Part XIV. RULES AND REGULATIONS OF VARIOUS BOARDS, Code of Ordinances, Westchester County

Westchester County

Code of Ordinances

Part XIV. RULES AND REGULATIONS OF VARIOUS BOARDS

Electrical Licensing Board

Board of Plumbing Examiners

Public Utility Service Agency (By-Laws)

Board of Acquisition and Contract

Professional Prequalification and Selection Boards-Procurements between $20,000.00 and $100,000.00

Professional Prequalification and Selection Boards-Procurements over $100,000.00

Westchester County Board of Ethics

WESTCHESTER COUNTY ELECTRICAL LICENSING BOARD RULES AND REGULATIONS 12/08/98, As Amended
4/09/92, 6/11/02 AND 12/14/04

(1) Schedule of Electrical Testing Dates for Electrical Testing shall be determined by the Director of Trades Licensing, however, there shall be no less than two tests given in a calendar year and only given in Westchester County.

(2) Any applicant approved by the Electrical Licensing Board who wishes to apply for a Master Electrician's or Special Electrician's License will be required to take an examination prepared and given by a qualified outside organization approved by the Electrical Licensing Board. The minimum passing grade shall be 70%.

(3) With reference to section 277.707(1)(E) of the Licensing Law, the fee for amending or changing a license shall be $500.

(4) All Electrical Licensing Board meetings shall follow Robert's Rules of Order.

(5) Each licensee shall affix to the passenger-side front ventilator window of all vehicles owned, leased or used for the performance of the trade or, if the vehicle is not equipped with a ventilator, the right front corner of the right window of each vehicle used in his or her business, a decal furnished by the Board. Decals shall cost $5.00 each and be renewed yearly.

All such vans or trucks shall also as a minimum requirement prominently display on the van or truck on both sides in the panel area the company name or the d/b/a that is registered with the County of Westchester for the license holder and the address of the company, in lettering no smaller than two inches high.

(6) Examples of proof of experience in order to qualify for taking the Electrical License Examination are, but not limited to, any of the following:

(A)

W-2 Forms

(B)

1040 Forms

(C)

Business Tax Statements

(D)

Notarized Business Records

(E)

Notarized Statements of hours worked from Benefit Funds on fund letterhead. (F) Social Security Records

(G)

Notarized statements and letters from employers on company letterhead

(H)

Certified copies of licenses held

(I)

Notarized letter(s) from one or more licensed electricians, on company letterhead, confirming that the applicant was employed in the capacity of journeyman electrician and the numbers of years the applicant was so employed. The letter shall include the license number of the employer and where the license was issued.

(J)

MUST PROVE 11½ YEARS WORKING FOR A LICENSED Electrician.

(7) Full-time inspectors who inspect electrical work within Westchester County and who possess a Master Electrician License valid in Westchester County may shelve their Electrical license while employed as a full-time Electrical Inspector. The shelving period shall be for 12 months, from January 1 to December 31 of each year. Shelving may be renewed annually. The fee for each shelving period shall be fifty dollars ($50). To reinstate the license, the Electrical Inspector must submit documents to the Board that he or she has worked as a full-time Inspector on a continuous basis and has properly shelved the license.

(8) Prior to the license lapsing as described in Section 277.707(1), Section K, of the Licensing Law, a Master Electrician may shelve his or her license. The shelving period shall be for 12 months, from January 1 to December 31 of each year. Shelving may be renewed annually. The fee for each shelving period shall be fifty dollars ($50.00). To reinstate the license at any time during the shelving period, the license holder must pay the five hundred dollars ($500.00) and have valid liability insurance on file. If a license is shelved for two (2) or more shelving periods, reinstatement will be granted only if proof of continuous work in the trade during the shelving period is approved by the Board.

(9) Alleged violations and complaints brought to the Board shall be in writing and must include all information and determinations made including the complainant's name. The Westchester County Electrical Licensing Board must consider action on any alleged complaint or violation of the Electrical Licensing Law and the Board may designate local code enforcement powers and remedies to be taken, such as but not limited to violation notices, summonses and any related court action.

(10) Any and all reciprocal licenses may be granted by the Board in accordance with Section 277.706, Paragraph 6 "Reciprocal Master Electrician's License" of the Licensing Law.

(11) No individual holding a Master Electrician's License shall lend such License to any person or allow any other person to carry on, engage in, or labor at the business as defined herein of installing, removing, altering, testing, replacing, or repairing electrical systems. A violation of this section by any person holding a License shall be sufficient cause for revocation of such License.

A Master Electrician must be: (1) an owner of at least fifty-one (51) percent of the voting stock of a partnership, corporation, or other business entity; or (2) a full-time employee, working at least thirty-five hours per week for the company that is listed as the licensee, If the licensee leaves the employment of said company, all jobs filed under that license must be closed out or transferred to another licensed electrician. However, nothing herein shall be construed to prohibit the use of a License by the holder thereof for or on behalf of a partnership, corporation or other business association.

A licensed Master Electrician shall be personally responsible for the proper supervision and layout work for any electrical work for which an application for a permit has been issued. All workers engaged by said licensed electrician for any electrical work, as defined herein, must be on such licensed electrician's own payroll and covered by such licensed electrician's Workers' Compensation and Disability Insurance.

The Board may issue and cause to be served subpoenas requiring the attendance of witnesses and the production of books, insurance records and policies, payroll records, and papers relative to any hearing held by it upon complaint.

(12) The insurance standards used by the Westchester County Electrical Licensing Board will be the standards used by the County of Westchester, as of 2004. Standards subject to change as the County requirements change. They are as follows:

General Liability B.I. and P.D.	$1,000,000 each occurrence
Automobile Liability	$1,000,000 C.S.L.
Workman's Compensation	Statutory
New York State Disability	Statutory

All insurance policies must name the County of Westchester as Certificate Holder at the following address, 110 Dr. Martin Luther King Jr Blvd., White Plains NY 10601 be filed with the Director of Trades Licensing, County Clerk's Office at the time of Licensing fee being applied.

(13) Failure of a Master or Special Electrician to meet the insurance requirements will automatically result in the suspension of that individual's license by the Director of Trades Licensing upon notice.

(14) All License periods run from January 1st to December 31st yearly. Licenses will expire unless renewed or shelved by January 1st of each year. Renewal of an expired license is only permitted (1) if the person holding the expired license meets one of the criteria of Section 277.707(1)(L)of the Licensing Law; or (2) if the criteria of Section 277.707(1)(L) of the Licensing Law is not met, the person holding the expired license takes and successfully passes the Master Electrician Examination.

WESTCHESTER COUNTY BOARD OF PLUMBING EXAMINERS RULES AND REGULATIONS

All Board of Plumbing Examiners meetings will follow Robert's Rules of Order.

An inactive license certificate will be created for full time plumbing inspectors. Insurance and bonds will not be required for this license. Fees shall be waived for full time inspectors working in any community in Westchester County.

Licensed and grandfathered Master Plumbers not wishing to continue their active licenses may renew their certificates of competency for up to ten (10) years, under the same fee structure as for plumbing licenses.

A Licensee may own or work for multiple corporations, but only one corporation will be permitted per license. Each corporation after the first will be subject to an additional license fee.

The cost of vehicle decals will be $5 per decal.

All plumbers will be required to maintain a $10,000 license bond.

The following insurance standards shall apply:

General Liability B.I. & P.D.	$1 million each occurrence
Automobile Liability	$1 million C.S.L.
Workman's Compensation	Statutory
NYS Disability	Statutory.

Total contract projects of more than $1 million will require an additional $2 million limit (total $3 million) per occurrence for Commercial General Liability.

All insurance policies must name Westchester County and the municipality where work is being performed as Certificate Holder.

Completed renewal applications for all types of Master Plumber licenses and Journey level certifications will be accepted and approved up to and including December 31st of the year in which they expire. If applications are received after December 31st as defined above, the applicant shall be considered delinquent. No renewals of any type will be issued to any delinquent applicant unless specifically approved by the Westchester County Board of Plumbing Examiners. The Board, at its discretion, may require a delinquent applicant to take and pass an examination prior to being re-licensed or re-certified. Any person applying for a plumbing permit or working at the trade as a journey level person must possess a valid, current license at all times.

Vehicle sign lettering shall be a minimum of 2 inches per letter. Signs shall be required on both side panels of all vehicles. The sign must include the license holder's number and the company name or d/b/a that is registered with the County of Westchester for the license holder. Magnetic signage will be allowed.

[10.

REPEALED MAY 15, 2007]

BYLAWS OF THE COUNTY OF WESTCHESTER PUBLIC UTILITY SERVICE AGENCY

ARTICLE I THE AGENCY

Section 1. Name. The name of the Agency is the "County of Westchester Public Utility Service Agency."

Section 2. Office of Agency. The office of the Agency shall be located at the County Office Building, 148 Martine Avenue in the City of White Plains, New York or at such other places as the Agency may from time to time designate by resolution.

ARTICLE II COMMISSIONERS

Section 1. Membership. Appointments of Agency commissioners shall be made in accordance with the Laws of Westchester County Chapter 875, as the same may from time to time be amended.

Section 2. Resignations. Resignations shall be submitted in writing to the County Executive and to the Agency and shall take effect at the time specified therein. If no time be specified, the resignation shall be effective upon its receipt by the County Executive. The acceptance of a resignation shall not be necessary to make it effective, but no resignation shall discharge any accrued obligation or duty of a commissioner.

Section 3. Vacancies and Removals. Vacancies shall be filled and commissioners of the Agency may be removed or suspended as provided in the Laws of Westchester County Chapter 875, as the same may from time to time be amended.

Section 4. Compensation. No commissioner shall receive a salary, but shall be entitled to reimbursement for actual and necessary expenses incurred in the performance of that commissioner's official duties.

Section 5. Defense and Indemnification. Commissioners of the Agency shall be covered by the defense and indemnification provisions of the Laws of Westchester County Section 297.31, as the same may from time to time be amended.

Section 6. Restriction on Commissioner's Authority. Commissioners of the Agency shall exercise only such powers as are conferred upon them by the Laws of Westchester County Chapter 875, as the same may from time to time be amended, and any other provision of law.

Section 7. Restrictions on Commissioner's Activities. No commissioner of the Agency shall undertake or perform any activity which commits Agency funds or resources unless duly authorized to do so by the Agency.

ARTICLE III CHAIRMAN AND VICE CHAIRMAN

Section 1. Powers of the Chairman. The Chairman of the Agency shall be designated in a manner consistent with the Laws of Westchester County Chapter 875, as the same may from time to time be amended. The Chairman shall preside at all meetings of the Agency. At such meetings, the Chairman shall submit such recommendations and information as may be considered proper concerning the business, affairs and policies of the Agency.

Section 2. Vice Chairman. At the first regular meeting of the Agency during a calendar year, the Agency shall appoint from among its commissioners a Vice Chairman. The Vice Chairman shall perform the duties of the Chairman in the absence or incapacity of the Chairman. In the event of the resignation or death of the Chairman, the Vice Chairman shall perform such duties as are imposed on the Chairman until such time as a new Chairman shall be appointed in accordance with the Laws of Westchester County.

ARTICLE IV MEETINGS

Section 1. Place of Meeting. Agency meetings shall be held at the office of the Agency, 148 Martine Avenue, City of White Plains, New York.

Section 2. Regular Meetings. Regular meetings of the Agency may be held at such times and places as from time to time may be determined by the Chairman of the Agency, who is hereby delegated the authority to make such determinations.

Section 3. Special Meetings. The Chairman of the Agency may, and upon the written request of two commissioners of the Agency, shall call a special meeting of the Agency for the purpose of transacting any business designated in the call. At such special meeting no business shall be considered other than that designated in the notice, but if all the commissioners of the Agency are present at a special meeting, with or without notice thereof, any and all business may be transacted at such special meeting.

Section 4. Notice of Meeting. Written notice of regular meetings stating the place, date and hour shall be given personally or by first class mail to each commissioner of the Agency at that commissioner's business or home address at least seven days before the date of the meeting. Written notice of a special meeting, stating the place, date and hour of such a meeting and indicating that it is being issued by or at the direction of the person or persons calling the meeting, and stating the purpose or purposes for which the meeting is called, shall be given, personally or by first class mail to each commissioner of the Agency at that commissioner's home or business address at least one day before the date of the meeting. Where the delivery of written notice is not practicable, oral notice shall be deemed sufficient.

Section 5. Quorum. At all meetings of the Agency, a majority of the whole number of commissioners of the Agency which is four (4) shall constitute a quorum for the purpose of transacting business or exercising any power of the Agency. Once a quorum is present to organize a meeting, it is not broken by the subsequent withdrawal of any commissioner. The commissioners present may adjourn the meeting, despite the absence of a quorum. The Agency shall have the power to act by a majority vote of the whole number of the members of the Agency, which is four (4).

Section 6. Voting. Every commissioner of the Agency shall be entitled to one vote on each matter submitted to a vote of commissioners. Abstentions shall not be permitted except for conflict of interest. Permission to abstain must be obtained from the Chairman, or should the Chairman refuse, from the Agency by a majority vote of its commissioners. At the request of any commissioner, the nature of the conflict of interest must be explained by the commissioner seeking permission to abstain.

Section 7. Manner of Voting. The voting on all questions coming before the Agency shall be taken orally and the yeas, nays and abstentions shall be entered on the minutes of such meeting.

Section 8. Order of Business. At the regular meetings of the Agency, the following shall be the order of business.

Roll call.

Reading and approval of the minutes of the previous meeting.

Bills and communications.

Reports of Committees.

Unfinished Business.

New Business.

Adjournment.

Section 9. Rules of Order. Except as otherwise provided by law or by these bylaws, all meetings shall be conducted in accordance with Roberts' Rules of Order.

Section 10. Public Notice of Meetings. Public notice of the time and place of Agency meetings shall be given in a manner consistent with the provisions of Section 99 of the Public Officers Law of the State of New York, as the same may from time to time be amended.

Section 11. Executive Sessions. The Agency may consider matters in an Executive Session in a manner consistent with the provisions of Section 100 of the Public Officers Law of the State of New York, as the same may from time to time be amended.

Section 12. Minutes. The Chairman or his designee shall be responsible for the taking of the minutes of each meeting and Executive Session of the Agency in a manner consistent with the provisions of Section 101 of the Public Officers Law of the State of New York, as the same may from time to time be amended. Said minutes shall be made available to the public in a manner consistent with the provisions of Section 101 of the Public Officers Law of the State of New York.

ARTICLE V AGENCY CONTRACTS, OBLIGATIONS, AND TRANSACTIONS

Section 1. Signing of Agency Obligations. All obligations of the Agency shall be executed in a manner consistent with the Laws of Westchester County Chapter 875, as the same may from time to time be amended.

Section 2. Execution of Agency Contracts and Leases. The award and execution of agency contracts and leases shall be made in a manner consistent with the Laws of Westchester County, as the same may from time to time be amended.

Section 3. Transactions with Commissioners. Except as otherwise provided by law, no transaction between this Agency and one or more of its commissioners, or between this Agency and any other corporation, firm, association or entity in which one, or more of its commissioners are principals, officers, directors, shareholders, or otherwise financially interested in, shall be either void or voidable for this reason alone or by reason alone that such commissioner or commissioners were present at a meeting of the Agency which authorized such contract or transaction, or that such commissioner or commissioners votes are counted for such purpose, provided that the material facts as to such commissioner's interest in such transaction are fully disclosed to the Agency prior to the vote or other authorization of the transaction.

ARTICLE VI GENERAL

Section 1. Resolutions. The Agency may from time to time consider and adopt resolutions on all matters necessary or convenient for the management and regulation of its business subject to applicable law.

Section 2. Fiscal Year. The fiscal year of the Agency shall be January 1st through December 31st, or such fiscal year as may otherwise be adopted for the County of Westchester.

RULES OF THE COUNTY BOARD OF ACQUISITION AND CONTRACT ^[]

RULE ONE
REQUEST TO LAY OVER.

Any matter on the Board of Acquisition & Contract's agenda, upon request of any one member, shall be laid over for consideration once and come up at the next meeting under the order of "MATTERS LAID OVER".

A request to lay over as herein provided shall not apply to the last day of the annual meeting or special meeting.

RULE TWO
MOTION TO RECONSIDER.

A meeting of the Board of Acquisition and Contract may commence when any two members of the Board or their respective legally authorized representatives are present.

If a member (or his or her legally authorized representative) is not present when the meeting commences, that member or his or her legally authorized representative may have reconsideration made of any of the items on the Board's agenda that have been voted on prior to his or her arrival, providing that the meeting is still in session and has not been adjourned.

RULE THREE
PROCEDURES NOT COVERED.

Robert's Rules of Order, Revised Edition, shall govern the procedures of the Board of Acquisition & Contract in all cases when it is not inconsistent with the foregoing rules and not covered by the Rules of this Board set forth herein.

RULES OF THE PROFESSIONAL PREQUALIFICATION AND SELECTION BOARDS- PROCUREMENTS BETWEEN $20,000.00 AND $100,000.00 ^[]

§ 1. Definitions.

(a)

"D.P.W." - Westchester County Department of Public Works and Transportation.

(b)

"Eligible List" - A list of persons qualified by the Professional Prequalification Board to perform professional services, in their respective disciplines for Westchester County.

(c)

"Floating Member" of the Professional Selection Board - The Commissioner of the County Department (or his deputy commissioner acting as his authorized representative) directly involved in a projected contract for professional services then under consideration by the Pro - fessional Selection Board.

(d)

"Person" - Includes any individual, firm, partnership, corporation, association or other legal entity or any combination thereof.

(e)

"Prequalification Board" - Professional Prequalification Board established by Sec. 462 of the Westchester County Administrative Code.

(f)

"Professional" - Includes licensed architects, professional engineers and land surveyors li - censed and registered in the State of New York.

(g)

"Selection Board" - Professional Selection Board established by Sec. 464 of the Westchester County Administrative Code.

(Act No. 5-1976; amended by L.L. No. 19-2010)

§ 2. Prequalification of Professionals.

The Prequalification Board shall:

(a)

Prepare and adopt a uniform qualification form to be distributed or made available to interested professionals. This form shall request information sufficient to enable the Prequalification Board to evaluate the Professional's background, talent, experience, quality of work, adequacy of personnel and financial condition as well as his competence and experience in Public Works and Transportation projects and his reputation among his peers and among persons for whom he has provided professional services.

(b)

Process completed forms and rate applicants as qualified or unqualified to be placed on the eligible list, on the basis of the information furnished and applicable professional standards. Before making a determination, the Prequalification Board shall investigate the accuracy of the information furnished by the applicant.

(c)

Notify persons engaged in the relevant professions to submit updated forms at least annually or when a material change occurs in the information theretofore included in the qualification forms. Persons who fail to file annual updated forms will be dropped from the list of qualified professionals.

(d)

Maintain an eligible list, classified by appropriate categories, such as, but not limited to, disciplines, Public Works projects, financial and workload capabilities, previous work performed for the County, and availability. Upon request of the Chairman of the Selection Board, the Chairman of the Prequalification Board shall forward to him appropriate lists of qualified professionals, together with copies of their completed and evaluated qualification forms, suited to the requirements of the project for which the Selection Board desires to select a professional consultant.

(Act No. 5-1976; amended by L.L. No. 19-2010)

§ 3. Selection of Professionals.

(a)

Any County Department requiring the services of a Professional whose fee for all services covered by the proposed contract (and any other contract, the award of which to the same professional would be in the best interest of the County because of the relationship between such contracts) is estimated to be $20,000 or more, shall send a request to the Selection Board with a copy to the Commissioner of Public Works and Transportation; together with a description of the specific project including all appropriate information for inclusion in the Request for Proposal referred to in Section 4(c) below.

(b)

The Chairman of the Selection Board shall secure from the Prequalification Board appropriate lists of qualified professionals together with their qualification forms and the evaluations thereof by the Prequalification Board. The Selection Board shall then review and evaluate all eligible professionals so listed and select no less than three whose qualifications will ensure the level of performance required by the County. In selecting the three professionals the Selection Board shall consider the current and projected workloads of the qualified professionals and the volume of work previously awarded to each by the County, with a view to effecting an equitable distribution of professional contracts among qualified firms. However, no Professional will be selected unless he is deemed qualified to render services of the calibre ^[] required by the County relative to the work performed. The list of three professionals shall be ranked in order of preference and forwarded to the Board of Acquisition and Contract.

(Act No. 5-1976; Act No. 22-1992; amended by L.L. No. 19-2010)

§ 4. Award of Contract.

The Board of Acquisition and Contract shall:

(a)

Obtain from the Commissioner of Public Works and Transportation his best available estimate of the cost of the project.

(b)

Determine the compensation basis on which the professional contract is to be awarded (i.e., (i) lump sum, (ii) per diem, (iii) percentage of construction cost, (iv) multiple of direct technical cost plus fixed fee, or (v) any combination of the foregoing, or any other basis determined by said Board to be in the best interest of the County).

(c)

Notify the department head of the department involved to issue a Request for Proposals to the three professionals selected, pursuant to Section 3(a) above.

(d)

Direct the department head and/or the Commissioner of Public Works and Transportation to negotiate with the assistance of the County Attorney, the best possible contract for professional services with the first listed firm at a compensation which the Board of Acquisition and Contract, in the light of the responses to the Request for Proposal, determines to be fair and reasonable. In making such determination, the Board of Acquisition and Contract shall consider the reasonable value of the required professional services with regard to their scope, complexity and the costs involved.

(e)

In the event the department head, with such assistance of the County Attorney, is unable to negotiate a satisfactory contract with the professional with which negotiations are first held, this fact will be reported to the Board of Acquisition and Contract which may direct him to formally terminate such negotiations and to undertake such negotiations with the second listed firm. If necessary, this process will be repeated with the next listed firm until a satisfactory contract is finally negotiated. If the names of additional professionals, beyond the three originally selected are required, a further request shall be make ^[] to the Selection Board for an additional list of three names, ranked according to preference.

(f)

The contract, as negotiated, shall be subject to the approval of the Board of Acquisition and Contract which shall announce the award of the contract, including the name and address of the professional and the amount or estimated amount of compensation.

(Act No. 5-1976; amended by L.L. No. 19-2010)

§ 5. Accelerated Qualification Procedure.

Where time does not permit qualification by the usual procedure, in addition to and without limiting or restricting the provisions of Section 88 of the County Charter, a department head who considers it necessary to employ a professional whose fee for all services covered by the proposed contract (and any other contract, the award of which to the same professional would be in the best interests of the County because of the relationship between contracts), is estimated to be $20,000 or more, may secure such qualification by submitting to the Chairman of the Prequalification Board or, in his absence, to any available eligible member of the Board, a properly completed qualification form signed by the professional, together with a statement from the department head setting forth:

(a)

The reasons requiring the accelerated procedure, and

(b)

The reasons why this specific professional is required for the contract involved, in preference to any consultant on the latest qualified list.

The Prequalification Board member to whom the foregoing form and statement are submitted shall pass upon the reasonableness of the request and evaluate the qualifications. The department head shall submit the statement of reasons for the accelerated qualification procedure and the evaluated qualifications form as approved or otherwise acted upon by the Prequalification Board member, to the Chairman of the Selection Board, or in his absence, to any other available member of the Selection Board for further approval and submission to the Board of Acquisition and Contract for further action.

(Act No. 5-1976)

§ 6. Prohibition against contingent fees.

(a)

"Person" as used in this section includes any individual, firm, partnership, corporation, association or other legal entity or any combination thereof.

(b)

Each contract entered into by the County for professional services (whether or not the estimated fee shall be $20,000 or more) shall contain a prohibition against contingent fees substantially as follows:

"[The Professional] represents and warrants that he has not employed or retained any person, other than a bona fide full time salaried employee working solely for [the professional], to solicit or secure this agreement, and that he has not paid or agreed to pay any person (other than payments of fixed salary to a bona fide full time salaried employee working solely for [the professional]), any fee, commission, percentage, gift or other consideration, contingent upon or resulting from the award or making of this agreement. For the breach or violation of this provision, without limiting any other rights or remedies to which the County may be entitled or any civil or criminal penalty to which any violator may be liable, the County shall have the right, in its discretion, to terminate this agreement without liability, and to deduct from the contract price, or otherwise to recover, the full amount of such fee, commission, percentage, gift or consideration."

(c)

Without limiting any other rights or remedies of the County, and without limiting any other penalty imposed by law, any professional or any other person who shall offer to pay, or who does pay a fee, commission, percentage, gift or any other consideration contingent upon, or resulting from the award or making of a County contract for professional services, and any person who accepts or agrees to accept such a contingent payment, shall be ineligible to be included in any list of qualified professionals and shall be ineligible to enter into any contract whatsoever with the County, for a period of five years from the date of discovery of such offer or acceptance.

(Act No. 5-1976; Act No. 22-1992)

RULES OF THE PROFESSIONAL PREQUALIFICATION AND SELECTION BOARDS— PROCUREMENTS OVER $100,000.00 ^[]

§ 1. Definitions.

The following definitions shall apply to this Act ^[]:

(a)

"Department Head" - The person who is ultimately responsible for a County Department as defined by the applicable Laws of Westchester County and who has requested the selection of a consultant pursuant to the rules and procedures set forth hereunder.

(b)

"Eligible List" - A list of persons qualified pursuant to the rules and procedures set forth below by the Professional Prequalification Board to perform professional architectural, engineering or land surveying service, in their respective disciplines for the County.

(c)

"Person" - Includes any individual, firm, partnership, corporation, association or other legal entity or any combination thereof.

(d)

"Prequalification Board" - The Professional Prequalification Board established pursuant to Section 277.91 of the Laws of Westchester County.

(e)

"Professional" - Includes licensed architects, professional engineers and land surveyors licensed and registered in the State of New York.

(f)

"Reasonably foreseeable related contracts" - Are those contracts that are reasonably foreseeable and which would, in the best interests of the County, have to be awarded to the same Professional who is selected for a proposed contract pursuant to the rules and procedures set forth below. In making such a determination in accordance with the rules and procedures set forth below, one must consider the overall project and avoid breaking any project up solely to avoid crossing the $100,000 threshold.

(g)

"Selection Board" - The Professional Selection Board established pursuant to Section 277.111 of the Laws of Westchester County. (Act No. 144-1996)

§ 2. Rules and Procedures.

Prequalification of Professionals.

The Prequalification Board shall:

(i)

Prepare and adopt a uniform qualification form to be distributed or made available to interested professionals. This form shall request information sufficient to enable the Prequalification Board to evaluate the Professional's background, talent, experience, quality of work, adequacy of personnel and financial condition as well as his/her competence and experience in Public Works projects and his/her reputation among his/her peers and among persons for whom he/she has provided professional services.

(ii)

Process completed forms and rate applicants as qualified or unqualified to be placed on the Eligible List, on the basis of the information furnished and applicable professional standards. Before making a determination, the Prequalification Board shall investigate the accuracy of the information furnished by the applicant.

(iii)

(iv)

Maintain an Eligible List, classified by appropriate categories, such as, but not limited to, disciplines, Public Works projects, financial and workload capabilities, previous work performed for the County, and availability.

(v)

Upon receipt of a draft Request for Proposals (hereinafter "RFP") from a Department Head that has made a request to the Selection Board for the selection of a Professional for a particular project in accordance with the procedures outlined in B(iii) below, the Prequalification Board shall review such draft RFP to determine whether its existing Eligible Lists are adequate to recommend eligible Professionals for this particular project or whether it is necessary to create a new Eligible List to suit the County's particular needs for this project. If the Prequalification Board determines that this project requires a new Eligible List, it shall proceed to create such list forthwith.

(vi)

Upon the request of the Chair of the Selection Board, the Chair of the Prequalification Board shall forward to him appropriate lists of qualified professionals, together with copies of their completed and evaluated qualification forms, suited to the requirements of the project for which the Selection Board desires to select a professional consultant.

Selection of Professionals.

(i)

Any County Department requiring the services of a Professional whose fee for all services covered by the proposed contract (including any reasonably foreseeable related contracts) is estimated by a Department Head, using all reasonably available information, to be valued in excess of One Hundred Thousand ($100,000) Dollars shall send both a request for selection of a Professional and a draft RFP as described in B(iii) below to the Chairs of the Selection and Prequalification Boards, with a copy to the Commissioner of Public Works and Transportation.

(ii)

The Chair of the Selection Board shall then secure from the Prequalification Board appropriate lists of qualified Professionals together with their qualification forms and the evaluations thereof by the Prequalification Board.

The Selection Board shall review both the draft RFP, the Eligible Lists and the evaluation of such lists by the Prequalification Board, then shall prepare a Preliminary Ranking of all the eligible Professionals so listed and shall select the three (3) top ranked Professionals. In making such Preliminary Ranking, the Selection Board shall consider the estimated workload of the proposed project against the current and projected workloads of the eligible qualified Professionals, with a view toward ensuring that the proposed project will be carried out in a timely manner and toward effecting a reasonably equitable distribution of contracts among eligible, qualified firms. However, no Professional shall be selected unless deemed qualified to render services of the caliber required by the County relative to the work performed.

The Selection Board shall then submit final RFPs as described in B(iii) below to the three top ranked Professionals in the Preliminary Ranking and shall request that the Professionals submit proposals in accordance with the requirements of said RFP. The Selection Board may, either upon the request of any one of the Professionals who received an RFP or upon its own motion, prepare and issue written clarifications of the RFP and may extend the deadline for submission of proposals by an appropriate time. No such clarifications or extensions shall be effective unless made in writing and signed by the Chair of the Selection Board or his duly authorized designee. All such written clarifications and extensions shall be provided to all of the Professionals to whom the RFP was submitted. However, nothing herein shall be construed as preventing the Selection Board or its designee from meeting with the Professionals to whom the RFP was submitted to discuss the RFP before the proposal submission deadline, provided that all such Professionals are invited to such meeting and provided that nothing said at such meeting shall be binding on the Selection Board or the County, unless such comments are in writing and signed by the Chair or his designee.

After the deadline for receipt of proposals has passed, the Selection Board shall first review the proposals submitted to it and shall determine if the proposals received were responsive in all material respects to the RFP and whether the proposal meets the minimum evaluation criteria established by the Selection Board for review of such proposals.

The Selection Board shall establish minimum evaluation criteria that shall apply to its review of all such proposals. Such minimum criteria shall include, but shall not be limited to, criteria to evaluate the proposal's technical merit, net cost, and the ability of the proposer to timely complete the contract within the budget allocated for said contract. The Selection Board may also set additional evaluation criteria for a particular RFP, based on said Board's review of the project description and scope of work in the draft RFP.

All criteria used to evaluate such proposals must be set forth in the RFP, although the particular weight that the Selection Board will apply to each criteria need not be included in the RFP. However, if the evaluation criteria are weighted by the Selection Board, such weighting must be applied uniformly to all proposals evaluated for a particular project. Proposal evaluation criteria may be amplified or amended in a written clarification of the RFP, prior to the deadline for proposal submission.

If as the result of rejection of proposals and/or because one or two of the three top ranked Professionals declined to submit proposals only one proposal is received, then the Selection Board may solicit proposals from the next two highest ranked Professionals and shall set a reasonable deadline for proposal submission. If additional proposals are solicited, the Selection Board may permit the remaining Professional to amend its proposal, if the delay in evaluation would affect that Professional's competitive position when ranked. The Selection Board shall use this process to make a reasonable effort to insure competition in the RFP process.

The Selection Board shall fully evaluate all proposals received in response to an RFP which have not been rejected for the grounds set forth above. Such evaluation shall be in writing and shall utilize all the proposal evaluation criteria set forth in the RFP. The Selection Board shall then rank all of these proposals based on the evaluation criteria set forth in the RFP.

Upon completion of such final ranking, the Selection Board shall direct the Department Head for which such Professional is sought, to negotiate on behalf of the County and subject to the approval of the Board of Acquisition and Contract, the best possible contract for the County. The Selection Board may direct simultaneous negotiations with the Professionals who submitted either the top two or the top three ranked proposals in order to receive the best possible price and terms for the County. Alternatively, if one proposal appears to be clearly superior to the others, the Selection Board may direct the Department Head to negotiate exclusively with one Professional at a time in the order that the proposals were ranked, advancing to the next lowest in rank only if negotiations with the higher ranked one prove unsuccessful.

The County negotiators shall be free to negotiate any element of a proposal, provided that it results in a better overall deal for the County than that offered in the original proposal and/or as may be necessary to meet the County's applicable legal requirements for such contracts.

If such negotiations do not result in a contract that is satisfactory to the County, the Selection Board shall direct a termination of negotiations and shall take the applicable eligible list and begin the Selection Process again. If the Selection Board determines it is necessary, the RFP shall be appropriately revised. Those vendors with whom the County was unable to successfully complete negotiations, shall not be included in the new Preliminary Ranking.

(iii)

Any County department requiring the services of a Professional whose fee for all services covered by the proposed contract (including any other reasonably foreseeable related contracts) is estimated to be in excess of One Hundred Thousand ($100,000) Dollars shall prepare a draft RFP for such proposed contract which shall contain a detailed description of both the proposed project and of the scope of the Professional services being sought. The Department Head shall submit such draft RFP to the Chair of the Selection Board, together with a written request for selection of such a Professional. The Department Head shall simultaneously submit copies of the draft RFP to the Chair of the Prequalification Board and to the Commissioner of Public Works and Transportation.

The Selection Board shall review such draft RFP to determine if the project description and scope of services is sufficient to obtain reasonably detailed proposals from qualified Professionals. The Selection Board shall either accept or reject such draft RFP. If the Selection Board rejects a draft RFP, it shall return it to the Department Head, together with a letter explaining the reasons for the rejection. A copy of such rejection letter shall be sent to the Prequalification Board and to the Commissioner of Public Works and Transportation. If the Selection Board accepts the RFP, it shall create a final RFP by including the time and date of the deadline for the Selection Board's receipt of proposals, the name of the person to whom and the location where proposals are to be submitted, all of the criteria that will be used to evaluate and rank proposals and the manner in which compensation shall be paid for this contract (e.g. (1) lump sum, (2) per diem, (3) percentage of construction cost, (4) multiple of direct technical costs plus fixed fee, (5) any combination of the foregoing).

(iv)

In the event that a proposed contract involves federal or state financing and receipt of such financing is contingent on complying with such federal or state rules, regulations, requirements or guidelines for the selection of a Professional, then the Selection Board shall follow the applicable rules, regulations, requirements or guidelines in selecting a Professional for such proposed contract.

Award of Contract.

(i)

Upon the successful completion of the contract negotiation, the Department Head shall submit the material terms and conditions of the proposed agreement to the Board of Acquisition and Contract for its approval pursuant to the requirements of Section 161.11 of the Laws of Westchester County.

Accelerated Qualification and Selection Procedure.

(i)

Where time does not permit qualification by the usual procedure, in addition to and without limiting or restricting the provisions of Section 167.171 of the Laws of Westchester County, a Department Head who considers it necessary to employ a Professional whose fee for all services covered by the proposed contract (and any other reasonably foreseeable related contract), is estimated to be valued at $100,000 or more, may secure such qualification by submitting to the Chair of the Prequalification Board or, in his or her absence, to any available eligible member of the Board, a properly completed qualification form signed by the Professional, together with a statement from the Department Head setting forth:

(a)

The reasons requiring the accelerated procedure, and

(b)

The reasons why this specific Professional is required for the contract involved, in preference to any consultant on the latest eligible list.

The Prequalification Board member to whom the foregoing form and statement are submitted shall pass upon the reasonableness of the request and evaluate the qualifications. The Department Head shall submit the statement of reasons for the accelerated qualification procedure and the evaluated qualifications form as approved or otherwise acted upon by the Prequalification Board member, to the Chair of the Selection Board, or in his or her absence, to any other available member of the Selection Board for further approval and, if approved, submission to the Board of Acquisition and Contract for further action.

Prohibition against contingent fees.

(i)

"Person" as used in this section includes any individual, firm, partnership, corporation, association or other legal entity or any combination thereof.

(ii)

Each contract entered into by the County for professional services (whether or not the estimated fee shall be $100,000 or more) shall contain a prohibition against contingent fees substantially as follows:

(iii)

Without limiting any other rights or remedies of the County, and without limiting any other penalty imposed by law, any Professional or any other person who shall offer to pay, or who does pay a fee, commission, percentage, gift or any other consideration contingent upon, or resulting from the award or making of a County contract for Professional Services, and any person who accepts or agrees to accept such a contingent payment, shall be ineligible to be included in any list of qualified Professionals and shall be ineligible to enter into any contract whatsoever with the County, for a period of five years from the date of discovery of such offer or acceptance.

(Act No. 144-1996; amended by L.L. No. 19-2010)

§ 3. The Commissioner of Public Works and Transportation shall prepare an annual report for the previous calendar year by no later than January 31 of each year, which shall be submitted to the County Executive. The annual report shall recite the names of the Professionals who have been the subject of Prequalification and Selection or Accelerated Qualification and Selection and who have been awarded contracts by the County in the previous year under the rules established in Act 5-1976, as amended by Act 22-1992 and as further amended by this Act ^[]. Such report shall also contain a summary of the purpose of each such contract and the maximum amount payable under such contract which has been authorized by the County Board of Acquisition and Contract.

(Act No. 144-1996; amended by L.L. No. 19-2010)

RULES OF THE WESTCHESTER COUNTY BOARD OF ETHICS
11/5/1997, as amended 1/12/1999

Definitions.

Board shall mean the Westchester County Board of Ethics.

Officer or employee shall mean a candidate for county elected office or an elected or appointed official, officer or employee of the County of Westchester, whether paid or unpaid, including members of any administrative board, commission or other agency thereof. No person shall be deemed to be a municipal "officer or employee" solely by reason of being a volunteer fireman or civil defense volunteer, except a Fire Chief or Assistant Fire Chief. See Laws of Westchester County Section 883.11(h).

Powers and Duties of the Board:

The Board shall elect a Vice-Chair and Secretary annually at its first meeting in each calendar year. The Board shall have the power to issue subpoenas, to require the attendance of witnesses and/or the production of books, papers, or any other items necessary for the investigation and/or hearings on any alleged violation of the provisions of the County Code of Ethics. See Laws of Westchester Section 192.41.

A majority of the board shall constitute a quorum for the purposes of conducting the business of the Board.

The Chair of the Board or his designee shall have the power to perform any ministerial tasks which are necessary for the efficient operation of the Board of Ethics.

The Board shall accept requests for advisory opinions, in writing, from officers and employees of municipalities wholly or partly within Westchester County where such municipality does not have its own Board of Ethics. Where a municipality does have its own Board of Ethics, the Board shall accept requests for advisory opinions, in writing, from the municipality's board of ethics only.

The Board shall serve notices, petitions, and orders on a County officer or employee by (i) personal service or by certified mail, return receipt requested and (ii) by first class mail at the County officer's or employees last known address.

Procedures for Alleged Violations of the Westchester County Code of Ethics.

Complaint.

The Board of Ethics may accept a complaint in writing from a Westchester County officer or employee regarding any County officer or employee. The complaint must contain a statement of the facts regarding the County officer's or employee's alleged violation of Westchester County Code of Ethics. The complaint should include any documentation, which supports the allegations made therein. The County officer or employee who files the complaint may be required to testify at any proceeding of the Board held with regard to the complaint or provide further information with regard to the complaint as requested by the Board of Ethics.

Upon receipt of a complaint and supporting documentation, the Board of Ethics will review said complaint and determine whether subsequent action by the Board of Ethics is warranted.

If the Board of Ethics determines that subsequent action is warranted, the Board of Ethics shall conduct an investigation of the merits of the complaint.

Commencement of Formal Proceedings and Pleadings.

Petition

If, after an investigation as set forth above, the Board determines that there is reasonable cause to believe that a County officer or employee has violated any of the provisions of the Westchester County Code of Ethics, the Board of Ethics shall serve, by personal service or by certified mail return receipt requested, a petition on the county officer or employee. The petition shall contain notification of the following:

(a)

the facts regarding the County officer's or employees's conduct which, if true, constitute a violation of the Westchester County Code of Ethics.

(b)

the provisions of the Westchester County Code of Ethics, that the County officer or employee is alleged to have violated.

(c)

the county officer's or employee's right to file a written answer to the petition by a date indicated on the petition and that such answer, if filed, must be served upon the Board by personal service or certified mail, return receipt requested.

(d)

that the County officer's or employee's failure to file an answer shall constitute a default by such county officer or employee, and that a hearing may proceed in such County officer's or employee's absence and a determination based on the allegation set forth in the petition and any other evidence presented at such hearing may by made by the Board.

(e)

that the County officer or employee has the right to a hearing, to be represented at such hearing by counsel or any other person, to produce witnesses and evidence on his or her own behalf and to cross-examine any witnesses who testify against the County officer or employee.

(f)

that the County officer or employee may waive his or her right to a hearing by signing an admission to the allegations set forth in the petition.

Answer.

In the event a County officer or employee exercises the right to file an answer to a petition, the County officer or employee shall serve such answer on the Board of Ethics by personal service or by certified or registered mail, return receipt requested. The answer must be received by the Board of Ethics no later than the date indicated on the petition for receipt of such answer. In the event that a County officer or employee is unable to answer the petition by the date indicated on the petition, the Board of Ethics may grant the County officer or employee an additional ten days to submit his or her answer for good cause shown.

The answer shall be in writing and shall admit, deny and/or explain each allegation of the petition. The answer shall be signed by the County officer or employee and shall contain his or her full name, address, and telephone number. If the County officer or employee is represented by counsel, counsel's name, address and telephone number shall also appear on the answer.

Upon receipt of an answer by the County officer or employee, the Board may, in its discretion, dismiss the petition or schedule the matter for a hearing.

If the County officer or employee fails to answer the allegations of the petition by the date indicated on the petition, the Board of Ethics shall schedule the matter for a hearing and make determination based on the allegations set forth in the petition and any other evidence presented at such hearing.

Hearing.

If the Board determines that a hearing on a petition regarding the conduct of a County officer or employee must be scheduled, such County officer or employee shall be given written notice of the date, time and place of such hearing. Such notice shall be sent to the County officer/employee by certified mail, return receipt requested.

If the accused party chooses to have an open meeting and is present at the time of questioning witnesses, cross-examining of said witnesses by the investigative party shall not be permitted. However, at the conclusion of the investigation, the investigative party may testify in rebuttal and shall be given an opportunity to present written and/or documentary responses within a period of time set by the Ethics Board. (1/12/99)

A quorum of the Board of Ethics must be in attendance during the hearing. The Board's Chair or his or her designee shall preside over the hearing.

The Board of Ethics shall not be bound by the Rules of Evidence in the conduct of the hearing.

Decisions and Orders.

If, after the hearing and upon consideration of all the evidence presented at the hearing, the Board finds, by a preponderance of the evidence, that a County officer or employee has violated a provision of Westchester County Code of Ethics, then the Board shall issue an order which will contain its findings of fact and conclusions of law and any penalties the Board deems appropriate, in accordance with section 883.91 of the Westchester County Code of Ethics.

If, after the hearing and upon consideration of all the evidence presented at the hearing, the Board finds, by a preponderance of the evidence, that a County officer or employee has not violated a provision of Westchester County Code of Ethics, then the Board shall issue an order which will contain its findings of fact and conclusions of law and which will dismiss the petition in its entirety.

In either case, said order of the Board shall be served upon the County officer or employee by certified mail, return receipt requested.

Procedures for Obtaining an Extension of Time Within Which to File a Financial Disclosure Report.

Extension of Time to File.

A person required to file a financial disclosure report with the Board of Ethics pursuant to Chapter 883 of the Laws of Westchester County or any other law maybe granted an extension of time within which to file a report or portion thereof upon a showing of justifiable cause or undue hardship.

A finding of justifiable cause or undue hardship shall not be based on periods of annual leave, attendance at conferences or meetings, or other scheduled or voluntary absences from work.

General Procedures.

A request for an extension of time within which to file a financial disclosure report or portions thereof which is due by May first shall be postmarked, or personally delivered to the Board or its designee, no later than April fifteenth of the year in which such report is to be filed. Where the Code of Ethics requires the filing of such a financial disclosure report at a time other than on or before May first, a request for extension of time within which to file a financial disclosure report shall postmarked, or delivery made to the Board, no later than fifteen days prior to such filing deadline.

The request for an extension of time to file a financial disclosure report shall be mailed to the Board by certified mail or shall be delivered by personal service and, upon request, a receipt may be issued upon acceptance of such delivery.

The request for an extension of time within which to file a financial disclosure report or portions thereof due to justifiable cause or undue hardship shall contain the following information:

(a)

The name of the person making such request and such Person's home address and work address;

(b)

The title of the person's position or job classification and name of the department or Westchester County Board or Commission by which such person is employed/member;

(c)

Explanation of justifiable cause or undue hardship in the form of a written statement with copies of any necessary supporting documents such person wishes the Board to consider;

(d)

The additional time requested and the date by which such person intends to comply with the filing requirements.

Time Limitations Upon Extensions.

An extension of time to file a financial disclosure report or portions thereof due to justifiable cause or undue hardship shall not be granted for a period greater than 90 days from the original date the financial disclosure report was due unless the Board determines there are extenuating circumstances.

Board Action.

Upon receipt of a timely request for an extension of time within which to file financial disclosure report, the Chairman and/or the Board shall review the material filed to determine whether an extension is appropriate.

The Chairman and/or the Board may in its discretion request, in writing, additional information from the person making the request. Such additional information shall be submitted to the Chairman and/or the Board within ten (10) business days of the date of the request. In the event that the additional information is not received within ten business days, a determination will be made on the basis of the available information.

Written notice shall be provided to the person making the request.

(a)

In the event the request for an extension of time within which to file a financial disclosure report is approved, such report shall filed on or before the date indicated in the written notice.

(b)

In the event the request for an extension of time within which to file a financial disclosure report or portions thereof is denied, such report shall be filed before or on the due date set forth in Chapter 883 of the Laws of Westchester County or such date as may thereafter be established by the Board in its determination.

Retention of Financial Disclosure Reports.

Whenever a financial disclosure report is filed with the Board, it shall be retained by the Board for a period commencing on the date such report was filed with the Board and expiring on the sixth anniversary of December 31 of the calendar year to which such report relates. The period during which the Board is required to retain a financial disclosure report is hereinafter referred to as the "required retention period" for such report.

Except as provided in subparagraph (c) below, upon expiration of the required retention period for a financial disclosure report, pursuant to paragraph (1) above, the Board shall either destroy such report, or if requested by the individual who filed such report, return such report to such individual. Any request that the Board return such report must be made in writing to the Board not later than 30 days prior to the expiration of such period.

Notwithstanding the provisions of subparagraph (a), the Board may retain a financial disclosure report beyond the expiration of its required retention period if said documents are subpoenaed, by Court Order prior to the expiration of the required retention period. After the Board has complied with the provisions of the Court Ordered subpoena, the Board shall either destroy such report, or if previously requested by the individual who filed such report in accordance with the provisions of subparagraph (b), return such report to such individual.

Inspection of Records

Notwithstanding the provisions of article six of the public officers law, the only records of the commission which shall be available for public inspection are:

the information set forth in an annual statement of financial disclosure filed pursuant to local law, ordinance or resolution … except the categories of value or amount which shall remain confidential and any other item of information deleted pursuant to law;

notices of delinquency sent pursuant to law;

notices of reasonable cause sent pursuant to law;

notices of civil assessment imposed pursuant to law.