[HISTORY: Adopted by the Rockland County
Legislature 12-16-1998 by Res. No. 623-1998; amended in its entirety 7-5-2006 by Res. No.
380-2006. Subsequent amendments noted where applicable.]
[Amended 2-6-2024 by Res. No. 97-2024]
The purpose of this policy is to provide for
the fair and equitable treatment of all persons involved in public
purchasing by the County of Rockland, to maximize the purchasing value
of public funds in procurement, and to provide safeguards for maintaining
a procurement system of quality and integrity. Furthermore, the purpose
of this policy is to guard against favoritism. improvidence, extravagance,
fraud, and corruption and to foster honest competition so that the
County of Rockland obtains the best goods and services at the lowest
possible price.
[Amended 2-6-2024 by Res. No. 97-2024]
This policy applies to contracts for the procurement
of all supplies, services, materials, and equipment, as well as public
works projects, entered into by the County of Rockland after the effective
date of this policy. It shall apply to every expenditure of public
funds by a public agency for public purchasing irrespective of the
source of the funds. When the procurement involves the expenditure
of state or federal assistance or contract funds, the procurement
shall be conducted in accordance with any mandatory applicable state
or federal law and regulations. Nothing in this policy shall prevent
any public agency from complying with the terms and conditions of
any grant, gift, or bequest that is otherwise consistent with law.
[Amended 2-6-2024 by Res. No. 97-2024]
Unless otherwise ordered by regulation the following
commodities, supplies, or services need not be procured through the
Purchasing Division in accordance with the County's Procurement Policy
and shall be procured by the appropriate agency, department, or committee:
Notwithstanding any other provision of this policy, the County Executive or County Legislature may, with prior public notice, initiate a procurement of professional services above the small purchase amount specified in § 140-3.6 where the County Executive or County Legislature determines that an unusual or unique situation exists that makes the application of all requirements of competitive sealed proposals contrary to the public interest. Any special procurement under this section shall be made with such competition as is practicable under the circumstances. A written determination of the basis for the procurement and for the selection of the particular contractor shall be included by the County Executive or County Legislature in the contract file, and a report shall be made publicly available at least annually describing all such determinations made subsequent to the prior report.
As used in this chapter, the following terms
shall have the meanings indicated:
Those professional services within the scope of the practice
of architecture, professional engineering, or land surveying, as defined
by the laws of the State of New York.
The basis for awarding purchase contracts, including contracts
for service work, to the offeror, which optimizes quality, cost, and
efficiency among responsive and responsible offerors. Such basis shall
reflect, wherever possible, objective and quantifiable analysis. Such
basis may also identify a quantitative factor for offerors that are
small businesses, certified minority- or women-owned business enterprises
as defined in subdivisions one, seven, fifteen, and twenty of section
three hundred ten of the Executive Law or service-disabled veteran-owned
business enterprises as defined in subdivision one of section three
hundred sixty-nine-h of the Executive Law to be used in evaluation
of offers for awarding of purchase contracts, including contracts
for service work.
[Added 2-6-2024 by Res. No. 97-2024]
A specification limited to one or more items by manufacturers'
names or catalog numbers to describe the standard of quality, performance,
and other salient characteristics needed to meet County requirements,
and which provides for the submission of equivalent products.
A specification limited to one or more items by manufacturers'
names or catalog numbers.
Any corporation, partnership, individual, sole proprietorship,
joint-stock company, joint venture, or any other private legal entity.
A written order signed and issued by the Director of Purchasing,
directing the contractor to make changes in relation to a specific
purchase order or County contract.
Any information which is available to an employee only because
of the employee's status as an employee of the County and is not a
matter of public knowledge or available to the public on request.
The process of building, altering, repairing, improving,
or demolishing any public structure, building, road, highway, bridge
or other public improvements of any kind to any public real property.
It does not include the routine operation, routine repair, or routine
maintenance of existing structures, buildings, or real property.
All types of County agreements, regardless of what they may
be called, for the procurement of supplies, services or construction.
Any written alteration in specifications, delivery point,
rate of delivery, period of performance, price, quantity, or other
provisions of any contract accomplished by mutual action of the parties
to the contract.
Any person having a contract with the County or a using agency
thereof.
The evaluation of cost data for the purpose of arriving at
costs actually incurred or estimates of costs to be incurred, prices
to be paid, and costs to be reimbursed.
Factual information concerning the cost of labor, material,
overhead, and other cost elements which are expected to be incurred
or which have been actually incurred by the contractor in performing
the contract.
A contract under which a contractor is reimbursed for costs
which are allowable and allocable in accordance with the contract
terms and the provisions of this policy, and a fee for profit, if
any.
Recorded information, regardless of form or characteristic.
[Added 2-6-2024 by Res. No. 97-2024]
A duly authorized representative of a person holding a superior
position.
[Added 2-6-2024 by Res. No. 97-2024]
Involvement through decision, approval, disapproval, recommendation,
preparation of any part of a purchase request, influencing the content
of any specification or procurement standard, rendering of advice,
investigation, auditing, or in any other advisory capacity.
Electrical, digital, magnetic, optical, electromagnetic,
or any other similar technology.
[Added 2-6-2024 by Res. No. 97-2024]
An individual drawing a salary of wages from the County,
whether elected or not; any noncompensated individual performing personal
services for the County or any department, agency, commission, council,
board, or any other entity established by the executive or legislative
branch of the County; and any noncompensated individual serving as
an elected official of the County.
Ownership of any interest or involvement in
any relationship from which, or as a result of which, a person within
the past year has received, or is presently or in the future entitled
to receive, more than $100 per year, or its equivalent;
Ownership of 25% of any property or business;
or
Holding a position in a business such as officer,
director, trustee, partner, employee, or the like or holding any position
of management.
Any department, commission, council, board, bureau, committee,
institution, legislative body, agency, government corporation, or
other establishment or official of the executive or legislative branch
of this County.
[Added 2-6-2024 by Res. No. 97-2024]
The furnishing by the state or federal government, financial
or otherwise, assistance to any person to support a program authorized
by law. It does not include an award whose primary purpose is to procure
an end product, whether in the form of supplies, services, or construction;
a contract resulting from such an award is not a grant but a procurement
contract.
[Added 2-6-2024 by Res. No. 97-2024]
The furnishing by the County of Rockland of assistance, whether
financial or otherwise, to any person or organization to support a
program authorized by law.
[Added 2-6-2024 by Res. No. 97-2024]
A payment, loan, subscription, advance, deposit of money,
service, or anything else with a nominal value of $25 or more.
A spouse, children, parents, brothers, and sisters.
All documents, whether attached or incorporated by reference,
utilized for soliciting sealed bids.
Any business, individual, union, committee, club, other organization,
or group of individuals.
The evaluation of price data, without analysis of the separate
cost components and profit as in cost analysis, which may assist in
arriving at prices to be paid and costs to be reimbursed.
Factual information concerning prices for items substantially
similar to those being procured. "Pricing" in this definition refers
to offered or proposed selling prices, historical selling prices and
current selling prices. The definition refers to data relevant to
both prime and subcontract prices.
The buying, purchasing, renting, leasing, or otherwise acquiring
of any supplies, services, or construction. It also includes all functions
that pertain to the obtaining of any supply, service, or construction,
including description of requirements, selection, and solicitation
of sources, preparation and award of contract, and all phases of contract
administration.
A public entity subject to or created by the County.
The distribution or dissemination of information to interested
parties using reasonably available methods. Such methods include publication
in the County's designated official newspaper(s), electronic or paper
mailing lists, and websites designated by the County and maintained
for that purpose.
[Added 2-6-2024 by Res. No. 97-2024]
All documents, whether attached or incorporated by reference,
utilized for soliciting proposals.
A person who has the capability in all respects to perform
fully the contract requirements, and the tenacity, perseverance, experience,
integrity, reliability, capacity, facilities, equipment, and credit
which will assure good faith performance.
A person who has submitted a bid that conforms in all material
respects to the requirements set forth in the invitation for bids.
Businesses or commercial entities whose executive offices
or substantial operations are located physically within the geographic
borders of Rockland County.
[Added 2-6-2024 by Res. No. 97-2024]
The furnishing of labor, time or effort by a contractor,
not involving the delivery of a specific end product other than reports
which are merely incidental to the required performance. This term
shall not include employment agreements or collective bargaining agreements.
Any description of the physical or functional characteristics
or of the nature of a supply, service, equipment or construction item.
It may include a description of any requirement for inspecting, testing,
or preparing a supply, service, equipment or construction item for
delivery.
All property, including but not limited to equipment, materials,
and printing, excluding land or a permanent interest in land.
Any department, commission, board, or public agency requiring
supplies, services, equipment, or construction procured pursuant to
this policy.
Procurement information shall be a public record
to the extent provided in the New York State Freedom of Information
Law (Public Officers Law §§ 84 to 90), and shall be
available to the public as provided in such statute.
A.
Principal public purchasing official. Except as otherwise
provided herein, Paul J. Brennan, CPPO, the Director of Purchasing,
shall serve as the principal public purchasing official for the County,
and shall be responsible for the procurement of supplies, services,
equipment, and public works projects in accordance with this policy,
as well as the management and disposal of supplies, services, and
equipment.
[Amended 12-7-2010 by Res. No. 612-2010]
B.
Duties. In accordance with this policy the Director
of Purchasing shall:
(1)
Procure or supervise the procurement of all supplies,
services, materials and equipment, as well as public works projects
needed by the County;
[Amended 2-6-2024 by Res. No. 97-2024]
(2)
Exercise direct supervision over the County's central
stores and general supervision over all other inventories of supplies
belonging to the County;
(3)
Sell, trade, or otherwise dispose of surplus supplies
belonging to the County; and
(4)
Establish and maintain programs for specification
development, contract administration and inspection and acceptance,
in cooperation with the public agencies using the supplies, services,
and construction.
C.
Operational procedures. Consistent with this policy,
the Director of Purchasing may adopt operational procedures relating
to the execution of its duties.
[Amended 2-6-2024 by Res. No. 97-2024]
With the approval of the County Executive, in
writing, the Director of Purchasing may delegate authority to purchase
certain supplies, services, equipment, or construction items to other
County officials if such delegation is deemed necessary for the effective
procurement of those items.
A.
With the approval of the County Executive, the Director of Purchasing, under the authority provided in § 140-2.1 of this policy, may establish a procurement card program to improve efficiency and streamline the purchasing process of small dollar items, thereby eliminating the need for many petty cash accounts, and also reducing the volume of individual purchase orders and payments processed by the County to suppliers. Audits shall be required to ensure that the cardholders and their respective department head or Commissioner are adhering to proper policies and procedures.
B.
Conditions for use. The Director of Purchasing and
the Commissioner of Finance shall develop procurement card policies
and procedures that detail the regulations which will govern the program.
The Procurement Card Policy shall be reviewed annually by the County
Legislature in conjunction with its annual review of the County's
Procurement Policy. The Procurement Card Policy shall include:
(1)
Purpose of the procurement card program.
(2)
Scope of the program.
(3)
Detailed listing of all card holders, card limits,
and approved uses.
(4)
Applicability of the policies and procedures.
(5)
Responsibilities.
(6)
Assignment and control of the procurement cards.
(7)
Card holder use of the procurement card.
(8)
Prohibited use of the procurement card.
(9)
Procedures for making and paying for purchases.
(10)
Procedures for disputes.
(11)
Review of purchases by departments.
(12)
Use of Peoplesoft eProcurement to reconcile
purchases.
(13)
Audit requirements.
A.
Conditions for use. All contracts of the County of Rockland shall be awarded by competitive sealed bidding except as otherwise provided in §§ 140-3.2 (Competitive sealed proposals), 140-3.4 (Contracting for designated professional services), 140-3.6 (small purchases), 140-3.8 (Sole source procurement), 140-3.9 (Emergency procurements), and 140-5.6 (public announcement and selection process), and 140-3.13A (Request for competitive offers - best value award procedures) of this policy.
[Amended 5-4-2021 by Res. No. 177-2021]
B.
Invitation for bids. An invitation for bids shall
be issued and shall include specifications and all contractual terms
and conditions applicable to the procurement.
C.
Public notice. Adequate public notice of the invitation
for bids shall be given not less than 30 calendar days prior to the
date set forth therein for the opening of bids unless it is determined
by the Director of Purchasing, in writing, that a public notice of
less than 30 days is adequate. In no instance shall the public notice
be less than five business days. Such notice shall include publication
in the newspaper(s) of general circulation as designated by the County
Legislature and such online internet posting sites as determined by
the Director of Purchasing. The public notice shall state the bid
opening's location, date, and time.
[Amended 2-6-2024 by Res. No. 97-2024]
D.
Bid opening. Bids shall be opened publicly in the presence of one or more witnesses at the time and place designated in the invitation for bids. The amount of each bid, and such other relevant information as the Director of Purchasing deems appropriate, together with the name of each bidder, shall be recorded; the record and each bid shall be open to public inspection in accordance with § 140-1.6 (Public access to procurement information).
E.
Bid acceptance and bid evaluation. Bids shall be unconditionally
accepted without alteration or correction, except as authorized in
this policy. Bids shall be evaluated based on the requirements set
forth in the invitation for bids, which may include criteria to determine
acceptability such as inspection, testing, quality, workmanship, delivery,
and suitability for a particular purpose. Those criteria that will
affect the bid price and be considered in evaluation for award shall
be objectively measurable, such as discounts, transportation costs,
and total or life cycle costs. The invitation for bids shall set forth
the evaluation criteria to be used. No criteria that are not set forth
in the invitation for bids may be used in bid evaluations.
F.
Correction or withdrawal of bids; cancellation of
awards. Correction or withdrawal of inadvertently erroneous bids before
or after bid opening, or cancellation of awards or contracts based
on such bid mistakes, may be permitted where appropriate. Mistakes
discovered before bid opening may be modified or withdrawn by written
notice received in the office designated in the invitation for bids
prior to the time set for bid opening. After bid opening, correction
of bids shall not be permitted. After bid opening, no changes in bid
prices or other provisions of bids prejudicial to the interest of
the County or fair competition shall be permitted. In lieu of bid
correction, a bidder alleging a material mistake of fact may be permitted
to withdraw his bid if:
(1)
The mistake is clearly evident on the face of the
bid document but the intended correct bid is not similarly evident;
or
(2)
The bidder submits evidence that clearly and convincingly
demonstrates that a mistake was made. All decisions to permit correction
or withdrawal of bids, or to cancel awards or contracts based on bid
mistakes, shall be supported by written determination made by the
Director of Purchasing.
G.
Award. The contract shall be awarded with reasonable
promptness by appropriate written or electronic notice to the lowest
responsible and responsive bidder whose bid meets the requirements
and criteria set forth in the invitation for bids. All other bidders
shall receive a written or electronic non-award notice. Contract award
details shall be posted on such internet websites as determined by
the Director of Purchasing.
[Amended 2-6-2024 by Res. No. 97-2024]
H.
Multi-step sealed bidding. When it is considered impractical
to prepare initially a purchase description to support an award based
on price, an invitation for bids may be issued requesting submission
of unpriced offers to be followed by an invitation for bids based
on the product information received from the first solicitation.
I.
Receipt of bids.
[Added 4-15-2008 by Res. No. 208-2008; amended 8-6-2013 by Res. No. 446-2013]
(1)
Bids are to be packaged, sealed and submitted to the location stated
in the bid specifications. Bidders are solely responsible for timely
delivery of their bids to the location set forth in the bid specification
prior to the stated bid opening date/time; or
(2)
If authorized by the bid specification, bids may be submitted electronically.
Submission in an electronic format may not, however, be required as
the sole method for submitting bids and proposals, except for bids
and proposals for technology contracts only.
[Amended 2-6-2024 by Res. No. 97-2024]
(a)
The receiving device designated by the County of Rockland will
be determined by the Director of Purchasing and will be identified
in the bid specification. All receiving devices will:
(b)
The timely submission of an electronic bid in compliance with
instructions provided for such submission in the advertisement for
bids and/or specifications shall be the responsibility solely of each
bidder or prospective bidder. The County shall not incur any liability
from delays of or interruptions in the receiving device designated
for the submission and receipt of electronic bids.
(3)
For purposes of this policy, "sealed bids," "sealed proposals"
and "sealed offers," as those terms apply to purchase contracts (including
contracts for service work, but excluding any purchase contracts necessary
for the completion of a public works contract pursuant to Article
8 of the Labor Law), shall include bids, proposals and offers submitted
in an electronic format, including submission of the statement of
noncollusion required by § 103-d of the General Municipal
Law.
[Amended 2-6-2024 by Res. No. 97-2024]
A.
Conditions for use. When the Director of Purchasing
determines in writing that the services being procured are determined
to be a Professional Service under New York State Law and the use
of competitive sealed bidding is either not practicable or not advantageous
to the County, a contract may be entered into by the use of the competitive
sealed proposal method.
B.
Request for proposals. Proposals shall be solicited
through a request for proposals.
C.
Public notice. Adequate public notice of the request for proposal shall be given in the same manner as provided in § 140-3.1C (Competitive sealed bidding) provided the minimum time shall be 20 calendar days, unless determined in writing by the Director of Purchasing that a shorter response time is necessary.
D.
Evaluation
process. The Director of Purchasing will form an Evaluation Committee
comprised of members of the user agency or agencies that will utilize
the services.
(1)
Members of the Evaluation Committee are:
(a)
Required to sign a confidentiality statement and no conflict-of-interest
form and adhere to the provisions specified;
(b)
Required to use the evaluation criteria established in the RFP
to fairly and objectively evaluate the technical proposals;
(c)
Prohibited from informing anyone that they are a voting member
or divulging any of the other voting members' names;
(d)
Prohibited to meet with the offerors or other committee members
to discuss the RFP, the proposals, or any related matters except in
formal, scheduled committee meetings;
(e)
Required to keep proposals, notes, and evaluation forms secure
and confidential;
(f)
Required to keep their username and password to the evaluation
software secure and confidential;
(g)
Prohibited from comparing one offeror's proposal to another;
(h)
Prohibited from disclosing scores to offerors;
(i)
Prohibited from disclosing proposals of nonselected offerors;
(2)
A 1,000-point scale is used to evaluate the proposal response,
with cost being allotted a minimum of 20% or 200 points.
(3)
The evaluator scoring guide provided by the Purchasing Division
provides a consistent approach to evaluating proposals and shall be
used when scoring proposals.
(4)
Evaluators shall document and justify their scores by entering
comments in relation to each score.
(a)
Comments should be clear, concise, and professionally stated.
(5)
Group discussions of the Evaluation Committee are held after
all committee members have completed their evaluation and scoring
of each offeror's proposal and are used to ensure evaluators have
a common understanding of the proposal. Items to be discussed:
(6)
Phase 2 of the evaluation is conducted after any clarifications
are received and oral presentations, if any, are conducted.
E.
Receipt of proposals. No proposals shall be handled
so as to permit disclosure of the identity of any offeror or the contents
of any proposal to competing offerors during the process of negotiation.
A register of proposals shall be prepared containing the name of each
offeror, the number of modifications received, if any, and a description
sufficient to identify the item offered. The register of proposals
shall be open for public inspection only after contract award.
F.
Evaluation factors. The request for proposals shall
state the importance of price and other evaluation factors.
G.
Discussion with responsible offerors and revisions
to proposals. As provided in the request for proposals, discussions
may be conducted with responsible offerors who submit proposals determined
to be reasonably susceptible of being selected for award for the purpose
of clarification to assure full understanding of, and conformance
to, the solicitation requirements. Offerors shall be accorded fair
and equal treatment with respect to any opportunity for discussion
and revision of proposals, and such revisions may be permitted after
submissions and prior to award for the purpose of obtaining the best
and final offerors. In conducting discussions, there shall be no disclosure
of competing offerors' identity or any information derived from proposals
submitted by competing offerors.
H.
Award. The award shall be made to the responsible
offeror whose proposal conforms to the solicitation and is determined
in writing to offer the best value to the County, taking into consideration
price and the evaluation factors set forth in the request for proposals.
No other factors or criteria shall be used in the evaluation. The
contract file shall contain the basis on which the award was made.
The County reserves the right to award the contract(s) to a higher-scoring
technical offer, if the overall highest-ranked firm obtains a significant
amount of evaluation points based on a low-cost proposal and is determined
not to be the best value offered to the County based on a written
cost-benefit analysis.
[Amended 2-6-2024 by Res. No. 97-2024]
A.
Authority. For the purpose of procuring certain professional services where the payment rates are established by the federal or state government, or when the County contracts with all qualified providers, any using agency may procure them without the requirement of issuing a request for proposal as per § 140-3.2 in accordance with the selection procedures specified in this section.
B.
Selection procedure.
(1)
Conditions for use. This section shall only apply
to professional service contracts where the rates to be paid by the
County are set by the federal or state government, and where all qualified
firms are considered for contracts.
(2)
Statement of qualifications. Persons or firms engaged
in providing the designated types of professional services may submit
statements of qualifications or expressions of interest in providing
such services to the appropriate department head or Commissioner.
An agency using such professional services may specify a uniform format
for statements of qualifications. Persons may amend these statements
at any time by filing a new statement.
(3)
Public notice. Adequate public notice of contracting
opportunities covered by this section shall be given annually by each
County department, through the Purchasing Division, at least 90 days
prior to the expiration of the current contract period.
[Amended 2-6-2024 by Res. No. 97-2024]
A.
Authority. For the purpose of procuring the services
of a) accountants, b) clergy, c) physicians, d) lawyers, e) dentists,
f) registered nurses, and g) dieticians as defined by the laws of
the State of New York, any using agency requiring such services may
procure them on its own behalf, in accordance with the selection procedures
specified in this section. No contract for the services of legal counsel
may be awarded without the approval of the County Executive and the
County Attorney, other than the County Legislature which may approve
its own such procurements, which shall be approved by the Chairperson
of the Legislature and the County Attorney.
B.
Selection procedure.
(2)
Statement of qualifications. Persons engaged in providing
the designated types of professional services may submit statements
of qualifications or expressions of interest in providing such professional
services. A using agency using such professional services may specify
a uniform format for statements of qualifications. Persons may amend
these statements at any time by filing a new statement.
(3)
Discussions. The head of a using agency procuring
the required professional services or a designee of such officer may
conduct discussions with any offeror who has submitted a statement
of qualifications to determine such offeror's qualifications for further
consideration. Discussions shall not disclose any information derived
from statements of qualifications submitted by other offerors.
(4)
Award. Award shall be made to the offeror determined
in writing by the head of the using agency procuring the required
professional services, or a designee of such officer, to be best qualified
based on the agency's evaluation of the statement of qualifications,
and negotiation of compensation determined to be fair and reasonable.
If compensation cannot be agreed upon with the best-qualified offeror,
the negotiations will be formally terminated with the selected offeror.
If statements of qualifications were submitted by one or more other
offerors determined to be qualified, negotiations may be conducted
with such other offeror or offerors, in the order of their respective
qualification ranking, and the contract may be awarded to the offeror
then ranked best qualified if the amount of compensation is determined
to be fair and reasonable.
[Amended 2-6-2024 by Res. No. 97-2024]
A.
Authority. For the purpose of procuring certain professional services where the contractor has been identified in an approved grant application as the contractor to perform services covered by the grant, any using agency may procure them without the requirement of issuing a request for proposal as per § 140-3.2, in accordance with the selection procedures specified in this section.
B.
Selection procedure.
(1)
Conditions for use. This section shall only apply
to professional service contracts where the contractor has been identified
in an approved grant application as the contractor to perform services
covered by the grant.
(2)
Statement of qualifications. Prior to submitting a
grant application, the County department shall obtain a minimum of
three statements of qualifications and cost estimates for the services
to be performed. Additional cost quotations shall be obtained if required
under the terms and conditions of the grant.
[Amended 12-7-2010 by Res. No. 612-2010; 4-20-2010 by Res. No.
221-2010; 2-6-2024 by Res. No. 97-2024]
B.
Section 104-b of New York State General Municipal
Law requires that procedures for purchasing goods and services that
fall below the monetary bid limits be established and approved by
the governing board. The following shall constitute Rockland County
policy:
(1)
Cumulative purchases.
(a)
Purchases shall be evaluated with attention
given to the reasonably expected aggregate amount of all purchases
of the same commodities, services, or technology to be made within
the twelve-month period commencing on the date of the purchase. The
Director of Purchasing shall canvas using agencies to determine the
yearly value of a commodity or service. Past history can be considered
when evaluating yearly costs associated with purchasing a commodity
or service. If the bid limit is suspected to be exceeded, competitive
bidding shall be used. This decision shall rest with the Director
of Purchasing.
(b)
If there are several comparable separate public
works projects for the same or various locations, in a foreseeable
time frame, whose expected cumulative total is more than $10,000,
written quotes must be obtained from a minimum of three suppliers.
(2)
Methods of procurement not covered by competitive
bidding.
(a)
Purchases for commodities, equipment, supplies,
materials and services in the amount of $5,000 or less shall be awarded
at the discretion of the Director of Purchasing; purchases more than
$5,000 up to and including $20,000 shall require a minimum of three
written or electronic quotes. If three written or electronic quotes
cannot be obtained, the Purchasing Division shall document in writing
the efforts taken to obtain the required number of written or electronic
quotes and the reasons the minimum number of written or electronic
quotes could not be obtained. All purchases of more than $20,000 shall
be competitively bid.
[1]
Instead of obtaining written quotes for purchases of commodities
more than $5,000 and up to and including $20,000, the Director of
Purchasing is authorized to make such purchases using established
national and regional cooperative purchasing contracts, as determined
to be acceptable and in compliance to New York State General Municipal
Law by the Director of Purchasing.
(b)
Purchases that are defined as public works projects
in the amount of $10,000 or less shall be awarded at the discretion
of the Director of Purchasing; purchases more than $10,000 up to and
including $35,000 shall require a minimum of three written or electronic
quotes. If three written or electronic quotes cannot be obtained,
the Purchasing Division shall document in writing the efforts taken
to obtain the required number of written or electronic quotes and
the reasons the minimum number of written or electronic quotes could
not be obtained. All purchases more than $35,000 shall be competitively
bid.
(c)
Purchases and contracts defined as professional
services in the amount of $75,000 or less shall be awarded at the
discretion of the County Executive, Director of Purchasing, and the
Commissioner or Director of the using agency. Purchases and contracts
of more than $75,000 shall require the issuing of a formal request
for proposal and the approval of the County Executive; purchases and
contracts of more than $100,000 shall require the issuing of a formal
request for proposal, approval of the County Executive and approval
of the County Legislature.
(d)
It shall be the responsibility of the Director
of Purchasing of the County of Rockland, or his agent, with regard
to all procurements not covered by competitive bidding, as provided
herein, to prioritize purchasing goods and/or services whenever possible
from businesses or commercial entities whose executive offices or
substantial operations are located physically within the geographic
borders of the County of Rockland.
[1]
The Director of Purchasing shall develop and
implement procedures for the execution and/or waiver of this section.
[2]
Any decision by the Director of Purchasing or his agent to waive this section pursuant to Subsection B(2)(d)[1] shall be documented and filed in the Purchasing Department.
[3]
A report of waivers of this section for each
calendar year shall be submitted no later than February 1 to the County
Executive and Chairman of the Legislature by the Director of Purchasing.
[4]
Section 140-3.6B(2)(d) shall be referenced as the "policy to prioritize Rockland businesses" and should be a matter of public policy.
(3)
Award. All awards from telephone, facsimile, e-mail
or written quotes shall be made to the supplier offering the best
value to the County. In determining the best value for the County,
the purchase price and whether the goods or services meet specifications
are the most important considerations. However, the Director of Purchasing
may consider other relevant factors, including:
(a)
Installation costs;
(b)
Life cycle costs;
(c)
The quality and reliability of the goods and
services;
(d)
The delivery terms;
(e)
Indicators of probable supplier performance
under the contract such as past supplier performance, the supplier's
financial resources and ability to perform, the supplier's experience
or demonstrated capability and responsibility, and the supplier's
ability to provide reliable maintenance agreements and support;
(f)
The cost of any employee training associated
with a purchase;
(g)
The effect of a purchase on agency productivity;
and
(h)
Other factors relevant to determining the best
value for the County in the context of a particular purchase, including
the status of the vendor as a Rockland County based small business.
(4)
Documentation. All quotes (electronic, written or
telephone) shall be documented in the procurement record and shall
be filed in the respective year's quote files or attached to the Purchasing
Division's copy of the purchase order. All purchases resulting from
a written, electronic or telephone quote shall have the quote number
referenced on the electronic purchase order or voucher, thus creating
an audit trail.
A.
Except as otherwise provided herein, with respect
to any contracts for goods or services subject to this policy not
required by law to be made pursuant to competitive bidding requirements
with a dollar value in excess of $2,500, the County of Rockland Director
of Purchasing shall not award or recommend award of a contract to
a contractor which does not agree to execute a certification in substantially
the following form:
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CERTIFICATE REGARDING BUSINESS DEALINGS WITH
NORTHERN IRELAND
|
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The contractor and any individual or legal entity
in which the contractor holds a ten-percent or greater ownership interest
and any individual or legal entity that holds a ten-percent or greater
ownership interest in the contract (a) has no business operations
in Northern Ireland, or (b) shall take lawful steps in good faith
to conduct any business operations in Northern Ireland in accordance
with the MacBride Principles.
|
B.
For purposes of this section, "MacBride Principles"
shall mean those principles relating to nondiscrimination in employment
and freedom of workplace opportunity, which require employers doing
business in Northern Ireland to:
(1)
Increase the representation of individuals from underrepresented
religious groups in the work force, including managerial, supervisory,
administrative, clerical and technical jobs;
(2)
Take steps to promote adequate security for the protection
of employees from underrepresented religious groups both at the workplace
and while traveling to and from work;
(3)
Ban provocative religious or political emblems from
the workplace;
(4)
Publicly advertise all job openings and make special
recruitment efforts to attract applicants from underrepresented religious
groups;
(5)
Establish layoff, recall and termination procedures
which do not in practice favor a particular religious group;
(6)
Abolish all job reservations, apprenticeship restrictions
and differential employment criteria which discriminate on the basis
of religion;
(7)
Develop training programs that will prepare substantial
numbers of current employees from underrepresented religious groups
for skilled jobs, including the expansion of existing programs and
the creation of new programs to train, upgrade and improve the skills
of workers from underrepresented religious groups;
(8)
Establish procedures to assess, identify and actively
recruit employees from underrepresented religious groups with potential
for further advancement;
(9)
Appoint a senior management staff member to oversee
affirmative action efforts and develop a timetable to ensure their
full implementation.
C.
For purposes of this chapter, "Northern Ireland" shall
be understood to be the six counties partitioned from the Irish Province
of Ulster, and administered from London and/or from Stormont; and
D.
The contractor shall agree that the warranties and representations in Subsection A above are material conditions of the contractor's contract with the County of Rockland. If the County of Rockland Director of Purchasing receives information that the contractor is in violation of § 140-3.7A above, the County of Rockland Director of Purchasing shall review such information and give the contractor opportunity to respond. If the County of Rockland Director of Purchasing finds that such a violation has occurred, the County may declare the contractor in default and/or terminate this agreement. In the event of any such termination, the County may procure the supplies, services or work from another source in accordance with applicable law. The contractor shall pay to the County the difference between the contract price for the uncompleted portion of this agreement and the cost to the County of completing performance of this agreement either by itself or by engaging another contractor. If this is a contract other than a construction contract, the contractor shall be liable for the difference in price if the cost of procurement from another source is greater than what the County would have paid the contractor plus any reasonable costs the County incurs in any new procurement, and if this is a construction contract, the County shall also have the right to hold the contractor in partial or total default in accordance with the default provisions of this agreement. In addition, the contractor may be declared not to be a responsible bidder or proposer for up to three years following written notice to the contractor, giving the contractor the opportunity for a hearing at which the contractor may be represented by counsel. The rights and remedies of the County hereunder shall be in addition to, and not in lieu of, any rights and remedies the County has pursuant to this agreement or by operation of law or in equity.
E.
The County of Rockland Director of Purchasing may
waive the provision of this section if he or she determines that the
goods, services or construction to be contracted for are necessary
for the performance of the functions of the department that the procurement
officer represents and that there is no other responsible contractor
capable of supplying comparable goods, services or construction at
a comparable price. Such determination shall be made in writing and
maintained in the procurement file.
F.
Upon receiving information that a contractor that
has executed the stipulation required herein is in violation thereof,
the County of Rockland Director of Purchasing shall review such information
and offer the contractor an opportunity to respond. If the procurement
officer finds that a violation has occurred, that officer shall take
such action as may be appropriate and provided for by law, rule or
contract, including, but not limited to, imposing sanctions, seeking
compliance, recovering damages, declaring the contractor in default
and/or seeking debarment or suspension of the contractor.
[Amended 8-6-2013 by Res. No. 447-2013]
A.
A contract may be awarded without competition when the Director of
Purchasing determines, in writing, after conducting a good faith review
of available resources and publicly advertising the County's intention
to make a purchase on a sole-source basis 14 days prior to issuance
of the award, that there is only one source for the required commodity,
supply, service or construction item. The Director of Purchasing shall
conduct negotiations, as appropriate, as to price, delivery and terms.
A record of sole-source procurements shall be maintained as a public
record and shall list each supplier's name, the amount and type of
each contract, a listing of the item(s) procured under each contract,
and the identification number of each contract file. Sole-source purchases
of software maintenance are exempt from this section.
B.
In determining whether procurement qualifies as a sole source, the
Purchasing Division and the agency requesting the procurement shall
show, at a minimum:
(1)
The unique benefits to the County of the item as compared to other
products available in the marketplace;
(2)
That no other product provides substantially equivalent or similar
benefits;
(3)
That, considering the benefits received, the cost of the item is
reasonable in comparison to other products in the marketplace; and
(4)
That there is no possibility of competition, as from competing dealers
or distributors.
C.
If an agency intends to request a sole-source purchase, it shall
consider the following factors and submit the following documentation
to the Director of Purchasing:
(1)
An agency should consider the additional time that will be required
to process a sole-source transaction due to the public advertising
requirement, which is publication 14 days prior to issuance of the
award;
(2)
An agency should be aware that the public advertising requirement
provides increased exposure to a challenge by other suppliers;
(3)
An agency should be aware that if a challenge to the requested
sole-source procurement is found to be warranted, the purchase request
shall be withdrawn, and the request will be converted to either a
competitive bid or request for proposal, which may result in a further
delay in completing the transaction;
(4)
An agency must submit to the Director of Purchasing a justification letter providing the information required in Subsection B of this section, The required sole-source justification shall be detailed and sufficient enough to withstand a challenge by another supplier. A difference in price between potential suppliers is not, in and of itself, a proper justification for a sole-source purchase. Additionally, a sole-source letter provided by a supplier does not qualify as a proper justification for a sole-source purchase; and
(5)
If there is a question as to whether or not a sole-source purchase
is warranted, the agency should contact the Director of Purchasing
before submitting the sole-source purchase request.
[Amended 2-6-2024 by Res. No. 97-2024]
Notwithstanding any other provisions of this
policy, the Director of Purchasing, with the approval of the County
Executive and the Chairperson of the Legislature, may make or authorize
others to make emergency procurements of commodities, supplies, services,
or construction items when there exists a threat to public health,
welfare, or safety; or County property; provided that such emergency
procurements shall be made with such competition as is practicable
under the circumstances. A written determination of the basis for
the emergency and the selection of the particular supplier shall be
included in the contract file. As soon as practicable, a record of
each emergency procurement shall be made and shall set forth the supplier's
name, the amount and type of contract, a listing of the item(s) procured
under the contract, and the identification number of the contract
file.
An invitation for bids, a request for proposal,
or other solicitation may be cancelled, or any or all proposals may
be rejected in whole or in part as may be specified in the solicitation,
when it is for good cause and in the best interests of the County.
The reasons therefor shall be made part of the contract file. Each
solicitation issued by the County shall state that the solicitation
may be cancelled and that any bid or proposal may be rejected in whole
or in part for good cause when in the best interests of the County.
Notice of cancellation shall be sent to all businesses solicited.
The notice shall identify the solicitation, explain the reason for
cancellation and, where appropriate, explain that an opportunity will
be given to compete on any resolicitation or any future procurement
of similar items. Reasons for rejection shall be provided upon request
by unsuccessful bidders or offerors.
A.
Determination of nonresponsibility. If a bidder or
offeror who otherwise would have been awarded a contract is found
nonresponsible, a written determination of nonresponsibility, setting
forth the basis of the finding, shall be prepared by the Director
of Purchasing. The unreasonable failure of a bidder or offeror promptly
to supply information in connection with an inquiry with respect to
responsibility may be grounds for a determination of nonresponsibility
with respect to such bidder or offeror. The final determination shall
be made part of the contract file and be made a public record.
B.
Right of nondisclosure. To the extent possible under
the New York State Freedom of Information Law (FOIL), information
furnished by a bidder or offeror pursuant to this section shall not
be disclosed by the County outside of the office of the Director of
Purchasing, or using agency, without prior written consent of the
bidder or offeror.
A.
Required submissions relating to the award of contracts. A prospective contractor shall submit cost or pricing data when the contract is expected to exceed $100,000 and is to be awarded by competitive sealed proposals (§ 140-3.2, Competitive sealed proposals), or by sole source procurement authority (§ 140-3.8, Sole source procurement).
B.
Exceptions. The submission of cost or pricing data
relating to the award of a contract is not required when:
C.
Required submissions relating to change orders or
contract modifications. A contractor shall submit cost or pricing
data prior to the pricing of any change order or contract modification,
including adjustments to contracts awarded by competitive sealed bidding,
whether or not cost or pricing data was required in connection with
the initial pricing of the contract, when the change or modification
involves aggregate increases or aggregate decreases in costs plus
applicable profits that are expected to exceed 10% of the original
contract amount.
D.
Exceptions. The submission of cost or pricing data
relating to the pricing of a change order or contract modification
is not required when unrelated and separately priced adjustments for
which cost or pricing data would not be required are consolidated
for administrative convenience.
E.
Certification required. A contractor, actual or prospective,
required to submit cost or pricing data in accordance with this section,
shall certify that, to the best of its knowledge and belief, the cost
or pricing data submitted was accurate, complete, and current as of
a mutually specified date prior to the award of the contract or the
pricing of the change order or contract modification.
F.
Price adjustment provision required. Any contract
award, change order, or contract modification under which the submission
and certification of cost or pricing data are required shall contain
a provision stating that the price to the County of Rockland, including
profit or fee, shall be adjusted to exclude any significant sums by
which the County of Rockland finds that such price was increased because
the contractor-furnished cost or pricing data that was inaccurate,
incomplete, or not current as of the date agreed upon between the
County of Rockland and the contractor.
A cost analysis or a price analysis, as appropriate, shall be conducted prior to award of the contract other than one awarded under § 140-3.1 (Competitive sealed bidding). A written record of such cost analysis or price analysis shall be made a part of the contract file.
[Added 5-4-2021 by Res.
No. 177-2021]
A.
Conditions for use. All purchase contracts of the County of Rockland
to be awarded by best value shall be awarded by a request for competitive
offers.
B.
For this purpose, the term "purchase contract" includes contracts
for commodities, materials, supplies, equipment and service work,
but excludes contracts necessary for the completion of a public works
contract covered by the prevailing wage provisions of Article 8 of
the Labor Law, such as for building construction.
C.
If minority and women-owned business enterprise ("MWBE"), small business
or nonprofit status requirements are of a concern to the County regarding
procurement; or if the funding source (federal or state) prefers the
best value award methodology; the best value award methodology may
be used.
D.
If the product or service has been previously purchased by the County
through a competitive bid, awarded to the lowest responsible bidder,
it shall continue to be purchased in that manner unless issues regarding
quality, efficiency or the ability to attract a sufficient number
of bidders has been documented from previous purchases.
E.
A determination in writing by the Director of Purchasing and Department
Head (copies to the County Executive, Chairperson of the Legislature,
County Attorney and Procurement File) detailing the reasons why a
best value award is appropriate; the reasons it will benefit the County;
and specifying the evaluation criteria to be included in the solicitation
shall be included in the procurement record prior to the issuance
of the request for competitive offers.
(1)
Should the Purchasing Division and County department elect to
issue a request for competitive offers, to be awarded on the basis
of best value, the Purchasing Division shall notify the Rockland County
Legislature upon issuing the solicitation.
(2)
Where the basis for award is the best-value offer, the Purchasing
Division and department head shall document, in the procurement record
and in advance of initial receipt of offers, the determination of
the evaluation criteria, which shall be objective and quantifiable,
and the process to be used in the determination of best value and
the manner in which the evaluation process and selection shall be
conducted.
F.
Examples of best value evaluation criteria that may be utilized include,
but are not limited to:
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Best Value Evaluation Criteria
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Purchase price
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Financing charges (if applicable)
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NYS MWBE and small business certification or participation (required
by many grants)
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Veteran-owned business (required by many grants)
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Nonprofit status of bidder (local nonprofit contracts)
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Local economic impact
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Storage, maintenance, insurance, and other operational costs
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Disposal fees
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Added services at no additional cost to the County
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Buy America provision
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Product warranty
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Product energy usage (includes water if applicable)
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Product or service satisfaction of performance requirements
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Product or service environmental considerations
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Proposed schedule/delivery time frame
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Additional training costs to be incurred by the County
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Compatibility of proposed equipment and current equipment, operational
issues related to necessary retrofitting and costs (if any) of spare
parts inventory necessary
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Contractor experience with similar projects
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Contractor's record of completion on schedule or on-time delivery
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Contractor's record of compliance with material and workmanship
requirements
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Contractor's record of timely and accurate submittals
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Contractor's record of safety
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Contractor's hours of operation for obtaining technical assistance
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G.
Invitation for offers. A request for competitive offers shall be
issued and shall include specifications and all contractual terms
and conditions applicable to the procurement. The best value specification
shall describe the general manner in which the evaluation and award
of offers will be conducted and identify the relative importance or
weighting of price and nonprice factors.
H.
Public notice. Adequate public notice of the invitation for offers
shall be given, not less than 30 calendar days prior to the date set
forth therein for the opening of bids, unless it is determined by
the Director of Purchasing, in writing, that a public notice of less
than 30 days is adequate. In no instance shall the public notice be
less than five business days. Such notice shall include publication
in the newspaper(s) of general circulation as designated by the County
Legislature. The public notice shall state the place, date, and time
of the bid opening.
I.
Offer opening. Offers shall be opened publicly in the presence of one or more witnesses at the time and place designated in the invitation for offers. The amount of each offer, and such other relevant information as the Director of Purchasing deems appropriate, together with the name of each offeror, shall be recorded; the record and each offer shall be open to public inspection in accordance with § 140-1.6 (Public access to procurement information).
J.
Offer acceptance and offer evaluation. Offers shall be unconditionally
accepted without alteration or correction, except as authorized in
this policy. Offers shall be evaluated based on the requirements set
forth in the invitation for offers, which may include criteria as
provided in Subsection F. Those criteria that will affect the bid
price and be considered in evaluation for award shall be objectively
and quantifiably measurable. The invitation for offers shall set forth
the evaluation criteria to be used. Only criteria set forth in the
invitation for offers may be used in the evaluation process.
K.
Correction or withdrawal of offers; cancellation of awards. Correction
or withdrawal of inadvertently erroneous offers before or after offer
opening, or cancellation of awards or contracts based on such offer
mistakes, may be permitted where appropriate. Mistakes discovered
before offer opening may be modified or withdrawn by written notice
received in the office designated in the invitation for bids prior
to the time set for offer opening. After offer opening, correction
of offers shall not be permitted. After offer opening, no changes
in offer prices or other provisions of offers prejudicial to the interest
of the County or fair competition shall be permitted. In lieu of offer
correction, an offerer alleging a material mistake of fact may be
permitted to withdraw his offer if:
(1)
The mistake is clearly evident on the face of the offer document,
but the intended correct offer is not similarly evident; or
(2)
The offerer submits evidence that clearly and convincingly demonstrates
that a mistake was made. All decisions to permit correction or withdrawal
of offers, or to cancel awards or contracts based on offer mistakes,
shall be supported by written determination made by the Director of
Purchasing.
L.
Cost-benefit analysis required. The decision to award a contract
on the basis of best value must be based on objective and quantifiable
analysis, such as a cost-benefit analysis, whenever possible. In evaluating
and determining to accept a higher priced offer, the Purchasing Division
and County department shall use a cost-benefit analysis to show quantifiable
value or savings from nonprice factors that offset the price differential
of the lower price offers.
M.
Award. If the Purchasing Division and County department elect to
award a purchase contract on the basis of best value, the Purchasing
Division and County department must be prepared to show that: (1)
the offerer is responsive and responsible; and (2) the Purchasing
Division and County department applied objective and quantifiable
standards to determine that the offer optimizes quality, cost and
efficiency.
N.
Legislature notification of best value award required. If the Purchasing
Division elects to award a purchase contract on the basis of best
value, the Purchasing Division shall give the County Legislature notice
of such intent at least two weeks prior to issuance of the request
for competitive offers, and upon award of the contract.
O.
Receipt of offers.
(1)
Offers are to be packaged, sealed and submitted to the location
stated in the specifications. Offerers are solely responsible for
timely delivery of their offers to the location set forth in the specification
prior to the stated offer opening date/time; or
(2)
If authorized by the offer specification, offers may be submitted
in an electronic format. Submission in an electronic format may not,
however, be required as the sole method for the submission of offers,
with the exception of offers and proposals for technology contracts
only.
(a)
The receiving device will be designated by the County of Rockland
Purchasing Division and will be identified in the offer specification.
Receiving devices will:
(b)
The timely submission of an electronic offer in compliance with
instructions provided for such submission in the advertisement for
offers and/or specifications shall be the responsibility solely of
each offerer or prospective offerer. The County shall not incur any
liability from delays of or interruptions in the receiving device
designated for the submission and receipt of electronic offers.
(3)
For purposes of this policy, "sealed bids," "sealed proposals"
and "sealed offers," as those terms apply to purchase contracts (including
contracts for service work, but excluding any purchase contracts necessary
for the completion of a public works contract pursuant to Article
8 of the Labor Law), shall include bids, proposals and offers submitted
in an electronic format, including submission of the statement of
noncollusion required by § 103-d of the General Municipal
Law.
P.
As a part of the annual report required by The Laws of Rockland County, Administrative Code, § 5-72, the Director of Purchasing shall provide the County Legislature with an annual report describing each bid awarded under the best value method provided for in this section.
Q.
The authorization to use best value award methodology for purchase
contracts shall expire automatically on December 24, 2026, unless
further extended by the legislature by mere resolution.
[Amended 6-4-2024 by Res. No. 342-2024]
A.
Bid and performance bonds or other security may be
requested for supply contracts or service contracts as the Director
of Purchasing or head of a using agency deems advisable to protect
the County of Rockland's interests. Any such bonding requirements
shall be set forth in the solicitation. Bid or performance bonds shall
not be used as a substitute for a determination of a bidder's or offeror's
responsibility.
B.
The County reserves its right to approve the form,
sufficiency, or manner of execution of surety bonds and contracts
of insurance furnished by the surety company selected by the bidder
to underwrite such bonds or contracts. In addition, all surety companies
shall be licensed by the State of New York and have a Best's rating
on bonds and contracts of insurance of an A - or better.
C.
In addition, the County reserves the right to approve
or reject the contractor's proposed surety company. The County shall
notify potential bidders, as part of the bid solicitation, of any
surety company that has been deemed unacceptable to the County.
A.
General authority. Subject to the limitations of this
section, any type of contract which is appropriate to the procurement
and which will promote the best interests of the County of Rockland
may be used. A cost reimbursement contract may be used only when a
determination is made in writing that such contract is likely to be
less costly to the County of Rockland than any other type or that
it is impracticable to obtain the supply, service, or construction
item required under such a contract.
B.
Multiterm contracts.
(1)
Specified period. Unless otherwise provided
by law, a contract for supplies or services may be entered into for
any period of time deemed to be in the best interests of the County
of Rockland, provided the term of the contract and conditions of renewal
or extension, if any, are included in the solicitation and funds are
available for the first fiscal period at the time of contracting.
Payment and performance obligations for succeeding fiscal periods
shall be subject to the availability and appropriations of funds thereafter.
(2)
Determination prior to use. Prior to the utilization
of a multiterm contract, it shall be determined in writing that:
(3)
Cancellation due to unavailability of funds
in succeeding fiscal periods. When funds are not appropriated or otherwise
made available to support continuation of performance in a subsequent
fiscal period, the contract shall be cancelled.
C.
Multiple source contracting.
(1)
General. A multiple source award is an award
of an indefinite quantity contract for one or more similar supplies
or services to more than one bidder or offeror. The obligation to
order the County of Rockland's actual requirements is limited by the
provision of Uniform Commercial Code Section 2-306(1).
(2)
Limitations on use. A multiple source award may be made when award to two or more bidders or offerors for similar products is necessary for adequate delivery, service, or product compatibility. Any multiple source award shall be made in accordance with the provisions of § 140-3.1 (Competitive sealed bidding), § 140-3.2 (Competitive sealed proposals), § 140-3.6 (small purchases), and § 140-3.9 (Emergency procurements), as applicable. Multiple source awards shall not be made when a single award will meet the County of Rockland's needs without sacrifice of economy or service. Awards shall not be made for the purpose of dividing the business, making available product or supplier selection to allow for user preference unrelated to utility or economy, or avoiding the resolution of tie bids. Any such awards shall be limited to the least number of suppliers necessary to meet the actual requirements.
(3)
Contract and solicitation provisions. All eligible
users of the contract shall be named in the solicitation, and it shall
be mandatory that the actual requirements of such users that can be
met under the contract be obtained in accordance with the contract,
provided that:
(a)
The County of Rockland shall reserve the right
to take bids separately if a particular quantity requirement arises
which exceeds its normal requirement or an amount specified in the
contract; and
(b)
The County of Rockland shall reserve the right
to take bids separately if the Director of Purchasing approves a finding
that the supply or service available under the contract will not meet
a nonrecurring special need of the County of Rockland.
(4)
Intent to use. If a multiple source award is
anticipated prior to issuing a solicitation, the County of Rockland
shall reserve the right to make such an award, and the criteria for
award shall be stated in the solicitation.
(5)
Determination required. The Director of Purchasing
shall make a written determination setting forth the reasons for a
multiple source award, which shall be made a part of the procurement
file.
D.
Multiple source contracting: purchase of office furnishings
by percentage discount awards.
(1)
General. A multiple source award for office
furnishings is an award of an indefinite quantity contract on one
or more office furnishings manufacturer's product lines to more than
one bidder or offeror. The obligation to order the County of Rockland's
actual requirements is limited by the provisions of Uniform Commercial
Code Section 2-306(1).
(2)
Limitations of use. A multiple source award may be made when award to two or more bidders or offerors for similar product lines is necessary for adequate delivery, service or product compatibility. All multiple source awards shall be made in accordance with the provisions of § 140-3.1 (Competitive sealed bidding), § 140-3.2 (Competitive sealed proposals), § 140-3.6 (small purchases), and § 140-3.9 (Emergency procurements), as applicable. Multiple source awards shall not be made when a single award will meet the County of Rockland's needs without sacrifice of economy or service. Awards shall not be made for the purpose of dividing the business, making available product or supplier selection to allow for user preference unrelated to utility or economy, or avoiding the resolution of tie bids. Any such awards shall be limited to the least number of suppliers necessary to meet actual requirements.
(3)
Contract and solicitation provisions. Specifications
shall be drafted to include and utilize a "mini-bid" system to ensure
that the County receives the best value for dollars expended.
(4)
Mini-bid procurement process. The Purchasing
Division shall issue bids for discounts off of manufacturers' product
lines and suggested retail price list. Award will be made by product
line to the bidder offering the highest discount. Departments may
request a specific brand and item based on the bid awards made. The
Purchasing Division shall review the requested requisition and obtain
a minimum of three additional quotations from a minimum of three additional
contract vendors for an "equivalent" item from other manufacturers.
The Purchasing Division shall review all of the mini-bid quotations
and select the vendor/manufacturer that meets the form, function,
utility and quality of the requesting agency, and also offers the
lowest price.
(5)
Waiver of mini-bid procurement process. The
Director of Purchasing may waive the requirement of the mini-bid process
for those procurements that are additions to and alterations of existing
systems furniture groups. The reasons for such waiver shall be documented
in writing and made part of the procurement record.
E.
Design service contracts for office furnishings.
(1)
General. The Commissioner of General Services
or his/her designee, or the Director of Facilities Management, may
enter into separate contracts for design services or space planning
services as deemed necessary for a particular project.
[Amended 2-6-2024 by Res. No. 97-2024]
(3)
Contract and solicitation provisions. All solicitations
and contracts for design services and space planning services shall
include the following requirements:
(a)
All specifications prepared under this contract
shall be drafted so as to promote overall economy for the purpose
intended and encourage competition in satisfying the County's needs
and shall not be unduly restrictive. Design service contractors are
prohibited from recommending or specifying any manufacturer's products
or brand names in their plans and specifications if the design services
contractor currently holds a bid award for that product line/manufacturer
with the County of Rockland.
(b)
When brand names are used in the plans and specifications
developed by the contractor, the contractor shall identify a minimum
of three brand names that will satisfy the requirements of the plans
and specifications.
A.
Contract clauses. All County of Rockland contracts
for supplies, services, materials and equipment, as well as public
works projects, shall include provisions necessary to define the responsibilities
and rights of the parties to the contract. The Director of Purchasing,
after consultation with the County Attorney, may issue clauses appropriate
for supply, service, or public works contracts, addressing, among
others, the following subjects:
(1)
The unilateral right of the County of Rockland
to order in writing the changes in the work within the scope of the
contract;
(2)
The unilateral right of the County of Rockland
to order in writing temporary stopping of the work or delaying performance
that does not alter the scope of the contract;
(3)
Variations occurring between estimated quantities
of work in contract and actual quantities;
(4)
Defective pricing;
(5)
Liquidated damages;
(6)
Specified excuses for delay or nonperformance;
(7)
Termination of the contract for default;
(8)
Termination of the contract in whole or in part
for the convenience of the County of Rockland;
(9)
Suspensions of work on a construction project
or by the County of Rockland; and
(10)
Site conditions differing from those indicated
in the contract, or ordinarily encountered, except that a differing
site conditions clause need not be included in a contract:
B.
Price adjustments.
(1)
Adjustments in price resulting from the use of contract clauses required by Subsection A of this section shall be computed in one or more of the following ways:
(a)
By agreement on a fixed price adjustment before
commencement of the pertinent performance or as soon thereafter as
practicable;
(b)
By unit prices specified in the contract or
subsequently agreed upon;
(c)
By the costs attributable to the events or situations
under such clauses with adjustment of profit or fee, all as specified
in the contract or subsequently agreed upon;
(d)
In such other manner as the contracting parties
may mutually agree.
C.
Standard clauses and their modification. The Director of Purchasing, after consultation with the County of Rockland County Attorney, may establish standard contract clauses for use in County of Rockland contracts. If the Director of Purchasing establishes any standard clauses addressing the subjects set forth in Subsection A of this section, such clauses may be varied, provided that any variations are supported by a written determination that states the circumstances justifying such variations, and provided that notice of any such material variation be stated in the invitation for bids or requests for proposals.
[Amended 11-18-2008 by Res. No. 565-2008]
A contract administration system designed to
insure that a contractor is performing in accordance with the solicitation
under which the contract was awarded, and the terms and conditions
of the contract, shall be maintained. The Contract Administration
Policy is prescribed in Article XII of this chapter.
Except with respect to firm fixed-price contracts,
no contract shall be awarded unless it has been determined in writing
by the Director of Purchasing that:
A.
The proposed contractor's accounting system will permit
timely development of all necessary cost data in the form required
by the specific contract type contemplated; and
B.
The proposed contractor's accounting system is adequate
to allocate costs in accordance with generally accepted cost accounting
principles.
The County of Rockland may, at reasonable times,
inspect the part of the plant, place of business, or worksite of a
contractor or subcontractor at any tier which is pertinent to the
performance of any contract awarded or to be awarded by the County
of Rockland.
A.
Audit of cost or pricing data. The County of Rockland may at reasonable times and places, audit the books and records of any contractor who has submitted cost or pricing data pursuant to § 140-3.12 (Cost or pricing data) to the extent that such books, documents, papers, and records are pertinent to such cost or pricing data. Any person who receives a contract, change order, or contract modification for which cost or pricing data is required shall maintain such books, documents, papers, and records that are pertinent to such cost or pricing data for three years from the date of final payment under the contract.
B.
Contract audit. The County of Rockland shall be entitled
to audit the books and records of a contractor or subcontractor at
any tier under any negotiated contract or subcontract other than a
form fixed-price contract to the extent that such books, documents,
papers, and records are pertinent to the performance of such a contract
or subcontract. Such books and records shall be maintained by the
contractor for a period of three years from the date of final payment
under the contract and by the subcontractor for a period of three
years from the date of final payment under the subcontract.
When for any reason collusion or other anti-competitive
practices are suspected among any bidders or offerors, a notice of
the relevant facts shall be transmitted to the State Attorney General,
County Attorney and District Attorney.
A.
Contract file. All determinations and other written
records pertaining to the solicitation, award, or performance of a
contract shall be maintained by the County of Rockland in a contract
file by the Director of Purchasing.
B.
Retention of procurement records. All procurement
records shall be retained and disposed of by the County of Rockland
in accordance with record retention guidelines and schedules approved
by the State of New York.
[Added 4-19-2017 by Res.
No. 195-2017]
A.
Except as otherwise provided herein, with respect to any contracts
for goods or services subject to this policy that are awarded pursuant
to competitive bids or proposals, the County of Rockland Director
of Purchasing shall not award or recommend award of a contract to
a contractor which does not agree to execute a certification in substantially
the following form:
CERTIFICATE REGARDING BOYCOTT, DIVEST AND SANCTIONS (BDS) ACTIVITIES
The contractor and any individual or legal entity in which the
contractor holds a 10% or greater ownership interest and any individual
or legal entity that holds a 10% or greater ownership interest in
the contract does not engage in any boycott, divest and sanctions
(BDS) activities.
B.
For purposes of this section, "boycott, divest and sanctions (BDS)
activities" shall mean advocating for the boycott of Israel, disinvestment
from Israel and international sanctions against Israel, and otherwise
engaging in, promoting or supporting the global campaign to increase
economic and political pressure on Israel to comply with the stated
goals of the BDS movement.
C.
The contractor shall agree that the warranties and representations in Subsection A above are material conditions of the contractor's contract with the County of Rockland. If the County of Rockland Director of Purchasing receives information that the contractor is in violation of § 140-3.23A above, the County of Rockland Director of Purchasing shall review such information and give the contractor opportunity to respond. If the County of Rockland Director of Purchasing finds that such a violation has occurred, the County may declare the contractor in default and/or terminate this agreement. In the event of any such termination, the County may procure the supplies, services or work from another source in accordance with applicable law. The contractor shall pay to the County the difference between the contract price for the uncompleted portion of this agreement and the cost to the County of completing performance of this agreement either by itself or by engaging another contractor. If this is a contract other than a construction contract, the contractor shall be liable for the difference in price if the cost of procurement from another source is greater than what the County would have paid the contractor plus any reasonable costs the County incurs in any new procurement, and if this is a construction contract, the County shall also have the right to hold the contractor in partial or total default in accordance with the default provisions of this agreement. In addition, the contractor may be declared not to be a responsible bidder or proposer for up to three years following written notice to the contractor, giving the contractor the opportunity for a hearing at which the contractor may be represented by counsel. The rights and remedies of the County hereunder shall be in addition to, and not in lieu of, any rights and remedies the County has pursuant to this agreement or by operation of law or in equity.
D.
The County of Rockland Director of Purchasing may waive the provision
of this section if he or she determines that the goods, services or
construction to be contracted for are necessary for the performance
of the functions of the department that the procurement officer represents
and that there is no other responsible contractor capable of supplying
comparable goods, services or construction at a comparable price.
Such determination shall be made in writing and maintained in the
procurement file.
E.
Upon receiving information that a contractor that has executed the
stipulation required herein is in violation thereof, the County of
Rockland Director of Purchasing shall review such information and
offer the contractor an opportunity to respond. If the procurement
officer finds that a violation has occurred, that officer shall take
such action as may be appropriate and provided for by law, rule or
contract, including, but not limited to, imposing sanctions, seeking
compliance, recovering damages, declaring the contractor in default
and/or seeking debarment or suspension of the contractor.
All specifications shall be drafted so as to
promote overall economy for the purposes intended and encourage competition
in satisfying the County of Rockland's needs, and shall not be unduly
restrictive. The policy enunciated in this section applies to all
specifications, including, but not limited to, those prepared for
the County of Rockland by architects, engineers, designers, and draftsmen.
A.
Use. Brand name or equal specifications may be used
when the Director of Purchasing determines in writing that:
(1)
No other design or performance specification is available;
(2)
Time does not permit the preparation of another form
of purchase description, not including a brand name specification;
(3)
The nature of the product or the nature of the County
of Rockland's requirements makes use of a brand name or equal specification
suitable for the procurement; or
(4)
Use of a brand name or equal specification is in the
County of Rockland's best interests.
B.
Designation of several brand names. Brand name or
equal specifications shall seek to designate three, or as many different
brands as are practicable, as "or equal" references and shall further
state that substantially equivalent products to those designated will
be considered for award.
C.
Required characteristics. Unless the Director of Purchasing
determines in writing that the essential characteristics of the brand
names included in the specifications are commonly known in the industry
or trade, brand name or equal specifications shall include a description
of the particular design, functional, or performance characteristics
that are required.
D.
Nonrestrictive use of brand name or equal specifications.
Where a brand name or equal specification is used in a solicitation,
the solicitation shall contain explanatory language that the use of
a brand name is for the purpose of describing the standard of quality,
performance, and characteristics desired and is not intended to limit
or restrict competition.
A.
Use. Since use of a brand name specification is restrictive
of product competition, it may be used only when the Director of Purchasing
makes a written determination that only the identified brand name
item or items will satisfy the County of Rockland's needs. After the
Director of Purchasing prepares the written determination, a request
shall be forwarded to the County Legislature to pass a standardization
resolution. Under no circumstances shall any solicitation offered
by the County contain only one brand name, without allowing for "or
equal" products, unless a standardization resolution has been passed
by the County Legislature.
B.
Competition. The Director of Purchasing shall seek to identify sources from which the designated brand name item or items can be obtained and shall solicit such sources to achieve whatever degree of price competition is practicable. If only one source can supply the requirement, the procurement shall be made under § 140-3.8 (Sole source procurement).
[Amended 2-6-2024 by Res. No. 97-2024]
The Commissioner of General Services, Director
of Facilities Management, Highway Superintendent, Drainage Agency
Chairman, Executive Director of the Rockland County Sewer District
No. 1., or their designee shall have discretion to select the appropriate
method of construction contracting management for a particular project
in consultation with the Department of Law and the Department of General
Services Purchasing Division. In determining which method to use,
the Commissioner of General Services, Director of Facilities Management,
Highway Superintendent, Drainage Agency Chairman, Executive Director
of the Rockland County Sewer District No. 1, or his/her designee shall
consider the County of Rockland's requirements, its resources, and
the potential contractor's capabilities. The Commissioner of General
Services, Director of Facilities Management, Highway Superintendent,
Drainage Agency Chairman, Executive Director of the Rockland County
Sewer District No. 1 or his/her designee shall execute and include
in the contract file a written statement setting forth the facts which
led to the selection of a particular method of construction management
for each project.
A.
Requirement for bid security. Bid security may be
required for all competitive sealed bidding for public works contracts
when the Director of Purchasing estimates the expenditure to exceed
$35,000. Bid security shall be a bond provided by a surety company
authorized to do business in New York State, cashier's check, certified
check, or the equivalent in cash. Nothing herein shall prevent the
requirement of such bonds on public works contracts $35,000 or less
when the circumstances warrant.
[Amended 12-7-2010 by Res. No. 612-2010; 2-6-2024 by Res. No. 97-2024]
B.
Amount of bid security. Bid security shall be in an
amount equal to at least 5% of the amount of the bid.
C.
Rejection of bids for noncompliance with bid requirements.
When the invitation for bids requires security, noncompliance requires
that the bid be rejected unless it is determined that the bid fails
to comply only in a nonsubstantial manner with the security requirements.
A.
When required; amounts. When a public works, excluding
time and material repair contracts, is awarded in excess of $75,000,
the following bonds or security shall be required to be delivered
to the County of Rockland and shall become binding on the parties
upon the execution of the contract:
[Amended 12-7-2010 by Res. No. 612-2010; 2-6-2024 by Res. No. 97-2024]
(1)
A performance bond made payable to the County of Rockland,
executed by a surety company authorized to do business in the State
of New York or otherwise secured in a manner satisfactory to the County
of Rockland, in an amount equal to 100% of the price specified in
the contract; and
(2)
A labor and materials payment bond made payable to
the County of Rockland, executed by a surety company authorized to
do business in the State of New York or otherwise secured in a manner
satisfactory to the County of Rockland, for the protection of all
persons supplying labor and material to the contractor or its subcontractors
for the performance of the work provided in the contract. The bond
shall be in an amount equal to 100% of the price specified in the
contract.
B.
Authority to require additional bonds. Nothing in this section shall be construed to limit the authority of the County of Rockland to require a performance bond or other security in addition to those bonds, or in circumstances other than specified in Subsection A of this section.
C.
Suits on payment bonds: right to institute. Unless
otherwise authorized by law, any person who has furnished labor or
material to the contractor or subcontractors for the work provided
in the contract, for which a payment bond is furnished in this section,
and who has not been paid in full within 90 days from the date on
which that person performed the last of the labor or supplied the
material, shall have the right to sue on the payment bond for any
amount unpaid at the time the suit is instituted and to prosecute
the action for the amount due to that person. However, any person
having a contract with a subcontractor of the contractor, but no express
or implied contract with the contractor furnishing the payment bond,
shall have a right of action upon the payment bond upon giving written
notice to the contractor within 90 days from the date on which that
person performed the last of the labor or supplied the material. That
person shall state in the notice the amount claimed and the name of
the party to whom the material was supplied or for whom the labor
was performed. The notice shall be served personally or by registered
or certified mail, postage prepaid, in an envelope addressed to the
contractor at any place the contractor maintains an office or conducts
business.
D.
Suits on payment bonds; where and when brought. Unless
otherwise authorized by law, every suit instituted upon a payment
bond shall be brought in a court of competent jurisdiction for the
county in which the public works contract was to be performed.
Any person may request and obtain from the County
of Rockland a certified copy of a bond upon payment of the cost of
reproduction of the bond and postage, if any. A certified copy of
a bond shall be prima facie evidence of the contents, execution, and
delivery of the original.
[Amended 2-6-2024 by Res. No. 97-2024]
Every contract modification, change order, or
contract price adjustment in excess of $100,000 under a construction
contract with the County of Rockland shall be subject to prior approval
by the County Legislature after receiving a report from the Commissioner
of General Services, Director of Facilities Management, Highway Superintendent,
Drainage Agency Chairman, Executive Director of the Rockland County
Sewer District No. 1 or his/her designee as to the effect of the contract
modification, change order, or contract price adjustment on the total
project budget or the total contract budget.
[Amended 2-6-2024 by Res. No. 97-2024]
A.
Public announcement. It is the policy of the County of Rockland to
announce publicly all requirements for architect-engineer and land
surveying services and to negotiate such contracts based on demonstrated
competence and qualifications at fair and reasonable prices. The Department
of General Services will publicly solicit, award, and maintain a qualified
suppliers list for architect-engineer and land surveying services.
In the procurement of the architect-engineer and land surveying services,
the Commissioner of General Services, Director of Facilities Management,
Highway Superintendent, Drainage Agency Chairman, Executive Director
of the Rockland County Sewer District No 1 or his/her designee shall
request firms to submit a statement of qualifications and performance
data for contracts $75,000 or less.
B.
Selection process. A selection committee composed of three members
of the agency requesting the contract and may include the Commissioner
of General Services, Director of Facilities Management or Highway
Superintendent, Drainage Agency Chairman, or Executive Director of
the Rockland County Sewer District No. 1 or their designee. The head
of a using agency in need of the architect-engineer or land surveying
services shall conduct discussions with no less than three firms regarding
the proposed contract and the relative utility of alternative methods
of approach for furnishing the required services and shall select
from among them one of the firms deemed most qualified to provide
the required services. The selection shall be made in order of preference,
based on criteria established and published by the selection committee.
C.
Qualified supplier list (QSL). The Purchasing Division may establish
a qualified suppliers list for architectural and engineering services
by issuing a request for proposal to inform the private sector of
the potential business opportunity to provide architect and engineering
services for public works construction related projects for the following
agencies: Rockland County Sewer District No. 1, Rockland County Highway
Department, Rockland County Drainage Agency, Department of General
Services Facilities Management Division and other county departments
as necessary. Qualified supplier list shall have a term not to exceed
24 months.
(1)
There will be four separate qualified suppliers lists developed
from the award of the RFP. One list for each of the following agencies;
however, any agency may utilize a firm awarded a contract in accordance
with the RFP to perform needed services.
(2)
The qualified suppliers to list will be used for assigning work
valued at $75,000 or less, quoting work valued over $75,000 to $150,000
(a minimum of three written proposals shall be obtained by the using
agency from firms on the QSL), and for quoting work valued over $150,000
to $250,000 (proposals obtained by the Purchasing Division by contracting
all firms on the corresponding QSL for that agency). For projects
in excess of $250,000, a separate project specific request for proposal
shall be issued.
(3)
The County will enter into separate contracts for each project.
Change orders to the original contract amounts will be limited based
on the original value of the contract. A contract assigned to a firm
on the qualified suppliers list, with an original value of $75,000
or less, will not be permitted to exceed the $75,000 limit. A contract
awarded based on quotes received from the user agency with an original
contract over $75,000 to $150,000 will not be permitted to exceed
$150,000. A contract awarded based on quotes received by the Purchasing
Division, with an original contract value over $150,000 to $250,000,
will not be permitted to exceed $250,000.
D.
Negotiation. The Director of Purchasing, Commissioner of General
Services, Director of Facilities Management, Highway Superintendent
Drainage Agency Chairman, Executive Director of the Rockland County
Sewer District No. 1, or their designee shall negotiate a contract
with the firm considered to be the most qualified for architect-engineer
or land surveying services at compensation which the user agency determines
in writing to be fair and reasonable to the County of Rockland. In
making this decision, the Director of Purchasing, Commissioner of
General Services, Director of Facilities Management, Highway Superintendent,
Drainage Agency Chairman, Executive Director of the Rockland County
Sewer District No. 1, or his/her designee shall take into account
the estimated value, the scope, the complexity, and the professional
nature of the services to be rendered. Should the Director of Purchasing,
Commissioner of General Services, Director of Facilities Management,
Highway Superintendent, Drainage Agency Chairman, Executive Director
of the Rockland County Sewer District No. 1, or their designee be
unable to negotiate a satisfactory contract with the firm considered
to be the most qualified at a price that they or their designee determines
to be fair and reasonable to the County of Rockland, negotiations
with that firm shall be formally terminated. The Director of Purchasing,
Commissioner of General Services, Director of Facilities Management,
Highway Superintendent, Drainage Agency Chairman, Executive Director
of the Rockland County Sewer District No. 1, or his/her designee shall
then undertake negotiations with the second most qualified firm. Failing
accord with the second most qualified firm, the Director of Purchasing,
Commissioner of General Services, Director of Facilities Management,
Highway Superintendent, Drainage Agency Chairman, Executive Director
of the Rockland County Sewer District No. 1, or designee shall formally
terminate negotiations. The Director of Purchasing, Commissioner of
General Services, Director of Facilities Management, Highway Superintendent,
Drainage Agency Chairman, Executive Director of the Rockland County
Sewer District No. 1, or designee shall then undertake negotiations
with the third most qualified firm. Should the County be unable to
negotiate a contract at a fair and reasonable price with any of the
selected firms, the selection committee shall select additional firms
in order of their competence and qualifications, and the Director
of Purchasing, Commissioner of General Services, Director of Facilities
Management, Highway Superintendent, Drainage Agency Chairman, Executive
Director of the Rockland County Sewer District No. 1 or their designee
shall continue negotiations in accordance with this section until
an agreement is reached.
[Added 8-1-2023 by Res. No. 371-2023]
A.
The policy of the county is that in each construction project with
an estimated cost in excess of $4,000,000, before soliciting competitive
bids, the County Executive and the appropriate agency head(s) must
conduct a feasibility study to explore and consider using a project
labor agreement to reduce construction costs, avoid delay claims and
potential litigation when the use of a project labor agreement is
rationally based upon reasons in the public interest promoted by the
New York State competitive bidding statutes.
B.
If the County Executive and the appropriate agency head(s) determine
to use a project labor agreement in a construction project, such determination,
including the feasibility study findings, must be recommended to the
Legislature for ratification by the Legislature.
C.
Feasibility studies shall be done by an independent consultant unless
otherwise authorized by the County Executive.
After reasonable notice to the person involved
and reasonable opportunity for that person to be heard, the Director
of Purchasing, after consultation with the County Attorney, is authorized
to debar a person for cause from consideration for award of contracts.
The debarment shall be for a period of not more than three years.
After consultation with the County Attorney, the Director of Purchasing
is authorized to suspend a person from consideration for award of
contracts if there is probable cause to believe that the person has
engaged in any activity that might lead to debarment. The suspension
shall be for a period not to exceed three years. The causes for debarment
include:
A.
Conviction for commission of a criminal offense as
an incident to obtaining or attempting to obtain a public or private
contract or subcontract, or in the performance of such a contract
or subcontract;
B.
Conviction under state or federal statutes of embezzlement,
theft, forgery, bribery, falsification or destruction of records,
receiving stolen property, or any other offense indicating a lack
of business integrity or business honesty which currently, seriously,
and directly affects responsibility as a County of Rockland contractor;
C.
Conviction under state or federal antitrust statutes
arising out of the submission of bids or proposals;
D.
Violation of contract provisions, as set forth below,
of a character which is regarded by the Director of Purchasing to
be so serious as to justify debarment action:
(1)
Deliberate failure, without good cause, to perform
in accordance with the specifications or within the time limit provided
in the contract; or
(2)
A recent record of failure to perform or of unsatisfactory
performance in accordance with the terms of one or more contracts;
provided that failure to perform or unsatisfactory performance caused
by acts beyond the control of the contractor shall not be considered
to be a basis for debarment;
E.
Any other cause the Director of Purchasing determines
to be so serious and compelling as to affect responsibility as a County
of Rockland contractor, including debarment by another governmental
entity for any cause listed in this policy; and
F.
For violation of the ethical standards set forth in
Article VIII (Ethics in Public Contracting).
The Director of Purchasing shall issue a written
decision to debar or suspend. The decision shall state the reasons
for action taken and inform the debarred or suspended person involved
of its rights concerning judicial or administrative review.
A copy of the decision required by § 140-6.2 (Decision to debar or suspend) shall be mailed or otherwise furnished immediately to the debarred or suspended person.
A decision under § 140-6.2 (Decision to debar or suspend) shall be final and conclusive, unless fraudulent, or unless the debarred or suspended person, within 10 days after receipt of the decision, takes an appeal to the County Executive or commences a timely action in court in accordance with applicable law.
A.
Right to protest. Any actual or prospective bidder,
offeror, or contractor who is aggrieved in connection with the solicitation
or award of a contract may protest to the County Executive. Protestors
are urged to seek resolution of their complaints initially with the
Director of Purchasing. A protest with respect to an invitation for
bids or request for proposals shall be submitted in writing prior
to the opening of bids or the closing date of proposals, unless the
aggrieved person did not know and should not have known of the facts
giving rise to such protest prior to bid opening or the closing date
for proposals. The protest shall be submitted within three calendar
days after such aggrieved person knows or should have known of the
facts giving rise thereto.
B.
Stay of procurements during protests. In the event of a timely protest under Subsection A of this section, the Director of Purchasing shall not proceed further with the solicitation or award of the contract until all administrative and judicial remedies have been exhausted or until the County Executive makes a determination on the record that the award of a contract without delay is necessary to protect substantial interests of the County of Rockland.
A.
Decision of the Director of Purchasing. All claims
by a contractor against the County of Rockland relating to a contract,
except bid protests, shall be submitted in writing to the Director
of Purchasing for a decision. The contractor may request a conference
with the Director of Purchasing on the claim. Claims include, without
limitation, disputes arising under a contract, and those based upon
breach of a contract, mistake, misrepresentation, or other causes
for contract modification or recission.
B.
Notice to the contractor of the Director of Purchasing's decision. The decision of the Director of Purchasing shall be promptly issued in writing, and shall be immediately mailed or otherwise furnished to the contractor. The decision shall state the reasons for the decision reached, and shall inform the contractor of its appeal rights under Subsection C of this section.
C.
Finality of Director of Purchasing's decision; contractor's
right to appeal. The Director of Purchasing's decision shall be final
and conclusive unless, within five calendar days from the date of
receipt of the decision, the contractor mails or otherwise delivers
a written appeal to the County Executive or commences an action in
a court of competent jurisdiction.
D.
Failure to render timely decision. If the Director
of Purchasing does not issue a written decision regarding any contract
controversy within 20 days after written request for a final decision,
or within such longer period as may be agreed upon between parties,
then the aggrieved party may proceed as if an adverse decision had
been received.
(Reserved)
The Director of Purchasing is authorized to
settle any protest regarding the solicitation or award of a County
of Rockland contract, or any claim arising out of the performance
of a County of Rockland contract, prior to an appeal to the County
Executive or the commencement of an action in a court of competent
jurisdiction.
A.
Prior to bid opening or closing date for receipt of
proposals. If, prior to the bid opening or closing date for receipt
of proposals, the Director of Purchasing, after consultation with
the County Attorney, determines that a solicitation is in violation
of federal, state, or municipal law, then the solicitation shall be
cancelled or revised to comply with applicable law.
B.
Prior to award. If, after bid opening or the closing
date for receipt of proposals, the Director of Purchasing, after consultation
with the County Attorney, determines that a solicitation or a proposed
award of a contract is in violation of federal, state, or municipal
law, then the solicitation or proposed award shall be cancelled.
C.
After award. If, after an award, the Director of Purchasing,
after consultation with the County Attorney, determines that a solicitation
or award of a contract was in violation of applicable law, then:
(1)
If the person awarded the contract has not acted fraudulently
or in bad faith:
(a)
The contract may be ratified and affirmed, provided
it is determined that doing so is in the best interests of the County
of Rockland; or
(b)
The contract may be terminated and the person
awarded the contract shall be compensated for the actual costs reasonably
incurred under the contract, plus a reasonable profit, prior to the
termination; or
(2)
If the person awarded the contract has acted fraudulently
or in bad faith, the contract may be declared null and void or voidable,
if such action is in the best interests of the County of Rockland.
To the extent that violations of the ethical
standards of conduct set forth in this article constitute violations
of any New York State or Rockland County law, they shall be punishable
as provided therein. Such penalties shall be in addition to the civil
sanctions set forth in this article. Criminal, civil, and administrative
sanctions against employees or nonemployees which are in existence
on the effective date of this policy shall not be impaired.
It shall be unethical for any County of Rockland
employee to participate directly or indirectly in a procurement contract
when the County employee knows that:
A.
The County of Rockland employee or any member of the
County employee's immediate family has a financial interest pertaining
to the procurement contract; or
B.
Any other person, business, or organization with which
the County employee or any member of a County employee's immediate
family is negotiating or has an arrangement concerning prospective
employment is involved in the procurement contract. A County of Rockland
employee or any member of a County employee's immediate family who
holds a financial interest in a disclosed blind trust shall not be
deemed to have a conflict of interest with regard to matters pertaining
to that financial interest.
A.
Gratuities. It shall be unethical for any person to
offer, give, or agree to give any County employee or former County
employee, or for any County employee or former County employee to
solicit, demand, accept, or agree to accept from another person, a
gratuity or an offer of employment in connection with any decision,
approval, disapproval, recommendation, or preparation of any part
of a program requirement or a purchase request, influencing the content
of any specification or procurement standard, rendering of advice,
investigation, auditing, or in any other advisory capacity in any
proceeding or application, request for ruling, determination, claim,
or controversy, or other particular matter, pertaining to any program
requirement or a contract or subcontract, or to any solicitation or
proposal therefor.
B.
Kickbacks. It shall be unethical for any payment,
gratuity, or offer of employment to be made by or on behalf of a subcontractor
under a contract to the prime contractor or higher tier subcontractor
or any person associated therewith, as an inducement for the award
of a subcontract or order.
C.
Contract clause. The prohibition against gratuities
and kickbacks prescribed in this section shall be conspicuously set
forth in every contract and solicitation therefor.
It shall be unethical for a person to be retained,
or to retain a person, to solicit or secure a County contract upon
an agreement or understanding for a commission, percentage, brokerage,
or contingent fee, except for retention of bona fide employees or
bona fide established commercial selling agencies for the purpose
of securing business.
It shall be unethical for any County employee
who is participating directly or indirectly in the procurement process
to become or to be, while such a County employee, the employee of
any person contracting with the governmental body by whom the employee
is employed.
The County Board of Ethics may grant a waiver from the employee conflict of interest provision (§ 140-8.2, Employee conflict of interest) or the contemporaneous employment provision (§ 140-8.5, Contemporaneous employment prohibited) upon making a written determination that:
A.
The contemporaneous employment or financial interest
of the County employee has been publicly disclosed;
B.
The County employee will be able to perform his/her
procurement functions without actual or apparent bias or favoritism;
and
C.
The award will be in the best interests of the County
of Rockland.
It shall be unethical for any County employee
or former County employee to knowingly use confidential information
for actual or anticipated personal gain, or for the actual or personal
gain of any other person.
No statute prescribes a procedure for the sale
of unneeded County personal property, and therefore, there is no statutory
mandate that such property be sold only after public advertisement
for sealed bids or advertisement for public auction. The method chosen
for sale is within the sound discretion of the Director of Purchasing,
subject to the approval of the County Executive. However, in order
to fill a fiduciary duty, the method of sale adopted should be one
which is thought to bring the best price or maximum benefits and may
include sale by either auction, private negotiation, or competitive
bidding.
The procedure for determining whether the disposition
of unneeded personal property should be subject to competitive bidding
or public auction is to obtain from a reputable, independent source
the estimated dollar value of the item(s) to be disposed. If the independent
estimate is more than $10,000, the item(s) to be disposed of should
be advertised for competitive bid sale or public auction. The estimate
obtained, indicating the source, date and amount, will be documented
as part of the disposition record.
A.
The methods of disposition to be used are as follows:
(1)
For dispositions with an estimated value greater than
$3,000 but less than or equal to $10,000, there shall be required
a written offer for sale and a written offer to purchase from three
suppliers;
(2)
For dispositions with an estimated value more than
$1,000 but less than or equal to $3,000, there shall be required a
verbal offer for sale and a verbal offer to purchase from three suppliers;
(3)
For dispositions with an estimated value less than
or equal to $1,000, the decision will be left to the discretion of
the Director of Purchasing.
(4)
For
dispositions of real property, excluding tax delinquent property,
a request for proposal process shall be utilized to solicit competitive
proposals.
[Added 2-6-2024 by Res. No. 97-2024]
B.
A good faith effort shall be made to obtain the required
number of offers to purchase. If the County is unable to obtain the
required number of offers to purchase, the attempts made shall be
documented and become part of the disposition record. In no event
will the inability to obtain the required number of offers to purchase
be a bar to the disposition.
C.
The above notwithstanding, the Director of Purchasing,
at his/her discretion, may require standards which exceed those presented
in this policy.
Documentation of actions taken in connection
with each method of disposition is required, as follows, and will
be maintained as part of the disposition record:
A.
Where a written offer for sale is required or made,
a copy of that written offer for sale, and any written offer for purchase
submitted by suppliers in response to that request.
B.
Where a verbal offer for sale is required or made,
a listing of the suppliers contacted and the response, if any, that
each supplier made.
C.
Any memorandums, forms, notations, or other documentation
used in establishing the basis of the disposition decision.
D.
No documentation, other than the independent estimate
itself, is required when the disposition is left to the discretion
of the Director of Purchasing.
Whenever any disposition is awarded to other
than the highest responsible dollar offerer, the reasons such an award
furthers the purpose of the County as set forth hereinabove shall
be documented by the Director of Purchasing and be maintained as part
of the disposition record.
The Legislature will set forth, by resolution,
circumstances when, or types of dispositions for which, in the sole
discretion of the governing body, the solicitation of alternative
offers to purchase will not be in the best interest of the County.
Such resolution will state the reasons for such conclusion, and will
become an attachment to the disposition record.
The County of Rockland's Department of Public
Transportation has established a Disadvantaged Business Enterprise
(DBE) Program in accordance with regulations of the U.S. Department
of Transportation (DOT), 49 CFR Part 26. The County of Rockland's
Department of Public Transportation has received federal financial
assistance from the Department of Transportation, and as a condition
of receiving this assistance, the County of Rockland's Department
of Public Transportation acknowledges that the requirements of 49
CFR Part 26, as amended, shall be complied with. It is the policy
of the County of Rockland and its Department of Public Transportation
to ensure that DBEs, as defined in Part 26, have an equal opportunity
to receive and participate in DOT-assisted contracts.
It is the policy of the County of Rockland and
its Department of Public Transportation to ensure that most current
FTA-required contract clauses will be used in all FTA-funded contracts
and that the FTA Website shall be checked prior to each procurement.
A.
Prior to authorization of mass transit funds from
the Highway Trust Fund for acquisition or implementation of Intelligent
Transportation Systems (ITS) projects, the County of Rockland, and
its Department of Public Transportation, shall self-certify with Sections
V and VI of the Federal Transit Administration National ITS Architecture
Policy on Transit Projects.
For purposes of the Procurement Policy of the
County of Rockland, a "small business" shall refer to any commercial
entity located physically within the geographic borders of the County
of Rockland that employs from zero up to and including nine employees,
including sole proprietorships, with a gross annual revenue of less
than $1,000,000.
The Department of Purchasing shall maintain
a small business registry. All small businesses shall, at any time
during the year, have the opportunity to be entered in the small business
registry.
A.
The registry shall record the name, address, phone
number, fax number, and e-mail address of the small business, as well
as a contact person and a general description of goods and/or services
available from each specific small business.
B.
Registrants will not be required to pay a registration
fee.
The Director of Purchasing or his agent shall
make reasonable efforts to inform registered small businesses of noncompetitive
bidding procurement opportunities for a period not to exceed three
business days from the beginning of the process to obtain the item
or service.
A.
The Director of Purchasing or his agent need only
make reasonable efforts to inform registrants whose goods and services
description indicates appropriateness, as determined by the discretion
of the Purchasing Department.
B.
This section shall be applied to procurements as follows
in accordance and compliance with the other provisions of this Procurement
Policy:
C.
Application of Article XI may be waived upon a written
declaration of necessity by the Director of Purchasing filed with
the Purchasing Department.
The Director of Purchasing shall develop and
implement procedures for the execution of this article.
[Added 11-18-2008 by Res. No. 565-2008]
The purpose of this procedure is to outline
the contract administration process for contracts entered into by
the County of Rockland.
As used in this article, the following terms
shall have the meanings indicated:
Management of all actions that must be taken to assure compliance
with the terms of the contract after award of the contract.
The employee designated by a department head and assigned
to manage and administer the contract.
The Commissioner or department head of the department that
has requested the contract.
The department of jurisdiction for construction contracts
shall be the County department that issues and recommends the award
of the bid in relation to Prevailing Wage Law requirements.
The department of jurisdiction for facilities-related service
term contracts shall be the County department utilizing such services
under the term contract awarded by the Purchasing Division.
The department head or his/her designee (employee or consultant
project manager) that is responsible for the day-to-day management
of the contract and contractor.
The fundamental objectives of contract administration
are to ensure the following post-award activities:
B.
Ensuring timely delivery.
D.
Ensuring proper process.
(1)
The County Executive has the authority to approve
any contract amendment that affects the County's contractual relationship
with the contractor when the total contract value (original contract
value, plus the value of amendments) is under $100,000.
(2)
The County Executive and County Legislature
must approve any contract amendment to a contract's monetary amount
that affects the County's contractual relationship with the contractor
when the total contract value (original contract value, plus the value
of amendments) is in excess of $100,000.
The contract contains the terms and conditions
governing performance by contractor. The contract owner and project
manager are each responsible for ensuring compliance with contract
terms and conditions. The contract owner and project manager are also
each responsible for ensuring that all obligations of the County are
met as specified in the contract.
A.
The contract administration team.
B.
Responsibilities.
(1)
The Purchasing Division and Department of Law
are responsible for managing the County's business relationship with
a contractor. This involves the responsibility for negotiations, reviewing
changes in the contractual obligations of both parties, recommending
any new agreements during the performance of the contract, and assisting
in settling disputes that arise during contract performance. The Purchasing
Division shall support the project manager and staff to ensure that
the contractor performs according to the technical requirements of
the contract.
(2)
Contract owner. The contract owner (the commissioner
or department head of the department that has requested the contract)
is the primary owner of the contract. The contract owner may appoint
a project manager or act as the project manager, depending on the
complexity of the project.
(3)
Project manager. The project manager (the contract
owner or representative of the contract owner) is primarily responsible
for providing technical and physical management and monitoring of
a contract. Said function shall be performed in accordance with the
specific responsibilities enumerated below.
(a)
Responsibilities of project manager:
[1]
Understand the requirements of
work statements and specifications;
[2]
Have a general understanding of
the contract terms and conditions and applicable clauses that may
have a significant impact on the County and the contractor (e.g.,
limitation of cost, etc.);
[3]
Serve as the focal point for all
correspondence and directions concerning technical direction;
[4]
Provide technical guidance to the
contractor;
[5]
Make sure all technical direction
is recorded in writing;
[7]
Monitor methods being used on contract
by contractor to ensure they are not inefficient or wasteful;
[8]
Promptly notify contractor if inefficient
methods cause a financial or nonfinancial impact to the County;
[9]
Keep the Purchasing Division informed
of significant events (e.g., quality of work, progress, status of
deliverables, etc.) involving the contract; and
[10]
Ensure that the goods or services
received are in accordance with the contract.
(b)
Unauthorized acts of project manager. In accomplishing the tasks enumerated in § 140-12.5B(3)(a), however, it is important that the project manager be aware not to:
[1]
Modify the stated terms of the
contract;
[2]
Direct the contractor to start
work unless the authorized contract has been fully executed and filed
or to authorize any stop in work unless consultation and written authorization
by the Purchasing Division and Department of Law has been obtained;
[3]
Approve items of cost not authorized
by the contract;
[4]
Execute any supplemental agreements;
or
[5]
Render any decisions on contractual
disputes or questions of fact.
B.
The contract owner/project manager is responsible
for organizing and chairing the conference. The contract owner/project
manager is required to:
(1)
Review the contract thoroughly;
(2)
Ensure that the project management team is familiar
with the specifications and statement of work;
(3)
Identify anticipated administrative activities
for the project;
(4)
Clarify the administrative responsibilities
of the County;
(5)
Promote the importance of a disciplined, coordinated
approach to working with the contractor; and
(6)
Invite the project management team and contractor's
representatives to the post-award conference(s).
C.
The contract owner/project manager shall develop an
agenda for the conference. The agenda should, as a minimum, include
the following:
(1)
Explanation of the County's mission and objective
and how they relate to the contract;
(2)
Discussion of the statement of work or specification;
(3)
Discussion of contract terms and conditions
that may have a significant impact on the contract;
(4)
Any special contract provisions;
(5)
The procedures the County will follow in monitoring
the contractor's effort (including any quality control and testing
requirements);
(6)
Any approach to quality control that the contractor
plans to use;
(7)
Any incentive features included in the contract;
(8)
The reporting requirements the contractor is
expected to meet;
(9)
Payment procedures;
(10)
Any restrictions on subcontracting; and
(11)
Delivery of products and deliverables.
D.
Following the conference, the contract owner and project
manager shall prepare a formal report that summarizes major issues
and identifies any issues that were not resolved or require additional
action. This report will be distributed to everyone who attended the
conference and to other staff as necessary.
A.
Contract files shall be organized so as to allow reviewers
and auditors to reconstruct and understand the history of the contract.
B.
File contents. Contract files shall consist of the
following items:
(1)
All correspondence with the contractor.
(2)
All internal correspondences and minutes of
meetings between the Purchasing Division and the project management
team.
(3)
Meeting summaries, related discussions and telephone
conversations between the contractor and the County.
(4)
All change orders, modifications, supplemental
agreements, changes to the scope-of-work, or any other document that
may substantively alter the contractual relationship with the contractor.
(5)
Any deliverables submitted by the contractor.
If required by the Prevailing Wage Law (New
York State Labor Law § 220), the following provisions shall
apply:
A.
The respective department of jurisdiction shall collect
and maintain payroll records for five years from the date of completion
of the work.
B.
The respective department of jurisdiction shall designate,
in writing to the County Executive and the Director of Purchasing,
an employee to be responsible to collect certified payrolls and review
for facial validity. This employee's name must be posted in a conspicuous
location at the project site.
If the project manager or contract owner rejects
all or major portion of a contractor's work, the Purchasing Division
and Department of Law shall be responsible for coordinating communication
with the contractor:
A.
There shall be a formal written notice of rejection.
B.
The notice shall give specific reasons for the rejection.
C.
It shall state what corrective action is required
and the time period for the corrective action.
D.
Time is of the essence in the issuance of the notice,
as there is a possibility that by not acting promptly there could
be "implied acceptance" of the work.
A.
Approval shall be provided by the project manager,
in accordance with the terms of a contract. The project manager shall
be responsible for monitoring the performance of services/deliverables
to ensure that payment is made only for services/deliverables received
by the County. The contract owner/project manager shall make periodic
reviews of progress payments made on cost-reimbursement contracts.
On cost-reimbursement contracts, final payment shall not be made by
the project manager without the approval of the contract owner. No
advance payments are allowable.
A.
Time extensions. Time extensions involve changes to
the date of time of completion, as specified in the contract, with
any contractor for the procurement of services, equipment or construction
activities, for delays which are beyond a contractor's control.
B.
Contract requirements.
(1)
The County will specify in all contracts a completion
date or time of performance within which the contractor is (reasonably)
required to provide the goods and services to be provided under the
contract. This is a material condition of the contract.
(2)
The completion date or time of performance may
generally be extended by request of the contract owner or the Purchasing
Division when the completion of the contract is delayed due to causes
beyond the control and without fault or negligence of the Contractor,
including but not limited to such causes as acts of God, acts of the
County or acts of government in either its sovereign or contractual
capacity, fires, floods, epidemics, quarantine restrictions, freight
embargoes, strikes and unusually severe weather, that would affect
the work, or in cases where a contractor is delayed by the activities
of the County or other contractor(s) engaged by County. The contract
owner or the Purchasing Division may also extend the completion date
or time of performance if it is determined to be in the best interest
of the County to do so or when the competition of the contract does
not adversely affect the County or its operations. If the Purchasing
Division and Department of Law approve a change in a contract, consisting
of additions, deletions or other revisions to the contract work, the
completion date may be adjusted accordingly.
(3)
All time extension requests must be initiated
and documented by the project manager, approved by the contract owner
and forwarded to the Purchasing Division and the Department of Law
in a timely fashion.
C.
Enforcement.
(1)
In the event that it becomes apparent that a
contract will not be completed within the time of performance specified
in the contract, the project manager, in accordance with the specific
terms of the contract, shall recommend and furnish appropriate justification,
in writing to the Purchasing Division and Department of Law, requesting
that either of the following be done:
(2)
The Purchasing Division and Department of Law
shall document in writing any actions which a contractor is required
to take in order to comply with the completion time specified in the
contract.
D.
Granting of time extensions. Establishing an event
as a legitimate excusable delay does not, in and of itself, ensure
the contractor of a time extension. In addition, the contractor must:
(1)
Establish causation. The contractor must demonstrate
that the event caused the delay. The mere presence of an excusable
delay condition and an actual performance delay is insufficient to
establish causation.
(2)
Demonstrate the impact on overall completion.
Even though an excusable delay exists and caused some loss of time,
the contractor must still demonstrate that the lost time delayed overall
completion of the job.
(3)
Measure time extension. Once it is established
that an excusable delay has occurred, the Contractor must claim and
support the length of the time of the extension to which he is entitled.
(4)
Notify the County, as required by the terms
of the contract.
E.
Liquidated damages. When specified and unless waived
for a valid and documented reason as approved by contract owner, Purchasing
Division and Department of Law, liquidated damages shall be assessed
on all contracts whose completion is delayed beyond the time(s) of
performance specified in the contract as amended by change order or
contract amendment.
(1)
The contract owner/project manager shall provide
the Purchasing Division and Department of Law with supporting documentation
and shall document in writing the reasons for assessing liquidated
damages in cases where assessment appears warranted. If these reasons
are approved, they shall be furnished by the project manager to the
Department of Finance and Grants Manager.
(2)
If the contract owner/project manager determines
that liquidated damages should either be forgiven, or included as
part of a larger settlement, then the project manager shall obtain
the following sign-off prior to initiating such action:
(3)
If the contract owner/project manager, in accordance
with the specific terms of the contract, assesses liquidated damages,
the project manager shall take action to allow deduction of such liquidated
damages from monies due or to become due to the contractor(s).
[Added 2-17-2009 by Res. No. 60-2009]
Nonprofit and charitable organizations located
within Rockland County that have applied for and have been approved
for participation in the New York State Contract Extension Program
as administered by the New York State Office of General Services,
Procurement Services Group, are eligible organizations.
All bidders shall be advised through the Purchasing
Division's bid specifications that as a condition of the award of
a County commodity contract, the successful bidder shall accept the
award of a similar contract with nonprofit and charitable organizations
within Rockland County that have been approved to participate in New
York State's Contract Extension Program, if called upon to do so.
The County, however, will not be responsible for any debts incurred
by the participants pursuant to this or any other agreement.
The County of Rockland shall make all contract
award information available to nonprofit and charitable organizations
through its website: www.rcpurchasing.com.
Approved nonprofit and charitable organizations
will issue purchase orders directly to vendors within the specified
contract period, referencing the County's contract, and shall be liable
for any payments due on such purchase orders; time specified in the
contract.
Necessary deviations from the County's specifications
in the award of a participant contract, whether such deviations relate
to quantities or delivery points, shall be resolved between the successful
bidder and the nonprofit and charitable organizations.
[Added 12-16-2020 by L.L.
No. 7-2020]
A.
Purchase contracts (including contracts for service work but excluding
any purchase contracts necessary for the completion of a public works
contract pursuant to Article 8 of the Labor Law) may be awarded on
the basis of best value, as defined in § 103 of the General
Municipal Law and as authorized in § 163 of the State Finance
Law.
B.
Where the basis for award is the best value offer, the Director of
Purchasing shall document, in the procurement record and in advance
of the initial receipt of offers, the determination of the evaluation
criteria, which whenever possible shall be quantifiable, the process
to be used in the determination of best value and the manner in which
the evaluation process and selection shall be conducted.
C.
In assessing best value, nonprice factors can be considered when
awarding the purchase contract. Nonprice factors can include, but
are not limited to, reliability of a product, efficiency of operation,
difficulty/ease of maintenance, useful lifespan, ability to meet needs
regarding timeliness of performance, local economic impact, and experience
of a service provider with similar contracts. The basis for a best
value award, however, must reflect, whenever possible, objective and
quantifiable analysis. Such basis may also identify a quantitative
factor for offerors that are small businesses or certified minority-
or women-owned business enterprises as defined in Subdivisions 1,
7, 15 and 20 of § 310 of the Executive Law to be used in
evaluation of offers for awarding of contracts for services.
D.
The Director of Purchasing shall select a formal competitive procurement
process and document its determination in the procurement record.
The process shall include, but is not limited to, a clear statement
of need; a description of the required specifications governing performance
and related factors; a reasonable process for ensuring a competitive
field; a fair and equal opportunity for offerors to submit responsive
offers; and a balanced and fair method of award. Where the basis for
the award is best value, documentation in the procurement record shall,
where practicable, include a quantification of the application of
the criteria to the rating of proposals and the evaluation results
or, where not practicable, such other justification which demonstrates
that best value will be achieved.
E.
The solicitation shall prescribe the minimum specifications or requirements that must be met in order to be considered responsive and shall describe and disclose the general manner in which the evaluation and selection shall be conducted. The solicitation shall identify the relative importance and/or weight of cost and the overall evaluation criterion to be considered by the County in its determination of best value. In accordance with, and to the extent permitted by, the County's Procurement Policy (Laws of Rockland County, Chapter 140), the Director of Purchasing shall develop any additional procedures necessary to govern the award of contracts on the basis of best value.
F.
This authorization for the use of best value for competitive offers
shall expire automatically three years from the effective date of
this article, unless further extended by the legislature by mere resolution.
[Added 11-17-2009 by Res. No. 542-2009]
County employees will procure materials, products or services
in a manner that integrates fiscal responsibility, and community and
environmental stewardship.
A.
County employees will incorporate the following factors when writing
specifications for, or procuring, materials, products, or services.
Environmental factors to be considered include, but are not limited
to, the life cycle assessment of:
B.
Fiscal factors to be considered in determining cost effectiveness
include, but are not limited to:
C.
While not all factors will be incorporated into every purchase, it
is the intent of this policy that County employees will make a good
faith effort to incorporate and balance these factors to the maximum
extent possible.
County employees will utilize best practices in sustainable
procurement as they evolve. As applied to this policy, best practices
in sustainable procurement are those that utilize leading edge sustainability
factors, standards, and procedures in an efficient and effective way
that is successful and replicable.
County employees will evaluate the comparative toxicity of products
and services, and will consider the threat of harm to human health
and the environment in their decision-making.
A.
County employees are encouraged to use independent, third-party social
and/or environmental (eco) product or service label standards when
writing specifications for, or procuring, materials, products, or
services, so long as such labels:
B.
In addition, whenever possible, label standards used in product or
service specifications should represent standards that take into account
multiple attributes and life-cycle considerations, with claims verified
by an independent third party.
C.
In addition, County employees or consultants to the County writing
specifications for or procuring plumbing fixtures that control the
flow of water for County facilities shall require WaterSense®
labeled fixtures when available and not incompatible with existing
infrastructure.
[Added 3-1-2016 by Res.
No. 106-2016]
It is the intent of this policy to complement, and not supplant,
County Procurement Policy as well as state and County laws.
A.
County department heads shall be responsible for:
(1)
Ensuring department staff utilizes product and service standards
and best practices that comply with this policy. Examples include,
but are not limited to, standards for minimum recycled content, energy
efficiency, and prohibited toxic ingredients;
(2)
Ensuring that when the need for developing a County standard
or best practice in sustainable procurement arises, department staff
will participate and collaborate with other applicable departments
so as to harmonize and continuously improve standards throughout the
County;
(3)
Encouraging pilot testing for environmentally preferable/sustainable
products; and
(4)
Ensuring internal policies and procedures reference this policy
and incorporate the use of sustainable products and services that
meet the intent of this policy.
B.
The Director of Purchasing shall be responsible for providing resources
for assisting departments with standards and best practices in sustainable
procurement.
A.
County department heads shall be responsible for ensuring that specifications
written by their department comply with this policy and incorporate
sustainable procurement best practices.
B.
The Director of Purchasing shall be responsible for:
(1)
Ensuring purchasing manuals and other internal procedures reference
this policy and incorporate best practices for specifying products
and services that meet the intent of this policy;
(2)
Ensuring that evaluation criteria for determining the responsibility
of prospective contractors incorporate sustainability factors that
meet the intent of this policy; and
(3)
Developing and integrating sustainable procurement boilerplate
language into solicitation document templates.
A.
County department heads shall be responsible for:
(1)
Building awareness of this policy through information dissemination
and incorporation into routine employee training;
(2)
Encouraging employee attendance at internal and external training
related to sustainability; and
(3)
Encouraging the use of environmentally preferable/sustainable
products and services through information dissemination, development
of internal procedures, pilot testing, and leading by example.
B.
The Director of Purchasing shall be responsible for:
(1)
Developing employee sustainable procurement resources such as,
but not limited to, standards, specifications, tools, and best practices;
(2)
Developing buyer-specific training on sustainable procurement
best practices that meet the intent of this policy;
(3)
Developing buyer competency in communicating to other County
departments about this policy and opportunities for incorporating
sustainable procurement best practices into solicitations and contracts;
(4)
Developing interagency communication among public procurement
professionals about sustainable procurement best practices; and
(5)
Taking the lead in communicating to existing and potential contractors
and the public about this policy and related County requirements.
The County shall commit to providing the appropriate dedicated
staff levels and related funding to support the implementation and
coordination of this policy. This includes activities such as, but
not limited to, employee training and resources, professional services,
product/service pilot tests, and educational materials.
The Director of Purchasing shall be responsible for periodically
bringing together internal stakeholders to review this policy for
updates or to otherwise determine whether this policy is in alignment
with other County sustainability efforts and policies. The policy
review shall be completed at least every five years, but may be done
on a more frequent basis as needed.
As used in this Article XIV, the following terms shall have
the meanings indicated:
Products or services that have a lesser or reduced adverse
effect on human health and the environment when compared with competing
products or services that serve the same purpose. This comparison
may consider raw materials acquisition, production, manufacturing,
packaging, distribution, reuse, operation, maintenance, or disposal
of the product or service.
The comprehensive examination of a product's environmental
and economic effects throughout its lifetime, including new material
extraction, transportation, manufacturing, use, and disposal.
The comprehensive accounting of the total cost of ownership,
including initial costs, energy and operational costs, longevity and
efficacy of service and disposal costs.
Chemicals that are toxic, persist in the environment, and
bioaccumulate in food chains.
Purchasing materials, products, and services in a manner
that integrates fiscal responsibility, and community and environmental
stewardship.
The quality, relative degree, or specific degree of being
toxic or poisonous.
[Added 12-3-2009 by Res. No. 579-2009]
The Energy Advisory Group shall consist of the Commissioner
of Finance, the Director of Purchasing, and the Executive Director
of Rockland County Sewer District No. 1.
The function of the Energy Advisory Group will be to develop
and review energy-related bids, act as the County's agent in awarding
said bids, forward information regarding such awards to the County
Legislature for ratification, and take advantage of mid-term contract
decreases in energy costs behalf of the County.
The Energy Advisory Group will report to the Planning and Public
Works Committee on a quarterly basis, or at the request of the Legislature,
on what action the Energy Advisory Group has taken, what pricing it
has been able to lock in and any other matters that the Legislature
believes to be pertinent.
[Added 12-19-2017 by Res.
No. 596-2017]
2 CFR Part 200 (Subparts A through F), Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal
Awards, requires organizations receiving federal awards to establish
and maintain effective internal controls over federal awards.
The requirements for procurements using federal awards are contained
in the Uniform Guidance (2 CFR Part 200, Subparts A through F), program
legislation, federal awarding agency regulations, and the terms and
conditions of the award. To comply with 2 CFR Part 200 (Subparts A
through F), the County of Rockland implements policies and procedures,
including, but not limited to:
A.
The County will use its own documented procurement procedures which
reflect applicable state, local and tribal laws and regulations; provided
that the procurements conform to applicable federal law and Uniform
Guidance. As such, County procurements related to federal grants will
be subject to New York State General Municipal Law, Rockland County
Procurement Policy and Uniform Guidance requirements.
B.
Contract files will document the significant history of the procurement,
including the rationale for the method of procurement, selection of
contract type, contractor selection or rejection, and the basis of
contract price.
D.
Procurements will provide for full and open competition as set forth
in the Uniform Guidance, or state and local procurement thresholds,
whichever is most restrictive.
E.
No employee, officer or agent may participate in the selection, award
or administration of a contract supported by a federal award if he
or she has a real or apparent conflict of interest. Such a conflict
of interest would arise when the employee, officer, or agent, any
member of his or her immediate family, his or her partner, or an organization
which employs or is about to employ any of the parties indicated herein
has a financial or other interest in or a tangible personal benefit
from a firm considered for a contract. The officers, employees, and
agents can neither solicit nor accept gratuities, favors, or anything
of monetary value from contractors or parties to subcontracts. If
the financial interest is not substantial or the gift is an unsolicited
item of nominal value, no further action will be taken. However, disciplinary
actions will be applied for violations of such standards otherwise.
F.
The County will avoid acquisition of unnecessary or duplicative items.
Consideration will be given to consolidating or breaking out procurements
to obtain a more economical purchase. Where appropriate, an analysis
will be made of lease versus purchase alternatives, and any other
appropriate analysis to determine the most economical procurement
approach. The County will also analyze other means, as described in
2 CFR 200.318 of the Uniform Guidance, to ensure appropriate and economical
acquisitions.
G.
The County will enter into state and local intergovernmental agreements
or inter-entity agreements, where appropriate.
H.
The County will only utilize time-and-materials contracts when it
has been determined, in writing, that no other contract type is suitable.
I.
Vendors/contractors that develop or draft specifications, requirements,
statements of work, or invitation to bids or requests for proposals
must be excluded from competing for such procurements.
J.
The County will make available, upon request of the federal awarding
agency or pass-through entity, technical specifications on proposed
procurements where the federal awarding agency or pass-through entity
believes such review is needed.
K.
County departments are prohibited from contracting with or making
subawards under covered transactions to parties that are suspended
or debarred or whose principals are suspended or debarred. "Covered
transactions" include those procurement contracts for goods and services
awarded under a non-procurement transaction (i.e., grant or cooperative
agreement) that are expected to equal or exceed $20,000. All non-procurement
transactions (i.e., subawards to recipients), irrespective of award
amount, are considered covered transactions.
L.
The County of Rockland will include a suspension/debarment clause
in all written contracts in which the vendor/contractor will certify
that it is not suspended or debarred. The contract will also contain
language requiring the vendor/contractor to notify the County immediately
upon becoming suspended or debarred. This will serve as adequate documentation
as long as the contract remains in effect.
M.
County departments will be required to notify the Purchasing Division
and Department of Law that federal funding will be used for a certain
procurement/contract. When requesting a written contract, the County
Department will be responsible for running the vendor's/contractor's
name through the System for Award Management (SAM) to determine any
exclusions. A copy of the SAM search will be included with the contract
request. Prior to issuing a purchase order using federal funds, the
Purchasing Division will check the SAM to determine if any exclusions
exist for the vendor/contractor. If a vendor/contractor is found to
be suspended or debarred, the County will immediately cease to do
business with the vendor.
N.
The County will not use statutorily or administratively imposed state,
local or tribal geographical preferences in the evaluation of bids
or proposals; except in those cases where applicable federal statutes
expressly mandate or encourage geographical preference.
O.
The County will take all necessary affirmative steps to assure that
minority businesses, women's business enterprises, and labor area
surplus area firms are used when possible.
P.
The County will procure recovered materials in compliance with 2
CFR 200.322.
Q.
The County will perform a cost or price analysis relating to every
procurement more than the simplified acquisition thresholds $150,000.
R.
The County will require appropriate bonding requirements as per 2
CFR 200.325.
S.
The County will only award contracts to responsible vendors and will
document, in writing, such determination.
T.
County contracts will contain the applicable provisions described
in Appendix II to Part 200, Contract Provisions for Non-Federal Entity
Contracts Under Federal Awards.
U.
The County will maintain oversight to ensure that contractors perform
in accordance with the contract's terms, conditions, and specifications.
V.
Copies of executed contracts will be maintained in the PeopleSoft
Financial System and purchase orders will be maintained in the PeopleSoft
Procurement System.
[Added 2-6-2024 by Res. No. 97-2024]
True leases are not subject to General Municipal Law's competitive
bidding requirements.
A.
True leases are leases that do not contain or refer to installment
plans, purchase options, or the ownership of the leased equipment
at the expiration of the lease. Leases that contain or refer to installment
plans, purchase options, or ownership of the leased equipment at the
expiration of the lease are considered purchase contracts and are
subject to the competitive bidding requirements of General Municipal
Law.
B.
True leases of equipment require quotations from at least three separate
potential vendors, if available. In the event three written or electronic
quotes cannot be obtained, the Purchasing Division shall document
in writing the efforts taken to obtain the required number of written
or electronic quotes and the reasons the minimum number of written
or electronic quotes could not be obtained. Procuring agencies are
reminded to consider the cost of consumable items (e.g., print cartridges
for printers) when comparing equipment costs. Even if the equipment
is leased, the purchase of consumable items for the leased equipment
is still subject to the applicable provisions of the procurement policy
and may require that the consumable items be subject to competitive
bidding or other applicable procurement methods.
[Added 2-6-2024 by Res. No. 97-2024]
A.
The County of Rockland ("County") encourages participation by minority/women-owned
business enter-prises ("MWBEs") in all aspects of the procurement
process. New York State certification for MWBEs is granted and verified
through the Empire State Development Division's Minority and Women's
Business Development ("DMWBD") program.
B.
Contract and other funding requirements of the State of New York
and the United States Government may contain MWBE participation goals.
Also, County requests for bids to be awarded on a best-value basis
pursuant to New York State General Municipal Law § 103(1)
and State Finance Law § 163 may include a quantitative MWBE
requirement.
To achieve MWBE participation goals set by state or federal
funding requirements or a best-value procurement by the County, the
County shall and shall cause its contractors to (and contractors shall
cause their subcontractors to) take the following good faith actions:
A.
Actively and affirmatively solicit bids for contracts and subcontracts
from qualified New York State-certified MWBEs, including solicitations
to MWBE contractor associations.
B.
Search the NYS MWBE Directory for a list of NYS-certified MWBEs providing
goods and/or services, as applicable to the solicitation and solicit
bids or proposals from them directly.
C.
Ensure that plans, specifications, requests for proposals and other
documents used to secure bids/proposals shall be made available in
sufficient time for review by prospective MWBEs.
D.
Where feasible, divide the work into smaller portions to enhance
participation by MWBEs and encourage the formation of joint ventures
and other partnerships among MWBE contractors to enhance their participation.
E.
Document and maintain records of bid/proposal solicitation, including
those to MWBEs and the results hereof. Contractor(s) shall also maintain
or, where appropriate, require their subcontractors to maintain and
submit records of actions that its subcontractors have taken toward
meeting MWBE contract participation goals.
F.
Ensure that progress payments to MWBEs are made on a timely basis
so that undue financial hardship is avoided and that bonding and other
credit requirements may, in the sole discretion of the County or the
New York State or federal funding agency, as applicable, be waived
and/or appropriate alternatives developed to encourage MWBE participation.
To ensure the above goals are met, the following procedures
apply to the solicitation of contracts by the County and its contractors:
A.
For contracts with MWBE requirements, the County department that
will be responsible for administering the contract, with the assistance
of the DGS-Purchasing Division, as necessary, shall perform a search
in the NYS MWBE Directory (available at https://ny.newnycontracts.com)
to generate a contact list of potential MWBEs that may be interested
in the solicitation. The results of the search, listing potential
MWBE participants, shall be forwarded to the DGS-Purchasing Division
with all solicitation and bid materials by the agency.
B.
A notice of solicitation and/or the request for bids/proposals/quotes/etc.
should be sent to the parties on the contact list via email.
C.
Each agency must ensure, as applicable to the funding source for
each solicitation, that the solicitation documents contain all MWBE-related
requirements such as policy statements, work plans, utilization plans,
report templates, requests for waivers, etc.
D.
It is important that due diligence in the pursuit of these goals
is documented in the procurement record. Documentation of items (1)
through (4) listed below shall be created and maintained in the procurement
record by the department issuing the solicitation (e.g., by DGS-Purchasing
Division for a request for bids and request for proposals issued by
DGS-Purchasing Division and by Highway, Facilities Management and
Rockland County Sewer District No. 1 for solicitations issued by those
departments) and the department administering the contract shall maintain
documentation of items (4) and (5) in the procurement record. Note
that records pertaining to items (4) and (5) may be generated during
solicitation and/or during the administration of the contract. Any
department generating such files should place them in their procurement
record even if they end up in the agency's and Purchasing Division's
files.
(1)
Notices of solicitation with proof of when it was sent and to
whom;
(2)
Solicitation responses;
(3)
Records of any negotiations with MWBEs;
(4)
All policy statements, work plans, utilization plans, report
templates, requests for waivers, etc., completed by the County and/or
contractors and/or subcontractors as applicable to the solicitation
and contract or regulatory requirements; and
(5)
Documentation of all MWBE reporting required of the County by
the funding agency (in the case of a grant agreement or grant-funded
contract), including all reports submitted by contractors and/or subcontractors,
as applicable.
E.
All forms prepared for submission requiring County Executive's signature
shall be reviewed by any or all of the following departments, at their
and/or the County Executive's discretion, before submission for signature:
Purchasing Division, Finance Division, County Auditor, and Department
of Law.
[Added 2-6-2024 by Res. No. 97-2024]
A.
General Municipal Law § 103(16) allows procurement of certain
goods (including apparatus, materials, equipment, and supplies) and
services through contracts let by the United States or any agency
thereof, any state or any other political subdivision or district
therein, if such contract was let in a manner consistent with competitive
bidding and has been made available for use by other governmental
agencies. Approval for the use of "piggybacking" will be through the
Department of General Services-Purchasing Division in collaboration
with the Department of Law.
B.
A written determination is required detailing the benefits to the
County of "piggybacking" another government's contract compared to
issuing its own solicitation.
