Local Law no.4 A LOCAL LAW TO AMEND THE CODE OF PUTNAM COUNTY BY REVISING CHAPTER 140 ENTITLED “CONTRACTS AND PROCUREMENT”

County of Putnam
Local Law #4 of 2014
(Passed at the February 7, 2014 Regular Meeting)
A LOCAL LAW TO AMEND THE CODE OF PUTNAM COUNTY BY REVISING CHAPTER
140 ENTITLED “CONTRACTS AND PROCUREMENT”
BE IT ENACTED by the Legislature of the County of Putnam as follows:
Section 1.
The Putnam County Code is hereby amended by Revising Chapter 140 entitled
“Contracts and Procurement” to read as follows:
ARTICLE I
General Provisions
§ 140-1.1. Purpose.
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 Putnam, to maximize the purchasing
value of public funds in procurement, and to provide safeguards for maintaining a
procurement system of quality and integrity.
§ 140-1.2. Applicability.
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 Putnam
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 federal assistance or contract funds, the
procurement shall be conducted in accordance with any mandatory applicable 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.
§ 140-1.3. Exemptions.
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:
A. Works of art for public display.
§ 140-1.4. Special procurements.
Notwithstanding any other provision of this policy, the County Executive or County
Legislature may, through legislative resolution, initiate a procurement of professional
services above the small purchase amount specified in § 140-3.7 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.
§ 140-1.5. Purchasing Officials
Pursuant to Section 104-b of the General Municipal Law the Putnam County Legislature
shall at its Organizational Meeting each year identify the individual or individuals
responsible for purchasing and their respective titles
§ 140-1.6. Definitions.
ARCHITECT-ENGINEER AND LAND SURVEYING SERVICES — 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.
BEST VALUE—“Best Value” means the basis for awarding contracts for services
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 or 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 to be used in evaluation of offers
for awarding contracts for services.
BRAND NAME OR EQUAL SPECIFICATION — 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.
BRAND NAME SPECIFICATION — A specification limited to one or more items by
manufacturers’ names or catalog numbers.
BUSINESS — Any corporation, partnership, individual, sole proprietorship, jointstock company, joint venture, or any other private legal entity.
CHANGE ORDER — 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.
CONFIDENTIAL INFORMATION — 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.
CONSTRUCTION — 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.
CONTRACT — All types of County agreements, regardless of what they may be
called, for the procurement of supplies, services or construction.
CONTRACT MODIFICATION (BILATERAL CHANGE) — 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.
CONTRACTOR — Any person having a contract with the County or a using agency
thereof.
COST ANALYSIS — 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.
COST DATA — 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.
COST-REIMBURSEMENT 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.
DIRECT OR INDIRECT PARTICIPATION — 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.
EMPLOYEE — 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.
FINANCIAL INTEREST.
A. 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;
B. Ownership of 25% of any property or business; or
C. Holding a position in a business such as officer, director, trustee, partner,
employee, or the like or holding any position of management.
GRATUITY — A payment, loan, subscription, advance, deposit of money, service,
or anything else with a nominal value of $25 or more.
IMMEDIATE FAMILY — A spouse, children, parents, brothers, and sisters.
INVITATION FOR BIDS — All documents, whether attached or incorporated by
reference, utilized for soliciting sealed bids.
PERSON — Any business, individual, union, committee, club, other organization,
or group of individuals.
PRICE ANALYSIS — 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.
PRICING DATA — 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.
PROCUREMENT — 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.
PUBLIC AGENCY — A public entity subject to or created by the County.
REQUEST FOR PROPOSALS — All documents, whether attached or incorporated
by reference, utilized for soliciting proposals.
RESPONSIBLE BIDDER or OFFEROR — 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.
RESPONSIVE BIDDER — A person who has submitted a bid that conforms in all
material respects to the requirements set forth in the invitation for bids.
SERVICES — 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.
SPECIFICATION — 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.
SUPPLIES — All property, including but not limited to equipment, materials, and
printing, excluding land or a permanent interest in land.
USING AGENCY — Any department, commission, board, or public agency
requiring supplies, services, equipment, or construction procured pursuant to this
policy.
§ 140-1.7. Public access to procurement information.
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.
ARTICLE II
Office of the Director of Purchasing
§ 140-2.1. Authority and duties.
A. Principal public purchasing official. Except as otherwise provided herein, 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.
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;
(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.
§ 140-2.2. Delegations to other County officials.
With the approval of the County Executive, 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.
§ 140-2.3. Procurement card program.
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) Audit requirements.
ARTICLE III
Source Selection, Bidder Qualifications, Contract
Formation and Administration
§ 140-3.1. Competitive sealed bidding Lowest responsible bidder.
A. Conditions for use. All contracts of the County of Putnam shall be awarded by
competitive sealed bidding except as otherwise provided in §§ 140-3.3
(Competitive sealed proposals), 140-3.5 (Contracting for legal services), 140-3.7
(Small purchases), 140-3.8 (Sole source procurement), 140-3.9 (Emergency
procurements).
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 14 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 14 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.
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-
1.7 (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 notice to the lowest responsible and responsive bidder whose bid meets
the requirements and criteria set forth in the invitation for bids.
§ 140-3.2. Best Value Awards.
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 eight of the labor law) may be awarded on the basis of best
value, as defined in section 163 of the State Finance Law and as authorized in
section 103 of the General Municipal Law, to a responsive and responsible offeror.
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. 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.
D. 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.
E. In assessing best value when awarding the purchase contract, non-price factors
can be considered. Non-price 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 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 one, seven, fifteen and twenty of section three hundred
ten of the executive law.
§ 140-3.3. Competitive sealed proposals.
A. Conditions for use. When the Director of Purchasing determines in writing that 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, public
notice); provided the minimum time shall be 14 calendar days.
D. 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.
E. Evaluation factors. The request for proposals shall state the importance of price
and other evaluation factors.
F. 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 best and final offerors. In conducting
discussions, there shall be no disclosure of the identity of competing offerors or
of any information derived from proposals submitted by competing offerors.
G. Award. Award shall be made to the responsible offeror whose proposal 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.
§ 140-3.4. Contracting for professional services with predetermined rates.
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.
§ 140-3.5. Contracting for legal services.
A. 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.
§ 140-3.6. Contracting for professional services with grant-approved organizations.
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.
§140-3.7. Purchases not subject to competitive bidding.
A. The following purchases are not subject to competitive bidding:
(1) Purchases of $20,000 or less for commodities, equipment, materials,
supplies and services.
(2) Purchases of $35,000 or less for public works projects.
(3) Purchases through Preferred Sources pursuant to §162 of the State
Finance Law.
(4) Purchases in excess of $500, of materials, equipment and supplies (except
printed material) through the NYS Office of General Services (OGS), subject to
rules established by OGS (see State Finance Law, §163).
(5) Purchases through other New York State Counties contracts, pursuant to
General Municipal Law Section 103(3).
(6) Purchases of surplus and second hand supplies, materials or equipment
from the Federal Government, the State of New York or from any other political
subdivision, district or public benefit corporation with the State, pursuant to
General Municipal Law §103(6).
(7) Purchases through contracts let by the United States of America or any
agency thereof, any state or any other political subdivision or district therein if
such contract was let to the lowest responsible bidder or on the basis of best
value.
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
Putnam County policy:
(1) Cumulative purchases.
(a) Purchases shall be evaluated with attention given to cumulative
dollar amounts expected in a given fiscal year. The Director of Purchasing
shall canvas using agencies to determine yearly value of a commodity or
service. Past history can be taken into consideration when evaluating
yearly costs associated with the purchase of 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 $3,000 or less shall be awarded at the discretion
of the Director of Purchasing; purchases more than $3,000 up to and
including $20,000 shall require a minimum of three (3) electronic or written
quotes. All purchases more than $20,000 shall be competitively bid.
(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 (3) written or electronic quotes. All
purchases more than $35,000 shall be competitively bid.
(c) Purchases and contracts defined as professional services in the
amount of $50,000 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 more than $50,000 shall require the
issuing of a formal request for proposal and the approval of the County
Executive.
(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 Putnam County based small business.
(4) Documentation. All quotes (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.
§ 140-3.8. Sole source procurement.
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
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.
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;
(4) That there is no possibility of competition, as from competing dealers or
distributors.
§ 140-3.9. Emergency procurements.
Notwithstanding any other provisions of this policy, the Director of Purchasing, with the
approval of the County Executive and the Chairman 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 for 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.
A. All Departments, except for Department of Highways and Facilities:
During periods of emergency, such as (1) natural catastrophes such as landslides,
snow falls, flooding or other acts of nature which prevent normal operations, (2) damage
to buildings, roads, or other structures requiring immediate repair to prevent further
deterioration or losses, and (3) breakdown of essential mechanical systems and
machinery, such as boilers, electrical circuits, water mains or pipes, the normal
purchasing procedures are not practical. Therefore, special emergency procedures are
established to aid the departments in their operations.
In those cases of emergency requiring immediate actions, the department head
responsible for that operation will assume charge for the operation. The following
procedure will then be used:
(1) If possible, immediately notify the Director of Purchasing of the nature of the
emergency and your plans to cope with the situation.
(2) Contact the vendor immediately and arrange the purchase.
(3) Notify the Department of Purchasing, as soon as practical, that the emergency
purchases are necessary and being arranged.
(4) Within five (5) days after the emergency purchase is made, the department
head will prepare and forward to the Department of Purchasing, a “receiving report”
indicating descriptions of the purchase, and other information.
B. Department of Highways and Facilities:
For Field Employees- If an emergency purchase is required, such as:
(1) Natural catastrophes (e.g. landslides, snowfalls, flooding or other acts of
nature which prevent normal operations.)
(2) Damage to buildings, roads, or other structures requiring immediate repair to
prevent further deterioration or losses.
(3) Breakdown of essential mechanical systems and machinery, such as boilers,
electrical circuits, water mains or pipes.
Normal purchasing procedures are not practical. Therefore, the following should
be followed:
1. Contact vendor
2. Notification to your Supervisor and/or Commissioner
3. Make purchase
For Highways and Facilities Administration Office ONLY-
(1) Highways and Facilities Administration ONLY will provide documentation as
to the item/service purchased, vendor, date and justification as to why this procedure
was utilized, to Purchasing via letter or e-mail.
(2) Purchasing will then document verification of purchase to Audit.
§ 140-3.10. Cancellation of invitations for bids or request for proposals.
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.
§ 140-3.11. Responsibility of bidders and offerors.
A. Determination of non-responsibility. If a bidder or offeror who otherwise would
have been awarded a contract is found non-responsible, a written determination
of non-responsibility, 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 non-responsibility 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.
§ 140-3.12. Cost or pricing data.
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-
3.7, Sole source procurement).
B. Exceptions. The submission of cost or pricing data relating to the award of a
contract is not required when:
(1) The contract price is based on adequate price competition;
(2) The contract price is based on established catalog prices or market prices;
(3) The contract price is set by law or regulation; or
(4) It is determined in writing by the Director of Purchasing that the
requirements of § 140-3.12A (Cost or pricing data, Required submissions relating
to the award of contracts) may be waived, and the determination states the
reasons for such a waiver.
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 Putnam, including profit or fee, shall be adjusted to exclude any
significant sums by which the County of Putnam 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 Putnam and the contractor.
§ 140-3.13. Cost or price analysis.
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.
§ 140-3.14. Bid and performance bonds on supply or service contracts.
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 Putnam’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.
§ 140-3.15. Types of contracts.
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 Putnam 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 Putnam 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 Putnam, 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:
(a) Estimated requirements cover the period of the contract and are
reasonably firm and continuing; and
(b) Such a contract will serve the best interests of the County of
Putnam by encouraging effective competition or otherwise promoting
economies in County of Putnam procurements.
(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 Putnam’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-
3.8 (Emergency procurements), as applicable. Multiple source awards shall not be
made when a single award will meet the County of Putnam’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 Putnam 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 Putnam 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 Putnam.
(4) Intent to use. If a multiple source award is anticipated prior to issuing a
solicitation, the County of Putnam 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 Putnam’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-
3.8 (Emergency procurements), as applicable. Multiple source awards shall not be
made when a single award will meet the County of Putnam’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 Director of Purchasing or his/her designee may enter into
separate contracts for design services or space planning services as deemed
necessary for a particular project.
(2) Limitations on use. A design services or space planning services contract
may be entered into in accordance with the provisions of § 140-3.2 (Competitive
sealed proposals), § 140-3.6 (small purchases), and § 140-3.8 (Emergency
procurements), as applicable.
(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 Putnam.
(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.
§ 140-3.16. Contract clauses and their administration.
A. Contract clauses. All County of Putnam 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 Putnam to order in writing the changes
in the work within the scope of the contract;
(2) The unilateral right of the County of Putnam 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 Putnam;
(9) Suspensions of work on a construction project or by the County of
Putnam; 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:
(a) When the contract is negotiated;
(b) When the contractor provides the site or design; or
(c) When the parties have otherwise agreed with respect to the risk of
differing site conditions.
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.
(2) A contractor shall be required to submit cost or pricing data if any
adjustment in contract price is subject to the provisions of § 140-3.12 (Cost or
pricing data).
C. Standard clauses and their modification. The Director of Purchasing, after
consultation with the County of Putnam County Attorney, may establish standard
contract clauses for use in County of Putnam 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.
§ 140-3.17. Approval of accounting system.
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.
§ 140-3.18. Right to inspect plant.
The County of Putnam 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 Putnam.
§ 140-3.19. Right to audit records.
A. Audit of cost or pricing data. The County of Putnam 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 Putnam 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.
§ 140-3.20. Reporting of anti-competitive practices.
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.
§ 140-3.21. County of Putnam procurement records.
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 Putnam 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 Putnam in accordance with record retention
guidelines and schedules approved by the State of New York.
ARTICLE IV
Specifications
§ 140-4.1. Maximum practicable competition.
All specifications shall be drafted so as to promote overall economy for the purposes
intended and encourage competition in satisfying the County of Putnam’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 Putnam by
architects, engineers, designers, and draftsmen.
§ 140-4.2. Brand name or equal specification.
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 Putnam’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 Putnam’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.
§ 140-4.3. Brand name specification.
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 Putnam’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).
ARTICLE V
Debarment or Suspension
§ 140-5.1. Authority to debar or suspend.
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 Putnam
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 Putnam 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).
§ 140-5.2. Decision to debar or suspend.
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.
§ 140-5.3. Notice of decision.
A copy of the decision required by § 140-5.2 (Decision to debar or Suspend) shall be
mailed or otherwise furnished immediately to the debarred or suspended person.
§ 140-5.4. Finality of decision.
A decision under § 140-5.2 (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.
ARTICLE VI
Appeals and Remedies
§ 140-6.1. Bid protests.
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 Putnam.
§ 140-6.2. Contract claims.
A. Decision of the Director of Purchasing. All claims by a contractor against the
County of Putnam 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
rescission.
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.
§ 140-6.3. Access to administrative forums.
(Reserved)
§ 140-6.4. Authority of Director of Purchasing to settle bid protests and contract claims.
The Director of Purchasing is authorized to settle any protest regarding the solicitation
or award of a County of Putnam contract, or any claim arising out of the performance of a
County of Putnam contract, prior to an appeal to the County Executive or the
commencement of an action in a court of competent jurisdiction.
§ 140-6.5. Remedies for solicitations or awards in violation of law.
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 Putnam; 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 Putnam.
ARTICLE VII
Ethics in Public Contracting
§ 140-7.1. Criminal penalties.
To the extent that violations of the ethical standards of conduct set forth in this article
constitute violations of any New York State or Putnam 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
non-employees which are in existence on the effective date of this Policy shall not be
impaired.
§ 140-7.2. Employee conflict of interest.
It shall be unethical for any County of Putnam employee to participate directly or
indirectly in a procurement contract when the County employee knows that:
A. The County of Putnam 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 Putnam 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.
§ 140-7.3. Gratuities and kickbacks.
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.
§ 140-7.4. Prohibition against contingent fees.
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.
§ 140-7.5. Contemporaneous employment prohibited.
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.
§ 140-7.6. Waivers for contemporaneous employment prohibition and other conflicts of
interest.
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 Putnam.
§ 140-7.7. Use of confidential information.
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.
§ 140-7.8. Sanctions.
A. Employees. Sanctions against employees shall be in accordance with Chapter 55
of the Laws of Putnam County (Code of Ethics).
B. Non-employees. The Director of Purchasing may impose any one or more of the
following sanctions on a non-employee for violations of ethical standards:
(1) Written warnings or reprimands;
(2) Termination of contracts; or
(3) Debarment or suspension as provided in § 140-6.2 (Authority to debar or
suspend).
ARTICLE VIII
Disposition of Surplus Personal Property
§ 140-8.1. Purpose.
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.
ARTICLE IX
Additional Requirements for Federal Transit
Administration Funded Contracts
§ 140-9.1. Disadvantaged Business Enterprise Program.
The County of Putnam’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 Putnam’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 Putnam’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 Putnam and its Department of Public Transportation to ensure that DBEs,
as defined in Part 26, have an equal opportunity to receive and participate in DOTassisted contracts.
§ 140-9.2. Required contract clauses.
It is the policy of the County of Putnam and its Department of Planning, Development and
Public Transportation to ensure that the most current Federal Transit Administration
(FTA) required clauses and procedures as set forth in FTA Circular 4220.1F and any
subsequent amendments and circulars governing Third Party Contracting will be
followed in all contracts funded in part by FTA. These clauses and procedures are
applicable to new contracts, contract amendments and contract related change orders.
Further, FTA website www.fta.dot shall be checked prior to procurements to ensure that
the most current clauses and procedures are incorporated in county bid documents.
§ 140-9.3. National and regional ITS architecture policy.
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 Putnam, and its Department of Public Transportation, shall selfcertify with Sections V and VI of the Federal Transit Administration National ITS
Architecture Policy on Transit Projects.
B. Compliance with the following FTA circulars shall also be certified:
(1) C5010.1C – Grant Management Guidelines.
(2) C6100.1B – Application Instructions and Program Management Guidelines.
§ 140-9.4. Duty to inquire into Vendor’s election not to submit a bid
Should any Request for Bid or Request for Proposal result in only one (1) submitted bid
or proposal, the Purchasing Department will contact all vendors that received a Bid or
RFP package and inquire into why they elected not to submit a bid or proposal.
§ 140-9.5. Procedures to implement provisions.
The Director of Purchasing shall develop and implement procedures for the execution
of this article.
Section 2.
This local law shall take effect immediately.