State and Federal
Provisions Required for American Recovery and Reinvestment Act (Pub.L. No. 111-5 Stat. 2009) (“ARRA”) Funded
Projects
14.
Appendix “L” (DOE) Federal Contract Provisions
C.
Any firm, person or entity retained by the
Authority to provide conceptual studies, designs or specifications is
prohibited from being awarded future phases of work, including implementation,
related to the original work. If there
is no qualified response to the solicitation for future phases of work,
including implementation, the approval of the Vice President of Procurement or
equivalent(s) or designee, applicable Business Unit Head or equivalent(s),
Assistant General Counsel or equivalent(s) and President and Chief Executive
Officer or designee or Chief Operating Officer or equivalent(s) is required to waive
this restriction on a case-by-case basis.
A.
Change Orders to existing contracts are justified
in the following cases:
1.
To incorporate additional work related to the
original scope, to delete work or to otherwise modify the original work scope;
2.
To exercise options previously included in the
original contract to perform additional work or to extend the contract term;
3.
To accommodate emergency conditions, defined in Section
3.L herein, that require the immediate performance of work by a firm already
under contract;
4.
When rebidding would not be practical or in the
best interests of the Authority’s customers; and
5.
To meet the Authority’s Supplier Diversity Program
goals in accordance with Executive Law Article 15-A.
B.
All Change Orders must be approved in accordance
with the Authority’s EAP’s, and should include specific schedules for
completion of work at the earliest possible time.
A.
Former Authority officers and employees are
eligible to be considered for employment as contractors and/or consultants
provided that they meet all criteria for contractors and/or consultants
generally as specified in these Guidelines; their employment is not barred by New
York Public Officers Law §73(8);, they obtain an opinion by the New York State
Commission on Public Integrity that such employment is permissible; and upon
approval of the President and Chief Executive Officer.
B.
Pursuant to the provisions of New York Public
Officers Law §73(8):
1.
No Authority officer or employee
is eligible, within a period of two years after the termination of Authority
service to appear or practice before the Authority or receive compensation for
any services rendered on behalf of any person, firm, corporation or
association, in relation to any case, proceeding or application or other matter
before the Authority.
2.
No Authority officer or employee
is eligible, at any time after the termination of Authority service, to appear,
practice, communicate or otherwise render services before the Authority or any
other state agency or receive compensation for any such services rendered on
behalf of any person, firm, corporation or other entity in relation to any
case, proceeding, application or transaction that such person was directly
concerned with and personally participated in during his or her period of service,
or which was under his or her active consideration.
C. No Authority employee who is involved in the award of Authority grants or contracts may ask any officer, director or employee of such current or prospective contractor or grantee to reveal: (a) the political party affiliation of the individual; (b) whether the individual or entity has made campaign contributions to any political party, elected official or candidate for elective office or (c) whether the individual voted for or against any political party, elected official or candidate for elective office.
D. No Authority employee may award or decline to award any grant or contract, or recommend, promise or threaten to do so because of a current or prospective grantee’s or contractor’s: (a) refusal to answer any inquiry prohibited by Section 9.C above or (b) giving or withholding or neglecting to make any contribution of money, service or any other valuable thing for any political purpose.
E. No Authority employee may take part in any contracting decision involving the payment of more than $1,000: (i) to a Relative; or (ii) to any entity in which the Authority employee or a Relative of such Authority employee owns or controls 10% or more of the stock of such entity (or 1% in the case of a corporation whose stock is regularly traded on an established securities exchange); or serves as an officer, director or partner of that entity. If a contracting matter arises relating to this Section 9.E, then the employee must advise his or her supervisor of the relationship, and must be recused from any and all discussions or decisions relating to the matter.
1. For purposes of Section 9.E, the term “Relative” is defined in Definitions, Section,2.F. of these Guidelines.
.
The Authority strives to
continue to foster the development of business opportunities on Authority
contracts for M/WBE’s. Article 15-A of
the Executive Law established the NYS Office of Minority/Women Owned
Business and Community Relations that is responsible for developing rules and
regulations for implementation of this statute, certifying M/WBE’s and reviewing
and monitoring goal plans, compliance reports and contract provisions to be
included in all non-construction contracts for more than $25,000 and
construction contracts for more than $100,000.
The definition of an M/WBE is included in Section 2.G of these
Guidelines. The Authority aims to
solicit proposals from NYS certified M/WBE’s that are qualified to perform the
required work. In addition, specific
goals may be included in certain contracts for consulting work, construction
and procurement of goods and other services requiring the contractor/vendor to
subcontract a portion of the work to NYS certified M/WBE’s as required by law. Bidders’ proposals will include Preliminary
Subcontracting Plans for M/WBE’s, where required, and such bidders failure to
meet these requirements may be grounds for rejection of the proposal, or
cancellation of the contract if a contractor did not make a good faith effort
to meet its goals after contract award.
A.
The White Plains Procurement Department maintains
records of Procurement Contracts, including bidders’ names, the selection
processes used and the status of existing contracts, including goods provided
and/or services performed and fees earned, billed and paid. At the facilities, such records will be kept
by the facilities’ Procurement Departments.
After the end of each calendar year, the Vice President Procurement or equivalent(s) will prepare and
submit an annual report to the Trustees for their approval that will include:
1.
A copy of the Guidelines;
2.
An explanation of the Guidelines
and any amendments thereto since the last annual report;
3.
A list of all Procurement
Contracts entered into since the last annual report, including all contracts
entered into with New York State Business Enterprises and the subject matter
and value thereof and all contracts entered into with Foreign Business Enterprises
and the subject matter and value thereof;
4.
A list of fees, commissions or
other charges paid;
5.
A description of work performed, the
contract number the date of the contract and its duration, the name, address and
M/WBE designation of the awardees, the total amount of the contract, the amount
spent on the contract during the reporting period and for the term of the
contract to date and the status of open Procurement Contracts during the report
year;
6.
The type of contract (equipment,
services, personal services or construction),
7.
The method of awarding the
contract (e.g., competitive bidding, sole source or competitive search);
8.
The reasons why any procurements
with a value greater than $15,000 were not noticed in the Contract Reporter and
9.
The number of bids received..
B.
Such annual report, as approved by the Trustees,
shall be submitted to the New York State Division of the Budget within 90 days of
the end of such calendar year, with copies and shall be distributed to the New
York State Department of Audit and Control, the DED, the New York State Senate
Finance Committee, and the New York State Assembly Ways and Means Committee and
any other entity as may be required by law.
The annual procurement report is posted on the Authority’s website and copies
shall be made available to the public upon reasonable written request therefor.
C.
State Finance Law §§139-j and 139-k.
1.
A statement describing the basis for a
determination of a bidder’s/contractor’s non-responsibility (per State Finance
Law §§139-j and 139-k only) and the Authority’s decision not to award a bidder/contractor
the Procurement Contract must be included in the procurement contract record.
2.
The Authority shall notify the New York State
Office of General Services of bidders/contractors who have been determined to
be non-responsible bidders (per State Finance Law §§139-j and 139-k only) or
debarred due to violations of §139-j of the State Finance Law.
3.
All forms entitled “Record of Contact” shall be
included in the respective procurement contract record.
4.
A statement describing the basis for a termination
of a Procurement Contract for providing an intentionally false certification
must be included in the procurement contract record.
D.
The Authority may be called upon periodically to
submit information regarding the procurement of goods and/or services to
organizations implementing the PAAA or other statutes regulating the
procurement of goods and services, such as the Authorities Budget Office
through the Public Authorities Reporting Information System (“PARIS”).
A.
These Guidelines are intended for the guidance of
officers and employees of the Authority only.
Nothing contained herein is intended, nor should it be construed, to confer on any person, firm or
corporation any right, remedy, claim or benefit under, or by reason of, any
requirement or provision hereof.
B.
Nothing contained in these Guidelines alters or
affects the validity of, modifies the terms of or impairs any contract or
agreement entered into in violation of these Guidelines.