PROCUREMENT POLICY
of the
Village of Highland Falls High-Point Utility
Local Development Corporation
Article One: Purpose and Definitions
A. This Policy sets forth the guidelines of the Village of Highland Falls
High-Point Utility Local Development Corporation (HPU) regarding the HPU’s use, awarding, monitoring and reporting of procurement contracts.
B. “Emergency” shall mean an unanticipated, sudden or unexpected
event or escalation of an event beyond the control of the HPU which, if not immediately corrected, would endanger:
(1) the life, health, safety or welfare of any person, or
(2) the continued public use or function of a facility or property of the HPU or a cooperating municipality or agency of the State of New York, or
(3) the continued viability of any major program or activity that demanded
Immediate attention, or
(3) the continued viability of any major program or activity that demanded immediate action, subject to the ratification of the Board.
C. “Minority Owned Business Enterprise” shall have the same meaning as that set forth in Public Authorities Law Section 2879.
D. “New York State Business Enterprise” shall mean any business enterprise which offers for sale, lease or other form of exchange, goods or services sought by the HPU which are substantially manufactured, produced, assembled or performed within New York State.
E. “New York State Resident” shall have the meaning set forth in Public Authorities Law Section 2879.
F. “Procurement Contract” shall mean any written agreement for the acquisition of goods or services of any kind, in the actual or estimated amount of fifteen thousand dollars ($15,000) or more.
G. “Professional Firm” shall mean any individual or sole proprietorship, partnership, corporation, association or other legal entity permitted by law to practice the professions of architecture, engineering or surveying.
H. “Women Owned Business Enterprise” shall have the meaning set forth in Public Authorities Law Section 2879.
I. “Service Disabled Veteran Owned Business Enterprise” shall have the meaning set forth in Article 17-B of the Executive Law Section 369-H.
Article Two: Selection of Contractors for Goods
A. Except as otherwise provided in this Policy, the HPU shall award procurement contracts for goods to the lowest responsible bidder as will best promote the HPU’s interests, taking into consideration:
(1) the reliability of the contractor;
(2) the quality of the goods to be furnished;
(3) the goods’ conformity with the specifications;
(4) the terms of delivery; and/or
(5) such other criteria as the Authority determines to be appropriate.
B. The Authority shall solicit bidders for applicable procurement contracts pursuant to Article 4-C of the New York State Economic Development Law (e.g., advertise in the Contract Reporter).
C. The Authority shall solicit price quotes for procurement contracts from at least three (3) sources, if available.
Article Three: Selection of Contractors for Services
A. The HPU may contract for services when, because of one or more of the following factors or considerations, it is more beneficial for such services to be contracted for than performed by employees and/or volunteers of the HPU:
(1) lack of or unavailability of staff, facilities, equipment or other resources;
(2) requirement of special expertise or abilities;
(3) timing;
(4) short term or infrequent need for the service; or
(5) geographic needs.
B. Except as otherwise provided in this Policy, the HPU shall award procurement contracts for services to a responsive and responsible contractor on the basis of best value, taking into account:
(1) the contractor’s experience and capability to perform the required services:
(2) the adequacy of contractor’s staff to be assigned to HPU work;
(3) the overall quality and responsiveness of the contractor’s proposal;
(4) the contractor’s fee structure and overall price; and/or
(5) such other criteria as the HPU determines appropriate.
C. The HPU shall award procurement contracts for the services of Professional Firms on the basis of demonstrated competence and qualification for the type of professional services required and at fair and reasonable fees.
Article Four: Waiver of Competition
A. The HPU Board may waive the use of the competitive procedure for procurement contracts provided in this Policy based upon one or more of the following findings:
(1) There is a need to respond to an Emergency;
(2) A condition exists that makes it impractical or not in the HPU’s best interest to seek competition due to the specialized nature of the goods or services required;
(3) There is a historical relationship, the continuation of which is in the best interests of the HPU;
(4) There is a need for confidentiality;
(5) The proposed project requires specialized knowledge of, or proximity to, the HPU;
(6) There is a requirement for which, in the sole opinion of the HPU, there is a lack of responsible competition to perform the desired services;
(7) There is a specific contractor selection that is necessary or convenient to the operations of the HPU;
(8) The purchase of goods or services will be from small business concerns or certified Minority Owned or Women Owned Business Enterprises (MWBE), or Veteran-Owned or Service Disabled Veterans Organization (SDVO), or the purchase is for goods or technology that are recycled or remanufactured, in an amount that does not exceed two hundred thousand dollars ($200,000).
Article Five: General Procurement Requirements
A. The HPU shall ensure that its procurement contracts in an amount equal to or in excess of fifty thousand dollars ($50,000) comply with the public notification requirements of Article 4-C of the New York State Economic Development Law.
B. In order to encourage the use of MWBE and Service Disabled Veteran Owned Business Enterprises (SDVOB) in its procurement contracts, the HPU shall:
(1) Provide notice to professional and other organizations that serve
MWBE and SDVOB providing the types of goods and services procured by the HPU;
(2) Maintain and regularly update lists of qualified, certified MWBE and SDVOB that have expressed an interest in doing business with the HPU,
and, when practicable, the HPU shall also consult the lists maintained by the New York State Department of Economic Development (DED) that identify
certified MWBE and the list maintained by the New York State Office of General Services (OGS) that identify SDVOB;
(3) Establish appropriate subcontracting goals for participation by
MWBE and SDVOB in procurement contracts awarded by the HPU;
(4) Conduct procurements in a manner that will enable the HPU to achieve the maximum feasible portion of its established goals and that eliminate barriers to participation by MWBE and SDVOB in HPU procurements.
C. The HPU shall not enter into a procurement contract with any current or former officer or employee of the HPU where such contract would be in contravention of law or violate the HPU's Conflict of Interest Policy.
D. The HPU shall ensure that its procurement contracts in an amount equal to or in excess of one million dollars ($1,000,000) comply with the Omnibus Procurement Act of 1992, as amended. As part of such compliance, the HPU shall encourage New York State Business Enterprises and New York State residents to participate in its procurement contracts. Except for those procurement contracts that involve funds received from another state, such encouragement shall include the following:
(1) The HPU shall collect and consult the specifications of New York State Business Enterprises in developing specifications for any procurement contract for the purchase of goods where possible, practicable, feasible and consistent with open bidding. The HPU shall, where feasible, consult with OGS in developing such specifications.
(2) With the cooperation of DED and through cooperative efforts with contractors, the HPU shall notify New York State Business Enterprises of opportunities to participate as subcontractors and suppliers on HPU procurement contracts with a value of one million dollars ($1,000,000) or more.
E. The HPU shall submit all procurement contracts in excess of
fifty thousand dollars ($50,000) to the New York State Comptroller’s Office for approval.
F. The Board, or the Board's designee, must approve all contractor selections for procurement contracts.
G. The HPU shall comply with State Finance Law Sections 139-j and 139-k which place restrictions on attempts to influence during the procurement process, require the recording of attempts to influence made during the restricted period for a procurement, and outline the responsibilities of offerors relative to the procurement process.
H. The HPU will perform an affirmative review of a contractor’s or Professional Firm’s responsibility, in accordance with applicable laws, rules, regulations and guidelines, prior to the award of a procurement contract, which review should consider such issues as:
(1) integrity;
(2) performance on other governmental contracts;
(3) legal ability to supply the product or perform the services; and
(4) financial and organizational capability.
J. The HPU will create a record for each procurement contract that documents its compliance with this Policy.
Article Six: Procurement Contract Provisions
A. To the extent deemed appropriate by the Board or its designee, procurement contracts may include, but should not necessarily be limited to, the following provisions:
(1) Scope of Services
(2) Compensation
(3) Payment Methodology
(4) Term or Time for Performance
(5) Personnel, Equipment and Supplies
(6) Standards of Performance
(7) Independent Contractor
(8) Subcontracting
(9) Insurance and Bond Requirements
(10) Liability and Indemnification
(11) Ethics
(12) Confidentiality and Non-Disclosure
(13) Lobbying Law Certification
(14) Public Announcements
(15) Interchange of Data
(16) Environmental Review
(17) Damages for Delay
(18) Suspension, Abandonment and Termination
(19) Severability Clause
(20) Non-Assignment Clause
(21) Comptroller Approval
(22) Workers’ Compensation and Disability Benefits
(23) Non-Discrimination Requirements
(24) Wage and Hours Provisions
(25) Non-Collusive Bidding Certification
(26) International Boycott Prohibition
(27) Set-Off Rights
(28) Records
(30) Identifying Information and Privacy Notification
(31) Equal Employment Opportunities for Minorities and Women
(32) Conflicting Terms
(33) Governing Law
(34) Late Payment
(35) No Arbitration
(36) Service of Process
(37) Prohibition on Purchase of Tropical Hardwoods
(38) MacBride Fair Employment Principles
(39) Omnibus Procurement Act of 1992
(40) Reciprocity and Sanctions Provisions
(41) Purchases of Apparel
(42) Observance of Laws
(43) No Waiver of Provisions
(44) Entire Agreement
Article Seven: Review and Reporting Requirements
A. In accordance with Public Authorities Law Section 2879, the HPU Board shall annually review and approve this Policy and prepare and distribute annual reports about its procurement contracts.
Article Eight: Miscellaneous Provisions
A. The HPU’s failure to comply with the provisions of this Policy shall not alter, modify the terms of, affect the validity of, or impair any of the HPU’s rights or privileges under any procurement contract to which the HPU is a party.
B. These guidelines are not intended and shall not be deemed to grant or confer any rights or remedies to or upon any third party.
C. The HPU may allow other Federal, State or local entities to purchase goods or services through an HPU procurement contract provided it would be in the HPU’s best interests to do so and such procurement is acceptable to the contractor.