APBP 2026 Invasives RFP.pdf

Request for Proposals

Invasive Plant

Chemical Eradication Treatments

Albany Pine Bush Preserve, Albany NY

RFP released June 16, 2026, Bids Due July 17, 2026

C100295

Objective: The Albany Pine Bush Preserve Commission is requesting bids to chemically and mechanically treat invasive plants on up to 260 acres using foliar and cut stump application methods. Invasive plant treatments require handheld herbicide application as well as the use of power tools.

A. Scrub Oak foliar thinning, with other invasives - (110 acres) -

1. Using only Low Volume Foliar (LVF) application methods, apply herbicide to 110 acres of scrub oak (Quercus prinoides and Quercus ilicifolia) and other invasive plants as encountered. The complete list of other invasive plants to be treated, in addition to scrub oak, is provided as Attachment A. The scrub oak and other invasive plants are approximately 2-5 feet tall. Perimeters of sites to be treated with herbicide will be flagged by Commission staff as needed and are shown on Attachment B map.

2. Complete the foliar scrub oak and other invasives treatments between September 7, 2026 and October 9, 2026 but before the first frost.

3. Confirm the percentage of kill of target invasive species treated is to be 100 percent. The objective is treatment of 65% of the existing multi-stem clusters of scrub oak, leaving 35 % of the scrub oak clumps untreated. No distinction should be made between the two species of scrub oak while using this treatment method. For example, walking a linear path applicators would treat two (2) scrub oak clusters and leave the third, repeating this pattern across the entire site.

4. If any portions of treatment areas are dominated by other invasive plants, the other invasive plants will be treated instead of the scrub oak. Secondary thinning of the scrub oak may occur as a result of the overspray of these other invasive plant treatments.

5. Shall use biodegradable paper flagging or tracking app (such as Avenza or Field Maps), during treatment, to assist with identification of treated and untreated areas to minimize missed areas or re-treatment of areas previously treated.

6. Shall use the herbicide mixture consisting of Krenite “S” (active ingredient Fosamine) and

Arsenal (active ingredient Imazapyr) with adjuvants in a water carrier. The Krenite/Arsenal low volume mix formulation will contain Krenite 5 Gallons, Arsenal 1 Qt. plus surfactant in

100 gals of water. This is equivalent to 5% Krenite and 0.25% Arsenal. Nonionic surfactants (wetting agents) appropriate to this type of low volume herbicide application shall be used as required by the label. A tracker dye shall also be used to help ensure applicators know where treatments have or have not occurred so that the percentage of target kill is 100%.

7. Shall use the LVF method which is the close, selective application of coarse sprays of specially formulated herbicides using backpack sprayers and a slightly higher mix proportion of the herbicide concentrate (as compared to high volume sprays that use much more spray but a lower concentration of herbicide), to the majority (at least 70%) of the leaves of the target scrub oak (and other invasive plants), with specific emphasis on covering the top of the crown, particularly the terminal bud area.

8. Shall insure that minimal amounts of over-spray and under-spray occur by treating only the scrub oak, along with other invasive plants, by getting as close to the target foliage as possible. This technique will not be used during high winds, precipitation, or where any other label restrictions preclude use.

9. Shall use the backpack sprayer type that is the low-pressure hand pumped variety. No gas-powered units are permitted. All hand pumped backpack sprayers used for the low volume foliar technique will be further equipped with a constant flow valve (CFV) that prevents over pumping and provides a constant pressure and flow that likewise reduces spray drift.

10. Shall not allow spray materials to come in contact with any Pitch Pine trees, other trees or other vegetation other than the target vegetation. Only scrub oak and other invasives are to be sprayed as described above. Protect all desirable vegetation from spray or misapplication of herbicide.

B. Foliar Japanese Knotweed Treatments – (1.5 acres at seven small sites)

1. Using Low Volume Foliar (LVF) application methods, apply herbicide selectively on 1.5 acres of Japanese knotweed (Reynoutria japonica) at seven small sites. Sites to be treated with foliar herbicide are shown on Attachment B map and have been previously mowed in early July 2026 by Commission staff.

2. Foliar treatments will take place between August 17 and October 9, 2026 but before the first frost. Japanese knotweed will need to be at least 2 feet, but not more than 4 feet tall when treatment takes place.

3. Contractor will grid each site on foot so that all Japanese knotweed plants are treated.

4. The foliar herbicide to be used at these foliar sites is Accord (active ingredient glyphosate) at

4% solution plus 0.5% non-ionic surfactant. The only acceptable method of application to the targeted invasives is the low volume foliar (LVF) application. Blue tracking dye shall also be added.

5. The percent kill of Japanese knotweed is to be 100 percent.

6. The Japanese knotweed will be treated by thoroughly wetting at least 90% of the leaf surfaces but not to the point of rundown. LVF applications shall be made with the low pressure hand pumped backpack sprayers near nontarget vegetation and therefore no drift control agents are necessary.

7. LVF is the close, selective application of coarse sprays of specially formulated herbicides using backpack sprayers and a slightly higher mix proportion of the herbicide concentrate (as compared to high volume sprays that use much more spray but a lower concentration of herbicide), to the majority (at least 90%) of the leaves of the target invasives, with specific emphasis on covering the top of the crown, particularly the terminal bud area.

8. Personnel on foot using backpack sprayers will apply the low volume foliar application by directly spraying the Japanese knotweed in close proximity. The applicator(s) will insure that minimal amounts of over-spray and under-spray occur by treating only the Invasive Plants and by getting as close to the target foliage as possible. Treatments may not be used during high winds, precipitation, or where any other label restrictions preclude use.

9. The backpack sprayer type used by the contractor shall always be of the low-pressure hand pumped variety. No gas-powered units are allowed. All hand pumped backpack sprayers used for the low volume foliar technique will be further equipped with a constant flow valve

(CFV) that prevents over pumping and provides a constant pressure and flow that likewise reduces spray drift.

10. Do not allow spray materials to come in contact with any Pitch Pine trees, Scrub Oak or other trees or vegetation other than the target vegetation. Only the Invasive Plants are to be treated. Protect all other vegetation from spray or misapplication of herbicide.

C. Invasive tree cut stump treatment – up to 145 acres

1. Mechanically hand fell, with chainsaw, brush saw or hand loppers, and then chemically stump treat up to 137 acres of early successional Invasive Trees, primarily Black locust and

Aspen (see Attachment A), with sites shown on Attachment B map. The perimeter of the sites to be treated will be flagged, as needed, by Commission staff. Additional acres may be added in August 2026 with an updated revised map provided.

2. Complete cut stump/chemical treatments between September 28, 2026 and December 31, 2026.

3. Cut Invasive Trees no more than 6 inches above the ground, with a flat top on the stump so that the herbicide applied will soak in rather than run off the stump.

4. Treat Invasive Trees with a dbh between one inch (1”) and six inches (6”) inclusive.

5. Leave all Invasive Trees where felled and do not pile or concentrate them in any particular area within each site.

6. Use the herbicide Accord at full strength (53.8% glyphosate) on all cut stump Invasive Trees.

Herbicide will be applied with a backpack or other handheld, non- powered sprayer at low pressure with an appropriate nozzle to direct a concentrated stream of chemical to cover the perimeter of each cut stump while minimizing overspray and runoff. All hand pumped backpack sprayers shall be further equipped with a CFV that prevents over pumping and provides a constant pressure and flow that likewise reduces excessive spray pressure and drift. All efforts will be made to minimize all herbicide contact with non-target vegetation.

7. Ensure that all cut stems are treated within 15 minutes of being cut. Herbicide application may not take place during active precipitation, if precipitation is forecast within 1 hour of application or where any other label requirements preclude use.

8. Not allow spray materials to come in contact with any Pitch Pine trees, other trees or vegetation other than the target vegetation. Only the Invasive Trees are to be treated. Protect all desirable vegetation from spray or misapplication of herbicide.

10. Use biodegradable paper flagging, applied during treatment, to assist with edge identification of treated and untreated areas, minimizing missed areas or re-treatment of areas previously treated.

11. Use blue tracker dye to ensure applicators know where herbicide treatments have occurred.

12. Ensure the percent kill of Invasive Trees is 100 percent.

• All contractor personnel shall have applicable current New York State Certified Pesticide

Applicator Licenses (Apprentice, Technician, and/or Applicator as appropriate) and be capable of instantly recognizing the target invasive tree and other plant species to be treated as well as having the ability to identify the desirable plants to be left untreated. Commission staff will assist in this onsite training prior to treatment, as needed.

• Shall strictly comply with all EPA registered herbicide labels requirements, all applicable, appropriate and relevant Federal and State regulations, all DOT hazardous material regulations, and DEC regulations including DEC wetland permit conditions and special conditions pertaining to herbicide application. All other relevant laws and regulations pertaining to the use of pesticides, use of best management practices and the prevention of pollution shall be followed.

• The contractor shall strictly comply with all EPA registered herbicide label requirements, all applicable, appropriate and relevant Federal and State regulations, all DOT hazardous material regulations, and DEC regulations including DEC wetland permit conditions and special conditions pertaining to herbicide application. All other relevant laws and regulations pertaining to the use of pesticides, use of best management practices and the prevention of pollution shall be followed.

• The Contractor shall be held totally responsible and save the Commission harmless for any damage both on and off Albany Pine Bush Preserve property which is the result of careless or illegal application, use of unapproved herbicides or mixes, or failure to adhere to any and all contract provisions as well as all applicable, appropriate and relevant rules and regulations. The Contractor shall take all precautions to prevent any herbicide from entering directly or indirectly into standing or moving water either by direct application or by accident.

• The Contractor shall notify the Commission immediately of any unintentional release of any herbicide or other chemical while on Commission property and shall immediately take measures to contain and clean up such spilled materials, including the removal of contaminated soil. The Contractor shall have at all times, equipment and supplies readily available to adequately control and clean up any chemical spills. The Contractor shall also be responsible for notification of all applicable agencies in the event of an uncontrolled chemical release.

• Disposal of any unused, off-specification, or otherwise contaminated herbicide formulations or other chemical materials shall be the sole responsibility of the Contractor.

Any hazardous material or other wastes generated from the Contractor’s operations shall also be the sole responsibility of the Contractor. No materials whatsoever shall be disposed of on any part of the Preserve, or land under the jurisdiction or management of the

Commission or any adjacent private properties.

• No chemicals or fuels shall be stored on the Preserve property or land under the jurisdiction or management of the Commission

• Contractor and all chemical applicators must be able to identify wild blue lupine (Lupinus perennis) and must make every effort to avoid spraying any actively growing lupine.

Commission staff will assist with identification of this federally endangered Karner blue butterfly host plant before the contract is initiated.

• Liability and Workers Comp insurance are required. This is NOT a prevailing rate contract for foliar treatments but IS prevailing rate for cut stump treatments (see below).

D. About the Albany Pine Bush Preserve Commission

Located in the heart of the Capital District Region, the Albany Pine Bush represents one of the best remaining examples of an inland pine barrens ecosystem in the world. This gently rolling sand plain is home to a unique diversity of animals and plants, including 20 rare species and two rare natural communities.

Thousands of people visit the Albany Pine Bush Preserve each year for outdoor recreation, research, nature study and respite. The preserve positively and significantly contributes to the quality of life in the municipalities it crosses. Its 3,450 acres of protected Pine Bush land are a cherished resource to local communities.

The Albany Pine Bush Preserve Commission was created by the NYS Legislature in 1988 to protect and manage the unique and endangered natural communities and species of the Albany

Pine Bush for ecological, recreational and educational benefits.

E. Location of job sites: The Albany Pine Bush Preserve is located in the Capital District of

New York State. The project sites are in the City of Albany, Town of Colonie and Town of

Guilderland, NY. See Attachment B map.

F. Time Period to Respond:

Please submit proposals by email no later than July 17, 2026 with hourly rates and chemical costs as follows:

1. Hourly rate for each two (2) person crew. Cost will then be multiplied for additional two person crews as available/needed. Please also include how many two person crews are available for this project.

2. Chemical costs (per gallon) will be in addition to the hourly rate with totals for labor and chemicals calculated weekly. Please include chemical cost for Arsenal, Krenite S and

Accord per gallon.

3. Bids will be evaluated 70% for technical ability, 30% for total cost and will be scored by the project manager. All other scores being equal and acceptable, low bidder will generally be awarded the contract.

This IS a prevailing rate project when power tools (brush saws, chainsaws) are being used for cut stump work but is NOT prevailing rage when backpack foliar spraying is the only on-site activity.

https://apps.labor.ny.gov/wpp/publicViewPWChanges.do?method=showIt https://apps.labor.ny.gov/wpp/publicViewPWChanges.do?method=showIt

Please Submit Proposals by email to:

Joel A. Hecht, Stewardship Director

Office (518) 690-2773 jhecht@albanypinebush.org.

Self-guided or accompanied site visit available upon request.

195 New Karner Road, Albany, NY 12205

Attachment A

“Invasive Plants/Trees” are defined as the following species:

Primary: (wherever found) o Black Locust (Robinia pseudoacacia) o Aspen, Bigtooth and Quaking (Populus grandidentata, Populus tremuloides) o Cottonwood (Populus deltoides) o Oriental Bittersweet (Celastrus orbiculatus) – foliar treatments only o Honeysuckle (Lonicera tatarica) - foliar treatments only o Scrub oak (Quercus prinoides and Quercus ilicifolia) – ONLY at scrub oak thinning sites.

Secondary: (usually only found in small, isolated quantities) o Norway Maple (Acer platanoides) o Tree of Heaven (Ailanthus altissima) o Siberian Elm (Ulmus pumila) o Box Elder (Acer negundo) o Autumn Olive (Elaeagnus umbellate) mailto:jhecht@albanypinebush.org

Attachment B

ALBANY PINE BUSH PRESERVE COMMISSION

PURCHASING AND PROCUREMENT GUIDELINES

Adopted March 14, 2012

Amended June 21, 2012

Amended March 17, 2016

Amended March 15, 2018

The following Purchasing and Procurement Guidelines (“Guidelines”) of the Albany Pine

Bush Preserve Commission (“Commission”) were adopted by the Board of Directors of the

Commission (the “Board”). These Guidelines set forth the operative policy for the

Commission regarding the use, awarding, monitoring and reporting of procurement contracts. The Guidelines are not intended and shall not be deemed to grant or confer any rights or remedies to or upon any third party. These Guidelines shall be subject in all respects to any and all applicable federal, state or local laws, rules and regulations

(“Applicable Procurement Laws”) governing the use, awarding, monitoring and reporting of procurement contracts. In the event of any conflict or inconsistency between this Guidelines and any Applicable Procurement Law, such Applicable Procurement Law shall supersede, govern and control.

These Guidelines shall be subject to the annual review and approval of the Board.

1. Definitions:

For purposes of these Guidelines, the following terms shall have the following meanings:

A. The term “procurement contract” shall mean any written agreement for the acquisition of goods or services of any kind, in the actual or estimated amount of $5,000 or more.

B. The term “attempt to influence the procurement process” shall mean any attempt to influence any determination of a member, officer, or employee of the Commission by a person other than a member, officer or employee of the Commission with respect to (a) the solicitation, evaluation or award of a procurement contract; or (b) the preparation of specification or request for submissions of proposals for a procurement contract.

2. Applicability:

A. Except as otherwise provided herein, all Commission contracts are subject to these

Guidelines.

3. Thresholds for Procurement Guidelines:

The Commission adopts the following purchasing and procurement threshold levels:

TOTAL PRICE METHOD OF SELECTING A VENDOR &

MAKING AN AWARD FOR PURCHASES

$0 to $4,999 Requires justification for both the vendor selection and the reasonableness of the price.

$5,000 to $14,999 Requires at least three (3) quotes. Vendor selection and reasonableness of price must be referenced.

$15,000 to $49,999 Requires written specifications and written quotes (unless an emergency situation, circumstances that threaten health or safety, or that negatively impact the

Commission’s ability to generate revenue may allow for a waiver from this requirement);

waiver requests are submitted directly to the Commission’s Executive Director for consideration and approval.

$50,000 and above Requires formal competitive procurement consisting of written specifications, solicitation of bids, and advertisement in the NYS Contract Reporter.

Note: Total price quotes must include all costs associated with the procurement; e.g., shipping, set-up, surcharges, deposits, etc.

When it becomes necessary to competitively bid an ongoing service, the anticipated dollar value of the purchase in total and/or the entire contract term should be considered before a procurement option is pursued.

4. Approvals:

All proposals for procurement contracts shall be reviewed and approved by the Executive

Director or the Director of Finance and Operations of the Commission to determine the services required, the reasonableness of the proposed total price, and whether the procurement is consistent with the objectives of the account against which the procurement is applied. Legal counsel retained on behalf of the Commission may review and approve proposed contracts prior to execution. All procurement contracts shall be signed by the

Executive Director. Payments are made on the basis of submitted invoices detailing the goods or services provided and/or certification of the contractors’ actual expenses and confirmation of receipt of goods and/or services.

5. Professional Service Procurement Contracts:

On occasion, the Commission requires the assistance of outside vendors and/or specialty firms to perform professional services. These may include, but are not limited to, part-time legal, audit, and accounting services and consulting services related to a specific subject matter, program or project. In these instances, neither the Commission’s personnel, nor staff available by assignment from the Department of Environmental Conservation or any other agency of New York State, have the particular area of experience or expertise to perform such services.

Before entering into professional service procurement contracts, the Commission shall consider whether the contemplated services may be adequately and cost effectively performed by staff of the Commission or by available staff of some other State agency or under an existing State contract. The Commission’s rationale for utilizing professional service procurement contracts may include the need for specialized expertise not available within the Commission or the need to provide services that do not arise on a sufficiently recurring basis to justify the hiring of an employee to provide the service.

All professional service procurement contracts must be approved by the Executive Director.

6. Requirements for the Selection of Vendors for Procurement Contracts:

A. The Commission shall make every effort to secure bids from outside vendors, contractors, or individuals for procurement contracts on a competitive basis, and to select from such bids the qualified vendor, contractor, or individual offering the most favorable terms. The Commission, in its attempt to secure procurement contracts on a competitive basis to the extent practicable as determined by the Executive Director or the Director of

Finance and Operations, shall:

1. Solicit bids from vendors qualified in the area of the goods or services to be provided in accordance with these Guidelines;

2. Where required by Applicable Procurement Laws or these Guidelines, or where otherwise determined to be appropriate, solicit bids from additional vendors, contractors, or individuals through advertisement in the New York State Contract Reporter;

3. Evaluate bids received on the basis of the vendor, contractor, or individual’s technical qualifications, financial stability, past performance for the Commission, staff availability, experience, contract price, fee structure, compliance with bid requirements and any other necessary or appropriate criteria; and

4. Document the deliberative processes by which vendors, contractors, or individuals are selected.

B. Sole Source Procurement The Board, upon the adoption of these Guidelines, hereby waives the use of the procedure for selecting vendors, contractors, or individuals outlined in section A of this Part 6 in those instances where it is determined by the Executive Director or the Director of Finance and Operations that, in the best interests of the Commission, it is not possible or practicable to secure such contracts on a competitive basis due to the specialized or unique nature of the goods or services required. In such instances, the approval shall be based upon documentation detailing: (1) the unique nature of the goods or services needed; (2) the basis upon which it was determined that there is only one known vendor able to meet the need; and (3) the basis upon which the Commission determined the cost to be reasonable.

C. Single Source Procurement The Board, upon adoption of these Guidelines, hereby waives the use of the procedure for selecting contractors outlined in section A of this Part 6 in those instances where the Executive Director or the Director of Finance and Operations determines that two or more vendors, contractors, or individuals can supply the goods or services but one vendor, contractor, or individual is preferred over the others for reasons such as expertise or previous experience with similar contracts. In such instance, the approval shall be based upon documentation demonstrating the justification for selecting a single vendor, contractor, or individual. This justification may include: (1) past experience with a particular issue; (2) familiarity with specific agency operations; (3) experience with similar projects at other agencies or levels of government; and (4) the basis upon which the

Commission determined the cost to be reasonable.

D. The Board, upon adoption of these Guidelines, hereby waives the use of the procedure for selecting contractors outlined in section A of this Part 6 in those instances where the

Executive Director or the Director of Finance and Operations determines that the procurement of such services cannot await the solicitation/selection of such contractor pursuant to this procedure; or an emergency situation, circumstances that threaten health or safety, or circumstances that may negatively impact the Commission’s ability to generate revenue are evident.

E. Procurement contracts containing a renewal option may be renewed by the Executive

Director or the Director of Finance and Operations, if it is determined to be in the best interest of the Commission, contingent upon the mutual written agreement of both contractual parties, and subject to Applicable Procurement Laws.

F. The Board shall approve any procurement contract other than for emergency expenditures or expenditures previously approved in the Commission’s Annual Plan, budget or resolutions. Consistent with Applicable Procurement Laws, all contracts involving services to be rendered in excess of one year shall be subject to approval by the Board.

G. Annually, the Commission shall review the performance of service contract arrangements to determine where and under what conditions certain contracts will be continued or discontinued.

H. Under certain circumstances and subject to Applicable Procurement Laws the

Commission may amend existing approved contracts. The factors governing the consideration of such amendments shall include, but not be limited to, the following criteria:

1. The requirement for additional work to complete a particular project was unforeseen; it must be related to the scope of the original contract and must be deemed necessary for the completion of that project. The cost (if any) of the additional work must be demonstrated to be reasonable and must be consistent with the rates charged in the contract.

2. All contract amendments require the mutual written agreement of the Commission and the vendor, contractor, or individual.

7. Preparation of Annual Report on Procurement Contracts:

A report shall be made to the Board, on an annual basis, covering the status of all procurement contracts entered into. The Board shall review and approve the annual procurement report.

A. The annual report on procurement contracts shall include, without limitation:

1. The Guidelines and any amendments to the Guidelines since the last annual report;

2. A list of procurement contracts entered into since the last annual report; including the selection process used to select contractors and the status of existing procurement contracts;

3. A list of the fees, commissions and other charges paid to the contractors enumerated pursuant to clause 2 above;

4. The results of any allegation of improper lobbying influence and or non-responsibility pursuant to New York State Finance Law Sections 139-j and 139-k or other Applicable

Procurement Laws; and

5. A list of those contacts between Commission personnel involved in the determination of the procurement contract and employees, agents or consultants of any proposer competing for the contract, as required to be reported by New York State Finance Law Sections 139-j and 139-k or other Applicable Procurement Laws.

B. The Commission’s annual report on procurement contracts may be made a part of any other annual report the Commission is required to make.

C. The Commission shall make copies of its annual report on procurement contracts available to the public upon reasonable request.

D. The Commission will report annually on all procurement contracts pursuant to the provisions of Section 2879 of the Public Authorities Law and other Applicable Procurement

Laws.

E. Copies of the annual procurement report approved by the Board shall be sent to the

Office of the State Comptroller, Assembly Ways and Means Committee, the Senate Finance

Committee, the Division of the Budget, the Department of Economic Development, and to any other agency, department or third party as required by Applicable Procurement Laws.

8. Minority and Woman-Owned Business Enterprises:

The Commission, in order to encourage the use of Minority and Woman-Owned Business

Enterprises (“MWBE”) in procurement contracts, shall make a good faith effort to solicit bids from such enterprises known to have experience in the area of the goods and services to be provided, regardless of the type of contract. The Commission shall consult any list maintained by any state agency or department known to the Commission which identifies

MWBEs by area of expertise and contact such enterprises to solicit their bids. Furthermore, if the performance of any procurement contract permits or requires the use of a subcontractor, these contracts shall require the prime contractor to act affirmatively to encourage participation by MWBEs in such subcontract and to report the nature and extent of such efforts to the Commission. For the purpose of these Procurement Guidelines, the terms “Minority Business Enterprise” and “Woman-Owned Business Enterprise” shall have the respective meanings assigned to them in Sections 2879(3)(c) and (e) of the Public

Authorities Law.

For all other procurements subject to Section 2879 of the Public Authorities Law, the procedures incorporated in the Commission’s approved Minority and Women-Owned

Business Goal Plan (“Plan”) shall be strictly followed (except to the extent in conflict with any requirements under Applicable Procurement Laws). This Plan and its procedures are hereby incorporated into these Guidelines by reference.

In furtherance of the provisions of this Part:

A. The Commission shall designate one or more senior staff to oversee its programs established to promote and assist: (i) participation by certified MWBEs in the Commission’s procurement opportunities and facilitation of the award of procurement contracts to such enterprises; (ii) the utilization of certified MWBEs as subcontractors and suppliers by entities having procurement contracts with the Commission; and (iii) the utilization of partnerships, joint ventures or other similar arrangements between certified MWBEs and other entities having procurement contracts with the Commission.

B. In addition to publication of procurement contracts in the State’s procurement opportunities newsletter, the Commission shall also provide notice to professional and other organizations that serve MWBEs providing the types of goods or services procured by the

Commission.

C. The Commission shall maintain lists of qualified certified MWBEs, including professional firms that have expressed interest in doing business with the Commission, and ensure that such lists are updated regularly. The Commission shall also consult the lists of certified MWBEs maintained by the Department of Economic Development pursuant to

Article 15-A of New York’s Executive Law.

D. The Commission shall establish appropriate goals for participation by MWBEs in procurement contracts awarded by the Commission and for the utilization of MWBEs as subcontractors and suppliers having procurement contracts with the Commission.

E. The Commission shall include requirements as provided by Section 2879 of the Public

Authorities Law that will enable the Commission to achieve the maximum feasible portion of the goals established pursuant to this Part and shall endeavor to eliminate barriers to participation by MWBEs in the Commission’s procurements contracts. The Commission shall include:

1. The expected degree of MWBE participation;

2. Provisions relating to joint ventures, under which a bidder may count toward meeting its

MWBE participation goal;

3. Provisions under which the Commission may waive obligations of the contractor relating to MWBE participation after a showing of good faith efforts to comply with the requirements of these Guidelines and all Applicable Procurement Laws pursuant to the waiver provisions contained in Article Fifteen-A of the Executive Law; and

4. Verification that MWBEs listed in a successful bid are actually participating to the extent listed on the project for which the bid was submitted.

9. Procurement Contracts with Former Directors, Officers or Employees of the

Commission:

The Commission may not enter into procurement contracts with former directors, officers or employees of the Commission where such contracts would be in contravention of law, would create a conflict of interest or would create the appearance of impropriety.

10. Procedural Controls to Prohibit Improper Lobbying Influence:

The Commission will ensure that procurement contracts comply with the provisions set forth in New York State Finance Law Sections 139-j and 139-k to ensure that improper lobbying influence relative to all procurement contract awards does not take place and to ensure that potential vendors, contractors, and individuals are deemed responsible.

Attachment A provides guidance for compliance with Finance Law Sections 139-j and 139-

k. Employees and officers should refer to the full text of Finance Law Sections 139-j and

139-k to resolve any specific questions and/or circumstances that may arise.

A. Employee Reporting Requirements

Any Commission officer, Board member, or employee who becomes aware of any improper lobbying influence or any attempt to influence the procurement process shall immediately notify the Commission’s Ethics Officer. The Ethics Officer shall review and immediately investigate any and all allegations of improper lobbying influence or attempt thereof, or any attempt to influence the procurement process. The contractor, vendor, or individual shall have an opportunity to be heard in response to any allegation. If the attempt to influence the procurement process is found to have occurred, then the Commission may impose such sanctions as it deems appropriate, which may include but shall not be limited to the elimination of the proposal from consideration with respect to that contract award.

Acceding to improper lobbying influence or failure to report any attempt to influence the procurement process is a violation of Commission policy and employee violations of this policy may be the basis for disciplinary action and, depending on the circumstances, may be a violation of New York Public Officers Law Section 73(5) or Section 74, subject to enforcement by the New York State Commission on Public Integrity. In addition, where such conduct violates the Public Officers Law, such matter shall be referred to the Office of the Inspector General and the New York State Commission on Public Integrity, as may be appropriate.

11. Vendor Responsibility:

In accordance with the guidelines set forth in the NYS Office of the State Comptroller’s bulletin G-221, the Commission shall make every effort to ensure that potential contractors are deemed responsible. The Commission shall review such contractors to the extent necessary to ensure that the Commission is satisfied that the contractor satisfies the following criteria:

A. The contractor is legally authorized to do business in New York State;

B. The contractor possesses the integrity to perform the contract;

C. The contractor is financially capable of carrying out the contract; and

D. The contractor has performed satisfactorily on other government contracts.

12. Review and Approval of Guidelines and Report of Procurement Contracts:

The Commission’s Governance Committee will advise the Board of recommendations to update or modify these Guidelines for compliance with Applicable Procurement Laws, and consistency with best practices. The Board shall adopt an annual Report of Procurement

Contracts and disseminate it in accordance with Section 7(e) of these Guidelines.

13. Effect of Noncompliance with Guidelines:

Failure by the Commission to comply with the provision of these Guidelines shall not be deemed to alter, or in any way affect the validity of, or modify the terms of, or impair any rights or privileges of the Commission under any procurement contract entered into by the

Commission. ATTACHMENT A

SUMMARY OF AND GUIDELINES FOR COMPLIANCE WITH

§139-J and §139-K OF THE NEW YORK STATE FINANCE LAW

Section 139-j of the New York State Finance Law imposes restrictions on how a person may communicate with a governmental entity, such as the Albany Pine Bush Preserve

Commission (hereafter, referred as “the Commission”), concerning a governmental procurement during a period of time called the “restricted period,” which is defined broadly as the period of time commencing from the earliest written notice announcing a government procurement until the award is approved by the State Comptroller.

These requirements cover a wide range of government contracting transactions, including the purchase of a commodity, service, technology, public work, construction and revenue contract, or the purchase, sale or lease of real property or the acquisition or the granting of other interests in real property (hereafter referred as “governmental procurement or procurement contract.” Any prospective vendor or related party in the private sector

(hereinafter referred to as “the vendor”) interested in contacting the Commission concerning anyone of these types of transactions is covered under the provisions of the new law, which limits the way that such person can communicate with the Commission during the

“restricted period.”

For each governmental procurement, the Commission will designate an employee or employees that may be contacted by the vendor concerning all aspects of the governmental procurement. With very few statutory exceptions, the vendor is required to communicate during the restricted period with this designated person(s) designated by the Commission

(herein referred to as the “Commission Designee”). If vendor communication can be inferred by a reasonable person to be an attempt to influence the procurement, by law the vendor is required to only communicate with the Commission Designee. If communication with a vendor is interpreted as an attempt to influence the procurement, the Commission

Designee is required to record your name, address, telephone number, place of principle employment, and occupation of the vendor making the contact and inquire and record whether the vendor making the contact is a principal vendor or was hired by the principal vendor to make the contact. This recorded information must be retained in the procurement record.

If, however, the vendor communicates with someone other than the Commission Designee and the vendor communication can be construed by a reasonable person to be an attempt to influence the governmental procurement, and the communication is not otherwise listed as an exception to the law, this communication will be deemed impermissible per the terms of the law which requires that the communication be reported to the Commission’s Ethics

Officer for investigation. If a communication during the “restricted period” may be deemed an attempt to influence the procurement such communication may only be with the

Commission Designee.

It is the policy of the Commission to interpret as broadly as possible what communications are intended to influence the governmental procurement, and are not just those attempts to influence the procurement in such a manner that would be in violation of the ethical prohibitions against gifts or which would result in any violation of the Ethics Law.

Communications of a nature that are in violation of the Ethics Law will be immediately reported to the Ethics Officer for investigation regardless of whether the contact was made to the Commission designee or someone else.

As referenced before, the law specifically permits certain types of contacts by persons to the

Commission concerning the governmental procurement. These are:

• the submission of written proposals in response to a request for proposal, invitation for bids or any other method for soliciting a response from interested parties;

• the submission of written questions to a designated contact, when all written questions and responses are to be disseminated to all persons interested in such procurement;

• participation in a conference where all interested parties are invited to attend;

• written complaints made to the General Counsel’s Office of the Commission concerning the timely response to issues posed to the designated person, provided that such written complaints are made part of the procurement record;

• communications where the contract award has been tentatively made and where such communications are necessary to negotiate the terms of the procurement contract;

• requests made to the designated person or persons to review the procurement award; and

• written protests, appeals, or other review proceedings to either the Commission or an outside agency.

Any contact alleged to be an impermissible contact under the law will be immediately referred to and investigated by the Commission’s Ethics Officer. The Ethics Officer shall promptly investigate the allegation by interviewing all employees or vendors involved or who are believed to have information about the impermissible contact. If sufficient cause exists to believe that such allegation is true, the vendor being investigated shall be given notice that an investigation is ongoing and such vendor shall be afforded an opportunity to be heard in response to the allegation either by responding in writing or by providing a statement before the Ethics Officer, who shall record by appropriate means such statement for the record. The Ethics Officer shall keep a record of the investigation and shall make a written finding of the results of such investigation and report these findings to the Executive

Director.

In addition, a finding by the Ethics Officer that a vendor has knowingly and willingly violated the law by making an impermissible contact shall result in a determination of non-responsibility and such vendor and all associated subsidiaries of such vendor shall not be awarded the procurement contract. The determination of non-responsibility shall also be forwarded to the Commissioner of the Office of General Services (or his or her designee), which by law is required to keep a list of such determinations for public inspection.

Determinations of non-responsibility must be disclosed in all future responses to New York

State procurements. With few exceptions, no procurement contract shall be awarded to any vendor who fails to disclose findings of non-responsibility within the previous four years.