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Home My WebLink AboutMN COW STUDY SESSION 2025-08-20YouTube Link:https://tinyurl.com/26jd37dw Date: Location: Wednesday August 20, 2025 108 E. Green Street Ithaca NY 14850 August 20, 2025 COMMON COUNCIL COMMITTEE OF THE WHOLE STUDY SESSION MEETING MINUTES VOTING RECORD 1.Call To Order- 5 Min 1.1 Emergency Evacuation 1.2 Agenda Review 2.Consent Items- 5 Min Attendance Record of Voting Members Name Present Absent/Excused Mayor - Robert Cantelmo X 1st Ward - Kayla Matos X 1st Ward - Phoebe Brown X 2nd Ward - Ducson Nguyen X 2nd Ward - Kris Haines-Sharp X 3rd Ward - David Shapiro X 3rd Ward - Pierre Saint-Perez X 4th Ward - Patrick Kuehl X 4th Ward - Tiffany Kumar X 5th Ward - Margaret Fabrizio X 5th Ward - Clyde Lederman X Also Present: Alderpersons Kuehl, Shapiro are absent. Alderperson Kumar arrived late; Alderperson Kumar was absent for the Vote on Consent. Discussion Summary: The meeting for the August 20th 2025 Committee of The Whole is called to order. Alderpersons Shapiro, Kuehl, and Kumar are not in attendance at the Call to Order. Mayor Cantelmo read the Emergency Evacuation for those in the audience. There are no additions, deletions or changes to the agenda. Timestamp 1:01-2:07 Discussion Summary: Consent items 2.1-2.3 are moved to the September 6th 2025 Common Council Meeting Consent Agenda. Timestamp 2:07-2:20 Moved By: Clyde Lederman Seconded By: Kris Haines-Sharp Motion Summary: Motion to accept items 2.1-2.3 to move to the Sept 6th 2025 Consent Agenda. Moved by Alderperson Lederman, Seconded by Alderperson Haines-Sharp. All In Favor. Motion carries 8-0. with Alderpersons Shapiro, Kuehl and Kumar absent. Vote Passed 8-0 Carried Unanimously 2.1 Amendment to Authorized Personnel Roster- Finance Dept 2.2 Establishment of a Capital Project for the Zoning Rewrite 2.3 Technical Correction to Short-Term Rental Ordinance 3.Agenda Planning- 90 Min 3.1 Legislative Reorganization of Department of Information and Technology 3.2 Purchasing Policy Update Member Approve Oppose Abstain Robert Cantelmo X Kayla Matos X Phoebe Brown X Ducson Nguyen X Kris Haines-Sharp X Pierre Saint-Perez X Margaret Fabrizio X Clyde Lederman X Discussion Summary: Alderperson Saint-Perez moved and summarized to open for discussion. Alan Karasin, Director of PIT was present to address questions and comments from Council. Timestamp 2:23-24:00 Moved By: Pierre Saint-Perez Seconded By: Kayla Matos Motion Summary: Motion to move item 3.1 Legislative Reorganization to the Sept 6th Common Council Meeting. Moved by Alderperson Saint-Perez, Seconded by Alderperson Matos. Motion carries 9-0. With Alderpersons Shapiro and Kuehl absent. Alderperson Kumar is now in attendance. Vote Passed 9-0 Carried Unanimously Member Approve Oppose Recuse Robert Cantelmo X Kayla Matos X Phoebe Brown X Ducson Nguyen X Kris Haines-Sharp X Pierre Saint-Perez X Tiffany Kumar X Margaret Fabrizio X Clyde Lederman X 3.3 Resolution to Authorize Execution of Easement over Tax Parcel Discussion Summary: Alderperson Lederman moved and summarized item 3.2 to open for discussion. Timestamp 24:18-28:02 Moved By: Clyde Lederman Seconded By: Ducson Nguyen Motion Summary: Motion to move item 3.2 Purchasing Policy Update to the September 6th 2025 Common Council meeting. Moved by Alderperson Lederman Seconded by. All In Favor. Motion carries 9-0 with Alderpersons Kuehl and Shapiro absent. Vote Passed 9-0 Carried Unanimously Member Approve Oppose Recuse Robert Cantelmo X Kayla Matos X Phoebe Brown X Ducson Nguyen X Kris Haines-Sharp X Pierre Saint-Perez X Tiffany Kumar X Margaret Fabrizio X Clyde Lederman X Discussion Summary: Alderperson Saint-Perez moved and summarized item 3.3 to open for discussion. Timestamp 28:11-29:34 Moved By: Pierre Saint-Perez Seconded By: Ducson Nguyen Motion Summary: Motion to move item 3.3 NYSEG Easement to the September 6th 2025 Common Council Consent Agenda. Moved by Alderperson Saint-Perez, Seconded by Alderperson Nguyen. All In Favor. Motion carries 9-0 with Alderpersons Kuehl and Shapiro absent. Vote Passed 9-0 Carried Unanimously Member Approve Oppose Recuse Robert Cantelmo X Kayla Matos X Phoebe Brown X Ducson Nguyen X Kris Haines-Sharp X Pierre Saint-Perez X Tiffany Kumar X Margaret Fabrizio X Clyde Lederman X 3.4 Mayoral Advisory Groups on Legislative Policy 4.Reports From City Staff- 50 Min 4.1 City Manager's Monthly Reports 4.2 Controller's Monthly Report- August 2025 4.3 Report From City Clerk 4.4 Report From City Attorney 5.Reports From Committee/Commissions- 30 Min Discussion Summary: Mayor Cantelmo moved and summarized item 3.4 to open for discussion. Timestamp 29:36-32:07 Moved By: Robert Cantelmo Seconded By: Pierre Saint-Perez Motion Summary: Motion to move item 3.4 Mayoral Advisory Groups on Legislative Policy to the Sept 6th 2025 Common Council Consent Agenda. Moved by Mayor Cantelmo, Seconded by Alderperson Saint-Perez. All In Favor. Motion carries 9-0 with Alderpersons Shapiro and Kuehl absent. Vote Passed 9-0 Carried Unanimously Member Approve Oppose Recuse Robert Cantelmo X Kayla Matos X Phoebe Brown X Ducson Nguyen X Kris Haines-Sharp X Pierre Saint-Perez X Tiffany Kumar X Margaret Fabrizio X Clyde Lederman X Discussion Summary: Alderperson Kuehl is in attendance. Council discussion on the City Manager's Report. Timestamp 32:10-41:22 Discussion Summary: Council's discussion on the City Controller's report. Deputy Controller Wendy Cole responded to questions and comments from Council. Timestamp 41:23-46:00 Discussion Summary: No Report Discussion Summary: No Report 6.Meeting Wrap-Up Discussion Summary : Reports from Alderpersons' Liaison assignments. Alderperson Brown reported on Southside Community Center, Alderperson Nguyen gave a brief report on TCAT, Alderperson Saint-Perez gave a report on TCOG, and Alderperson Fabrizio gave a report on Cable Access Committee. Timestamp 46:01-48:20 5.1 Reports from Working Group 5.2 Reports of Council Liaisons Discussion Summary: Meeting Adjourned. Timestamp 48:22 Public Comment Shaniqua Lewis, Deputy City Clerk Submitted: 10-8-2025 Adopted: 10-08-2025 Date: Time: Location: Watch Online: Wednesday August 20, 2025 6:00 PM 108 E. Green Street Ithaca NY 14850 https://www.youtube.com/@CityofIthacaPublicMeetings August 20th 2025 COMMON COUNCIL COMMITTEE OF THE WHOLE STUDY SESSION AGENDA 1.Call To Order- 5 Min 1.1. 1.2. 2.Consent Items- 5 Min 2.1. 2.2. 2.3. 3.Agenda Planning- 90 Min 3.1. 3.2. 3.3. 3.4. 4.Reports From City Staff- 50 Min 4.1. 4.2. 4.3. 4.4. 5.Reports From Committee/Commissions- 30 Min 5.1. 5.2. 6.Meeting Wrap-Up Emergency Evacuation Agenda Review Amendment to Authorized Personnel Roster- Finance Dept Establishment of a Capital Project for the Zoning Rewrite Technical Correction to Short-Term Rental Ordinance Legislative Reorganization of Department of Information and Technology Purchasing Policy Update Resolution to Authorize Execution of Easement over Tax Parcel Mayoral Advisory Groups on Legislative Policy City Manager's Monthly Reports Controller's Monthly Report- August 2025 Report From City Clerk Report From City Attorney Reports from Working Group Reports of Council Liaisons Meeting Adjourned 1 Public Comment The public can provide short statements during this portion of the meeting. 3 minutes is the maximum time allotted, but the chair reserves the right to modify the amount of time per individual at the start of the meeting. Only the first hour of the meeting is set aside for Public Comment. Groups of 3 or more speakers are allotted more speaking time. For Longer Speaking Time - Multiple speakers on the same topic can speak as a group with one Designated Speaker to represent the Group. This will give you more time to share your thoughts and concerns during the Public Comment Forum. 3-4 Persons with One Designated Speaker - Alotted 5 minutes 5 or More Persons with One Designated Speaker - Alotted 7 minutes Can't Come to the Meeting but still want to speak? Register to Speak Virtually - https://tinyurl.com/7ts9zmku Attending the Meeting to Speak in Person? Pre-Registration Not Required Comment Cards are provided to those who attend in person. Once you have filled out your Comment Card, please hand your card to the Clerk. Your name will be called to speak in the order the cards are received. Please Note Comment Cards will be accepted up until the Public Comment Forum begins or a maximum of 30 speakers, whichever comes first. Once we have reached a maximum of 30 speakers, you can submit your comment using the Written Comment Link Below. Want to Submit a Comment and Not Speak in Person? To Submit Written Comments - https://tinyurl.com/mr9kdhw8 *Written comments submitted with be compiled and entered into the record. 2 CITY OF ITHACA 108 East Green Street, Ithaca, New York 14850-6590 Controller's Office Christine Ibert, TO:Common Council COW Study Session FROM:Wendy Cole DATE:August 20, 2025 RE:Amendment to Authorized Personnel Roster- Finance Dept ITEM #:2.1 MEMORANDUM • Defund the existing 40-hour Payroll Coordinator position. • Fund a new 40-hour Payroll Administrator position. • Defund the existing 35-hour Deputy Controller position. • Fund a new 40-hour Staff Accountant position. ATTACHMENTS: dputy controller memo to council 081325.pdf Finance Department Staffing-Resolution- Staff Account.pdf payroll administrator memo to council.pdf Pay Roll Administrator-Finance_Resolution 081325 1 (1).pdf 3 Date: July 30, 2025 To: Common Council From: Wendy Cole, Acting City Controller Subject: Amendment to Authorized Personnel Roster – Finance Department Purpose The purpose of this memorandum is to request Council approval to amend the 2025 authorized personnel roster for the Finance Department. This amendment includes the removal of an existing position and the addition of a new role that better aligns with the department’s operational needs. Additionally, a recommendation is made for a second staﬀ position to be considered in the 2026 budget cycle to further strengthen departmental capacity. Executive Summary The Finance Department recommends defunding the current second Deputy Controller position and establishing a new Staﬀ Accountant role. This change is designed to improve operational eﬃciency, address staﬃng shortages, and respond to ﬁndings from recent audits. Furthermore, the department recommends the addition of a second staﬀ-level position in the 2026 budget cycle. Background and Analysis The department is preparing for an upcoming retirement that will impact leadership capacity. The second Deputy Controller position was originally created to support transitional needs during retirements. However, recent developments—including persistent recruitment challenges and evolving operational demands—necessitate a strategic shift. Key considerations include: - Operational Eﬃciency: Increasing staﬀ-level positions will enhance the department’s ability to manage daily operations and meet workload demands. - Outside Findings: Auditors have conﬁrmed staﬃng deﬁciencies that have contributed to delays and ineﬃciencies. Additional staﬀ is essential to address these concerns. - Recruitment Challenges: The market for highly qualiﬁed management professionals has proven diﬃcult, while staﬀ-level roles are more readily ﬁlled. - Cost Management: Replacing a management-level position with a staﬀ-level role will reduce personnel costs while increasing output capacity. Key Issue The department requires fewer management-level roles and more operational staﬀ to meet its current and future workload. A reallocation of resources toward staﬀ-level positions will enable the department to process a higher volume of work more eﬀectively. Recommendation It is recommended that the Common Council approve the following personnel changes: 4 • Defund the existing 35-hour Deputy Controller position. • Fund a new 40-hour Staﬀ Accountant position. Additionally, the Finance Department recommends that the Council consider funding a second staﬀ-level position in the 2026 budget cycle. This forward-looking measure will help ensure the department remains adequately staﬀed to meet increasing demands and maintain compliance with audit standards. Budget Impact Funding the new Staﬀ Accountant position in 2025 will support the department’s transition and enhance its capacity to meet operational demands. The proposed addition of a second staﬀ position in 2026 will be evaluated in the context of budget availability and departmental performance metrics. 5 A Resolution of the Common Council of the City to Amend the Authorized Personnel Roster for the Finance Department. WHEREAS, the Finance Department has identified the need to restructure its staffing to better meet operational demands and address findings from recent audits; WHEREAS, the current second Deputy Controller position has become less aligned with departmental needs due to recruitment challenges and evolving workload requirements; WHEREAS, the department recommends defunding the 35-hour Deputy Controller position and funding a new 40-hour Staff Accountant position to improve efficiency and reduce costs; WHEREAS, the department anticipates continued workload growth and recommends the addition of a second staff-level position in the 2026 budget cycle; NOW, THEREFORE, BE IT RESOLVED as follows: Defund (1) 35-hour Deputy Controller position Fund: (1) 40-hour Staff Accountant position 6 M E M O R A N D U M Date: July 30, 2025 To: Common Council From: Wendy Cole, Acting City Controller Subject: Amendment to Authorized Personnel Roster – Finance Department PURPOSE The purpose of this memorandum is to seek Council authorization to amend the 2025 authorized personnel roster to re�lect a reclassi�ication of an existing position within the Finance Department. EXECUTIVE SUMMARY The Finance Department formally requests approval to reclassify a current position to better align with the employee’s actual responsibilities and the operational needs of the department. BACKGROUND & ANALYSIS An employee submitted a job classi�ication request to the Human Resources Department. Following a comprehensive review, the request was forwarded to the Civil Service Commission. The Commission determined that the duties performed by the employee are more accurately represented by a different job title and recommended reclassi�ication. KEY ISSUE The current job title of Payroll Coordinator does not adequately re�lect the scope, complexity, and responsibilities of the position as currently performed. RECOMMENDATION It is recommended that the Council approve the following personnel changes: • Defund the existing 40-hour Payroll Coordinator position. • Fund a new 40-hour Payroll Administrator position. BUDGET IMPACT This personnel change will be accommodated within the existing 2025 approved budget. No amendments are required, as the cost will be offset by savings from vacancies and defunded positions. 7 Amendment to Authorized Personnel Roster – Finance Department WHEREAS, a job reclassification request was sent to the Human Resources department and after comprehensive review it was forwarded to the Civil Service Commission; and WHEREAS, the Civil Service Commission determined that the duties performed by the employee are more accurately represented by a different job title and recommended reclassification of the position from Payroll Coordinator to Payroll Administrator; and WHEREAS, the funding for this change shall be derived from funds within the 2025 Finance Department’s budget; now, therefore, be it RESOLVED, That the City of Ithaca Schedule of Authorized Personnel for the Finance Department shall be amended as follows: Defund: One (1) Payroll Coordinator – 40 Hours Fund: One (1) Payroll Administrator – 40 Hours 8 CITY OF ITHACA 108 East Green Street, Ithaca, New York 14850-6590 Planning and Development Christine Ibert, TO:Common Council COW Study Session FROM:Megan Wilson DATE:August 20, 2025 RE:Establishment of a Capital Project for the Zoning Rewrite ITEM #:2.2 MEMORANDUM The City needs to establish a capital project for expenses related to the upcoming zoning rewrite. The funding will be fully reimbursed by the Smart Growth Communities grant awarded to the City this year. ATTACHMENTS: Work Session Memo - Establish Cap Proj.pdf ZoningRewrite - Cap Proj Res - September 2025.pdf 9 M E M O R A N D U M Date: August 8, 2025 To: Common Council From: Megan Wilson, Deputy Director of Planning & Development RE: Establishment of Capital Project for Zoning Rewrite EXECUTIVE SUMMARY The City must establish a capital project that will fund the zoning rewrite project. The capital project funds will be fully reimbursed by the New York State Smart Growth Communities Planning and Zoning Grant, awarded to the City in early 2025. PROJECT HISTORY, BACKGROUND, & ANALYSIS The City intendes to adopt a new zoning code that will enact modern land use regulations based on best practices and smart growth principles to achieve the goals of Plan Ithaca, the comprehensive plan adopted by Common Council in 2015. The City applied for a New York State Smart Growth Communities Grant in July 2024 to help fund the development of a new zoning code, and the City was awarded $257,250 in grant funds to complete the project. The funds will be used to hire a project consultant and to conduct extensive public outreach during the development of the new code. The grant contract with New York State has now been executed, and staff has begun initial work on the project. The zoning code rewrite will officially kick-off in October with the selection of the project consultant and the establishment of the client committee, the Zoning Advisory Committee. In preparation for the related project expenditures, the City must establish a capital project to fund consultant fees and other project expenses. The capital project will be fully funded by the awarded grant funds. QUESTIONS FOR COUNCIL None at this time. BUDGET IMPLICATIONS & FUNDING The NYS Smart Growth Communities Grant will provide 90% of the funding for the zoning rewrite. The City’s 10% match will be provided through in-kind planning services. The zoning rewrite will be a priority project for the Planning Division in 2025-2026, and several staff members will work directly with the consultant and the Zoning Advisory Committee to complete the project. 10 PUBLIC FEEDBACK While public feedback is not needed to estbalish the capital project, there will be extensive public outreach as part of the zoning rewrite project. Public outreach will begin with creating the Zoning Advisory Committee that will work directly with staff and the consultant team throughout the project. NEXT STEPS • Publish Request for Proposals to select a project consultant: August – September 2025 • Consultant Selection: October 2025 • Creation of Zoning Advisory Committee: October 2025 11 Proposed Resolution Common Council September 3, 2025 WHEREAS, the City’s current zoning ordinance was adopted in 1977 and has since been amended more than 50 times to address changing conditions, and WHEREAS, many buildings within the city predate the first zoning code, and the majority of properties are non-conforming, resulting in an abundance of variance applications and challenges for additions and other property updates, and WHEREAS, the zoning code is challenging to understand and not easily accessible to the average property owner, and WHEREAS, in 2015, the City adopted Plan Ithaca, a new comprehensive plan intended to modernize the city based on smart growth principles, including mixed-use development, green space, and multi-modal transportation, and WHEREAS, the City needs a new zoning code that will enact modern regulations based on best practices and smart growth principles to achieve the goals of Plan Ithaca, and WHEREAS, the City applied for a New York State Smart Growth Communities Grant in July 2024 to help fund the development of a new zoning code, and the City was awarded $257,250 in grant funds to complete the project, and WHEREAS, the City’s match to the grant will be in-kind services provided by several members of Planning staff to complete work on code development, public outreach, legislative adoption, and implementation, and WHEREAS, the contract between New York State and the City of Ithaca has been fully executed, and work on the zoning rewrite has begun; now, therefore, be it RESOLVED, that Common Council hereby establishes Capital Project #954, Zoning Rewrite, in an amount not to exceed $257,250 and be it further RESOLVED, that said funds be derived from the NYS Smart Growth Communities Grant. 12 CITY OF ITHACA 108 East Green Street, Ithaca, New York 14850-6590 Planning and Development Christine Ibert, TO:Common Council COW Study Session FROM:Megan Wilson DATE:August 20, 2025 RE:Technical Correction to Short-Term Rental Ordinance ITEM #:2.3 MEMORANDUM The proposed amendment will make clarifications and corrections to the current short-term rental regulations. ATTACHMENTS: STR Technical Amendments for Council.pdf 13 M E M O R A N D U M Date: August 8, 2025 To: Common Council From: Maura Baldiga, Planner RE: Short-Term Rental Ordinance Technical Amendments EXECUTIVE SUMMARY Planning staff and the City Attorney’s Office are proposing several technical amendments to the City’s short- term rental ordinance. The aim of the proposed amendments is to clarify and correct a few key technical details of the ordinance. PROJECT HISTORY, BACKGROUND, & ANALYSIS The City of Ithaca passed a short-term rental ordinance in May of 2024. Since then, the City has been working to implement and enforce the ordinance. Through this experience, staff have determined that there are several aspects of the ordinance that should be clarified for ease of implementation and enforcement. KEY ISSUES IDENTIFIED The amendments clarify aspects of the short-term rental ordinance, namely: - Owner-occupants can short-term rent multiple units on their property. Long-term leaseholders may only short-term rent their unit of primary residence. - ADUs and any two-unit residential dwellings can be rented out as short-term rentals. - All short-term rental units must have a separate permit and pay a separate fee. - Hosts must provide the contact information for someone present in Tompkins County for the duration of all short-term rentals. Additionally, the proposed amendments increase ease of enforcement by: - Clarifying when a permit will be revoked; - Clarifying that that 3-year ban on new short-term rental permits will apply to hosts who have a short- term rental permit revoked; and - Detailing the specific violations that relate to short-term rentals in the City. BUDGET IMPLICATIONS & FUNDING There are no budget implications or required funding for this zoning amendment. 14 PUBLIC FEEDBACK Due to the technical and limited nature of these amendments, they do not need to be formally circulated for public comment and do not require a public hearing. The short-term rental ordinance was passed with extensive public comment. NEXT STEPS If Council supports the proposed amendments, final consideration could occur at the September 3, 2025 Common Council meeting. 15 An Ordinance Amending the City of Ithaca Municipal Code, Chapter 325, “Zoning” WHEREAS, the City of Ithaca Common Council passed a short-term rental ordinance on May 1, 2024, and WHEREAS, the City began full enforcement of the ordinance on June 1, 2025, and WHEREAS, City staff have been working with short-term rental property owners and hosts to implement the short-term ordinance and have proposed technical amendments to improve the policy’s implementation and enforcement, and WHEREAS, the Common Council of the City of Ithaca desires to amend Chapter 325 of the Ithaca City Code to meet the above objectives; now, therefore ORDINANCE NO. 2025-__ BE IT ORDAINED AND ENACTED by the Common Council of the City of Ithaca as follows: Section 1. Section 3(B) of Chapter 325, Zoning, of the Municipal Code of the City of Ithaca is hereby amended to add the following definition and amend the definition of short-term rental: SHORT-TERM RENTAL ADVERTISEMENT Information posted online or otherwise regarding short-term rentals at a particular property, including but not limited to information posted on third-party rental or hosting sites. SHORT-TERM RENTAL A dwelling unit that is offered for rent in whole or in part for less than 30 consecutive days. Section 2. The following provisions of Chapter 325, Section 27, entitled “Short-Term Rentals”, of the Municipal Code of the City of Ithaca, are hereby amended and renumbered as follows: § 325-27.1 Title. This section shall be known as and may be cited as the “Short-Term Rental Ordinance.” § 325-27.2 Purpose and Intent. The intent of the policy is to regulate short-term rentals in the City of Ithaca in order to: A. Preserve housing affordability and availability in the long-term rental and homeownership markets. B. Permit owners and long-term leaseholders to generate additional income from their properties. 16 C. Protect the health and safety of guests staying in short-term rentals. D. Increase lodging supply during peak demand periods. E. Ensure compliance with the City’s hotel occupancy tax. F. Reduce the negative impacts of short-term rentals on neighbors. § 325.27.3 Applicability. This section applies to all short-term rentals offered and/or placed under contract within the City of Ithaca on or after the effective date of this ordinance. Notwithstanding the foregoing, any short-term rental stay already under contract prior to the effective date of this ordinance shall not require an operating permit. § 325.27.4 Short-Term Rental Regulations. A. Short-term rentals are permitted only in zones in which residential uses are allowed. B. A short-term rental operating permit may only be issued for a property that is the primary residence of the host. 1. An owner-occupant may offer multiple units on their property as short-term rentals, provided all units meet the requirements in § 325.27.4(C). 2. A long-term leaseholder may only offer their unit of primary residence as a short-term rental. A host who is a long-term leaseholder must provide written authorization from the property owner as part of each application or renewal for a short-term rental operating permit. C. Short-term rentals are only permitted in: 1. Single-family dwelling units, including accessory dwelling units 2. Two-family dwelling units Two-unit residential buildings 3. Any owner-occupied dwelling unit within a multiple dwelling or mixed-use building. Units within a multiple dwelling or mixed-use building that are not owner occupied are not eligible for short-term rentals. D. Prior to advertising or offering a short-term rental, every host is required to hold a valid short-term rental operating permit issued by the Director of Planning and Development. Each short-term rental operating permit shall identify all of the host’s units on the property authorized for use as a short-term rental. Each unit that will be used as a short-term rental must have a separate short- term rental operating permit. Each operating permit is subject to its own fee. A short-term rental operating permit may only be issued for a property that is the primary residence of the host. E. Only natural persons shall be eligible to receive a short-term rental operating permit. Corporations, limited liability companies, trusts, and other such entities are prohibited from advertising or offering short-term rentals, serving as hosts, and/or receiving a short-term rental operating permit. A host who is not an owner of the property to be offered as a short- term rental must provide written authorization from the 17 property owner as part of each application or renewal for a short- term rental operating permit. F. There shall be no limit on the number of days for which a dwelling unit may be offered or rented for short-term rentals pursuant to a valid short-term rental operating permit, provided that the host(s) maintain their primary residence on the property. It shall be a violation to rent, offer, or advertise a short-term rental without a valid short-term rental operating permit. § 325.27.5 Permit Application Process. A. Hosts must submit a completed short-term rental operating permit application on a form approved by the Director of Planning and Development, along with all additional materials required by the Director. Such additional materials may include, but shall not be limited to: 1. Proof of primary residency 2. Owner’s Authorization, if applicable 3. A permit fee as set and revised from time to time by the Director of Planning and Development. B. The Director of Planning and Development shall review the application and confirm that it meets the requirements set forth in § 325.27.4. Upon completion of this review, including verification of a valid certificate of compliance as required by Chapter 210, Housing, of the City Municipal Code, the Director shall issue the short-term operating permit for a period of one (1) year. C. Short-term rental operating permits are nontransferable and valid only for the dwelling unit(s) and host(s) for which they are issued. D. Upon expiration of a short-term rental operating permit, the host shall be required to apply to renew the short-term rental operating permit prior to offering further short-term rentals at the property. E. An application to renew a short-term rental operating permit may be submitted and approved prior to the expiration of an in-force short- term rental operating permit. § 325.27.6 Operational Requirements. A. A valid certificate of compliance must be maintained for the rental period covered by the short-term operating permit. B. All required City and County hotel occupancy taxes must be remitted as required by Chapter 105, Room Occupancy Tax, of the City of Ithaca Municipal Code. C. Occupancy of a short-term rental shall never exceed the maximum occupancy stated on the certificate of compliance. D. Hosts must post the following information in the main entryway of each dwelling unit used as a short-term rental: 1. Copy of the short-term rental operating permit. 2. Copy of the certificate of compliance, which states maximum occupancy of the unit. 3. Emergency contact information including police, fire, and poison control, as well as the property’s full physical address. 18 E. Hosts must include their short-term rental operating permit number in all short-term rental listings. F. Hosts must provide the name, phone number, and email address of a local contact who will be physically present within Tompkins County for the duration of a short-term rental and who shall promptly respond to the property should an issue arise or a complaint be filed. § 325.27.7 Revocation of Permit. A. Failure to meet any requirement of the Short-Term Rental Ordinance shall result in the immediate revocation of the short-term rental operating permit. B. A short-term rental operating permit shall be revoked if, on two or more dates within a six-month period, the use of the permitted property as a short-term rental is associated with any conviction for one or more violations of the Ithaca City Code, the New York Penal Law, or the New York Alcoholic Beverage Control Law. C. Any host that fails to meet any requirement of this Short-Term Rental Ordinance has had a short-term rental operating permit revoked shall be ineligible to apply for a short-term rental operating permit at any property for a period of 3 years from the date of any such the revocation. § 325-27.8 Permit Renewals. A. Hosts must apply to renew their short-term rental operating permit each year by submitting a completed renewal application and all requested documentation to the Department of Planning and Development. B. If the host’s certificate of compliance remains valid, the host must submit an Affidavit of Compliance stating that the short-term rental units continue to meet the conditions of approval. If the certificate of compliance has expired, a new certificate of compliance must be issued before the permit is renewed. C. Hosts must be current on all required occupancy taxes before their permits are renewed. § 325-27.9 Violations. A. It shall be a violation for any property owner who is not a natural person to rent, offer, or advertise, or to assist or permit any rental, offering, or advertising, of a short-term rental. B. It shall be a violation to rent, offer or advertise a short-term rental without a valid short-term rental operating permit. The existence of an advertisement at any time during a calendar day constitutes a violation. Each day that an advertisement is in existence or that a property is rented or offered for short-term rental shall constitute a separate violation. C. It shall be a violation to rent, offer, or advertise a short-term rental without a valid certificate of compliance. Each day that a property is rented, offered, or advertised for short-term rental without a valid certificate of compliance shall constitute a separate violation. D. It shall be a violation to rent, offer, or advertise a short-term rental 19 if a valid short-term rental operating permit number is not included prominently in the advertisement. Each day that an advertisement is in existence or that a property is rented or offered for short-term rental without including a valid operating permit number shall constitute a separate violation. § 325-27.10 Rebuttable Presumptions. A. It shall be a rebuttable presumption that advertising was caused or permitted by the property owner or performed on behalf of the property owner. A sworn statement indicating that such information existed on a day shall be prima facie evidence of that information. B. It shall be a rebuttable presumption that the price listed in a short- term rental advertisement is the price at which the short-term rental is being advertised or offered, including rent, fees, and other such charges. A sworn statement indicating that such information existed on a day shall be prima facie evidence of that information. § 325-27.911 Penalties and Appeals. A. If a property or host is found to be in violation of any provision of this section, the owner of the property and/or the host shall be strictly liable of the offense. and shall be subject to the penalties provided in Section 255-47, Penalties, of the Municipal Code of the City of Ithaca. The penalty for each violation shall be the greater of the penalties provided in Section 325-47, Penalties, of the Municipal Code of the City of Ithaca or the aggregate daily rental charge of the short-term rental advertised or offered. The aggregate daily rental charge shall be the highest price that a short-term rental is advertised or offered for per day, inclusive of rent, fees, and any other charge that would be imposed upon a prospective tenant. For violations occurring over multiple days, the highest aggregate daily rental charge advertised or offered for any such day shall be the per diam penalty for each such day that the property is advertised or offered. B. In addition to any penalty imposed by a court of competent jurisdiction, a host found to be in violation of any provision of this Short-Term Rental Ordinance shall be ineligible to apply for a short- term rental operating permit for a period of 3 years from the date of conviction. C. Any person aggrieved by any decision of the Director pursuant to the provisions of this section may appeal such decision to the Board of Zoning Appeals, as provided in Section 325-37 of the Municipal Code of the City of Ithaca. This appeals process shall not apply to prosecutions or other legal proceedings brought in the name of the City or the People to enforce the provisions of this section. Section 3. Severability. Severability is intended throughout and within the provisions of this ordinance. If any section, subsection, sentence, clause, phrase or portion of this ordinance is held to be invalid or unconstitutional by a court of competent jurisdiction, then that decision shall not affect the validity of the remaining portions of this ordinance. 20 Section 4. Effective date. This ordinance shall take effect immediately and in accordance with law upon publication of notices as provided in the Ithaca City Charter. 21 CITY OF ITHACA 108 East Green Street, Ithaca, New York 14850-6590 Public Information and Technology Christine Ibert, TO:Common Council COW Study Session FROM:Alan Karasin DATE:August 20, 2025 RE:Legislative Reorganization of Department of Information and Technology ITEM #:3.1 MEMORANDUM Legislative Reorganization of Department of Information and Technology to the Department of Information and Community Engagement. The long-awaited reorg returns. Planned for years and discussed with Council in June 2024. We are nearing the finish line. ATTACHMENTS: DICE Legislative Changes - Work Session Memo to Council.pdf FINAL PIT-DICE Reorg LL.pdf 22 M E M O R A N D U M Date: August 20, 2025 To: Common Council From: Alan Karasin, Director Public Information and Technology RE: Legislative Reorganization of Department of Information and Technology to the Department of Information and Community Engagement EXECUTIVE SUMMARY In June 2024, we shared a proposal to reorganize the Department of Public Information and Technology. After receiving feedback from council and some clariﬁcations on the required civil service process, please read this adjusted proposal. The goal is to better align this department with the rest of the city’s organizational structure and to strengthen our focus on community outreach and engagement while minimizing the need for additional positions. We also are addressing the growing need for coordination and management of the many enterprise software systems by realigning existing staff into new roles to support these new interdepartmental functions. We’re also proposing a new name—Department of Information and Community Engagement (DICE)—and a structure that includes three divisions under one department head. This setup keeps leadership streamlined while allowing each division to focus on its speciﬁc role and mirrors the organizational structure of other city departments. We were also asked to look for ways to reduce costs by using existing staff where possible. Accordingly, this proposal is limited to a net increase of only one position (City Clerk), which was previously approved and funded by the Common Council, as well as the de-funding of the Information Systems Manager position. What’s Changing • The department will be renamed Department of Information and Community Engagement (DICE). • Staff will be organized into three divisions: 1. Information Technology – led by a Director of IT/CISO (also a Deputy Department Head) 2. City Clerk’s Office – led by the City Clerk (also a Deputy Department Head) 3. Communication and Community Engagement – reporting directly to the Director of DICE 23 CIVIL SERVICE PROCESS The section summarizes the required Civil Service actions taken to support the proposed reorganization of the Public Information and Technology (PIT) Department into the Department of Information and Community Engagement (DICE). These actions are part of a routine and legally guided process managed by the Civil Service Commission and Human Resources professionals, consistent with standard municipal practice. As is typical, Council’s role in this process is limited to policy and structural approvals—such as approving positions funded in the City budget—not the development or technical review of job descriptions or classiﬁcations. This approach protects the objectivity, consistency, and legal integrity of personnel management in a public sector context. In accordance with NYS Civil Service Law, The Civil Service Commission has approved the following actions: On May 7, 2025, the Civil Service Commission adopted and classiﬁed two key leadership positions: Director of Information and Community Engagement and Director of Information Technology / Chief Information Security Officer. On June 11, 2025, the Commission approved revisions to job descriptions for the following roles to reﬂect duties under the new structure: City Clerk, Deputy City Clerk, Community Permit Coordinator, Information Management Specialist, Information Systems Manager, and Public Information Specialist. Council approval of the proposed reorganization is required before the City can complete the remaining Civil Service procedures and fully implement the Department of Information and Community Engagement. LEGISLATIVE REQUIREMENTS The City Charter deﬁnes the duties of the City Clerk and describes the Department of Public Information and Technology. Implementing this proposal will require amendments to sections C-5 (Elective and appointive officers), C-20 (City Clerk), and C-26.1 (Discipline and removal of selected officers). The bulk of the amendments will be to section C-20, which provides for the substantive authority of the department and its officers. Although the functions are being separated into two positions, the Common Council will retain its current level of authority over the selection, discipline, and removal of both the department head and the City Clerk. The department head will be appointed by the City Manager subject to the approval of the Common Council and will continue to be treated as any other department head. The City Clerk will be appointed by the City Manager subject to the approval of the Common Council, but will otherwise be treated as a deputy or assistant department head. The Director of Information Technology/Chief Information Security Officer will be treated for all purposes as a deputy or assistant department head. Either deputy will be authorized to act on behalf of the department head in the event of an absence or vacancy. As with any amendment to the Charter, these changes will be implemented through the passage of local law. If Council wishes to proceed, the proposed local law will be laid on the table and set for a public hearing in accordance with the procedural requirements of the Municipal Home Rule Law. No referendum is required for this change. 24 BUDGET IMPACT • The current department has 11 employees and 12 funded positions. • The new structure will have 12 funded positions • Net cost difference in 2026: $9,489 Staffing Updates: New and Modiﬁed Roles As part of the department reorganization, we’re updating a few key positions to better reﬂect the department’s new focus and structure. These changes support a more integrated approach to technology, public information, and community engagement. As noted above, the Civil Service Commission has already reviewed, approved, and graded job descriptions for the positions. Please see Appendix A for a more detailed breakdown of the staffing in each of the proposed divisions and Appendix B for an updated organizational chart. New or Updated Positions 1. Director: Department of Information and Community Engagement (DICE) • Role: Leads the entire department, ensuring coordination across all three divisions and advancing citywide communication and engagement goals. Serves as Public Information Officer (PIO). • Pay Grade: 11 • Replaces: 1 Director of Public Information and Technology position 2. Director of Information Technology • Role: Oversees the City’s IT systems and cybersecurity functions and serves as a Deputy Department Head and Chief Security Officer (CSO). • Pay Grade: 10 3. City Clerk • Role: Leads the City Clerk’s Office within the Department of Information and Community Engagement as a stand-alone role and serves as a Deputy Department Head, ensuring transparency and access to public records, legislative agendas, permitting, etc. • Pay Grade: 8 (Funded for 9 months in 2026) • Replaces: City Clerk portions of Director of Public Information and Technology position Position Being Phased Out • Information Systems Manager • This position will be defunded as part of the restructuring to streamline leadership and offer cost savings. • Pay Grade: 8 25 UTILIZATION OF NEW TECHNOLOGY As the City of Ithaca continues modernizing its operations, we have transitioned many outdated manual processes to streamlined, online systems. This shift has improved customer service and allowed for more efficient use of staff time across departments. To support this transformation, it is essential to realign staffing roles to reﬂect the increased reliance on enterprise systems—ensuring they are properly maintained, utilized, and integrated across city services. Additionally, as we move more operations online, the need for a clearly designated Chief Information Security Officer becomes critical to safeguard our data infrastructure and protect against cyber threats. The chart below outlines the major enterprise software systems that we have engaged since 2022 and their basic functions. In addition, as new facilities come on board, such as the GIAC Gym and the East Hill Fire Station, these all require complicated installations of technology infrastructure. Summary of New Technology 2022-2025 Started with Clerk’s Office and Building Division as pilot programs in 2022. OpenGov – Permitting and Licensing https://ithacacityny.portal.opengov.com/ *We continue to evaluate manual processes with the intent to migrate them to this system. Migrated applications from paper to online as well as created an internal electric routing process for approvals needed from different departments BUILDING-Plumbing License, HVAC License, Electrician License, Certiﬁcate of Compliance (COC) Inspection, Property Agent Registration Form, Heat Pump Permit, Building Permit, Demolition Permit, Electrical Permit, Plumbing Permit, Sign Permit, Temporary Structure Permit, Tent Permit, Water Heater Permit, EVENTS-Special Event Permits, Commons Use Permit, Mobile Vending Permits, Outdoor Dining Permit, Noise Permits, Public Assembly Permits, Request to Film on City Property, City Park Permit CLERK-Dog License, Officiant License, Residential Parking Permits, Disability Parking Permit, Residential Parking Visitor Pass, Charitable Gaming license BOARDS & COMMISSIONS-volunteer applications, Community Police Board form FIRE DEPT-COC Inspection, Elevator Operating Permit, Fire Protection System Permit, Fireworks Permit, Hot Works Permit, Mobile Food Truck Propane Permit, Outdoor Assembly Permit, Outdoor Firepit Permit, Recreational Bonﬁre Permit, Temporary Propane Permit PLANNING-STR Permit, Zoning Compliance, Zoning Review Application, Certiﬁcate of Appropriateness DPW-Street Permit, Use of City Property Permit address comments in past audits regarding our 26 2025 OpenGov – Budgeting & Reporting Implemented to eliminate manual entry of individual department budgets and provide more transparency participatory budgeting, planters & bike safety, & DRI Tool for public to report issues like potholes, graffiti, etc. to staff that allows us to track both completion as well as responsiveness pdesk and tech requests COMING SOON System) accrued time like sick and vacation leave, allow for employees to request and manage time off and see accruals, FOIL requests, which version of the City’s ﬁnancial software NEXT STEPS • Roster adjustments for 2025 - Reallocating clerking responsibilities from the Director to the Clerk and authorizing the deputy positions will require Council to pass a local law amending the Charter. A draft of the local law has been prepared and can be laid on the table and scheduled for a vote in September. • A resolution to defund and de-roster old positions and to fund and roster new positions for the remainder of 2025 can be brought in conjunction with the local law. • Funding and rostering the positions for 2026 would occur as part of the 2026 budget process. 27 APPENDIX A Director of Information and Community Engagement • Leads department overseeing IT, communications, public engagement, legislative support, and City Clerk functions. • Directs enterprise-wide projects and sets strategic communications and branding policies. • Acts as liaison with the public and internal departments, addressing complex issues and public concerns. • Supervises teams managing IT, engagement, and clerical operations; sets department goals and staffing. • Oversees records retention and data security policies in compliance with laws. • Manages vendor contracts, budget planning, and interdepartmental collaborations. • Reports to the City Manager and provides policy recommendations and strategic guidance. 1. Information Technology Division Led by: Deputy Director of Information Technology / Chief Information Security Officer Core Responsibilities: • Technology Infrastructure: Oversees the City’s networks, systems, and cloud-based platforms. • Cybersecurity: Develops security strategy, conducts risk assessments, and leads incident response and training. • System Support: Manages enterprise applications including ﬁnancial software, email, and communications systems. • Project Management: Leads IT planning and project implementation across departments. • Staff Roles: o Information Systems Manager: Oversees IT projects, systems, and department consulting. o Endpoint Analyst: Maintains and secures endpoint devices including desktops and emergency service terminals. o Desktop Specialist (TBD): Provides hardware/software user support. 2. Community Engagement Division Led by: Director of Information and Community Engagement Core Responsibilities: • Public Communication: Manages citywide communications through press releases, newsletters, and digital media. • Multimedia Content: Oversees the City’s digital TV channel, photography, video production, and social media. • Language Access: Produces multilingual and accessible content to engage diverse audiences. • Public Interface: Builds and maintains relationships with the public and the press; responds to inquiries. • Staff Roles: o Public Information Specialist: Creates, edits, and distributes public information across media platforms. o Event Permit Coordinator/Specialist: Manages permits for public events and serves as liaison with event organizers. 28 3. City Clerk Division Led by: City Clerk (newly funded) Core Responsibilities: • Records Management: Maintains official legislative records, resolutions, ordinances, and Council documentation. • Boards & Commissions: Coordinates recruitment, appointments, orientation, and meeting support. • Licensing & Permitting: Issues and tracks marriage, dog, ﬁshing, parking permits, and notarized claims. • Legislative & Committee Support: Prepares agendas, meeting minutes, and resolutions; supports Council operations. • Public Service: Acts as a key public-facing contact for inquiries and commission information. • Staff Roles: o Deputy City Clerk: Oversees core clerk functions and supports boards, commissions, and public records. o Information Management Specialists: Handle records retention, document indexing, data access, and legal compliance for City departments. 29 APPENDIX B 30 A Local Law Amending Sections C-5, C-20, and C-26.1 of the Ithaca City Charter for the Purpose of Restructuring the Department of Public Information and Technology into the Department of Information and Community Engagement, and Reallocating the Powers and Duties of Its Officers in Connection Therewith WHEREAS, the Common Council, first through its 2024 Budget, has funded separate positions for the City Clerk and the head of the Department of Public Information and Technology; and WHEREAS, the Common Council finds that it is in the public interest to make the legislative changes necessary to separate the functions of the City Clerk from those of the department head, and to restructure and rename the department as the Department of Information and Community Engagement; and WHEREAS, following the restructuring, the Common Council would retain confirmation authority over both the department head and the City Clerk; and WHEREAS, Section 10 of the Municipal Home Rule Law of the State of New York authorizes local governments to adopt and amend local laws for the purposes of modifying the powers and duties of its officers and departments; now, therefore, BE IT ENACTED by the Common Council of the City of Ithaca as follows: Local Law No. 2025 – Section 1. Legislative Findings, Intent, and Purpose The Common Council makes the following findings: 1. The Common Council determines that it is in the interest of the public welfare to separate the functions of the City Clerk from those of the department head of the department formerly known as the Department of Public Information and Technology, which shall hereinafter be known as the Department of Information and Community Engagement. 2. Separating these functions will improve governmental operations and promote administrative efficiency by enabling the department head to provide departmental leadership and to collaborate on organization-wide issues, while allocating the functions of the City Clerk to a subject-matter expert positioned to focus on compliance with the City’s legal obligations and support of the Common Council’s legislative functions. 3. Authorizing deputy department heads to act in the stead of the department head will provide for continuity of operations in the event of a vacancy or unexpected absence. 31 4. Renaming the department as the Department of Information and Community Engagement better reflects the actual and aspirational functions of the department. Based upon the above findings, the intent and purpose of this Local Law is to reallocate the powers and duties of the reformulated Department of Information and Community Engagement to separate the functions of the department head from those of the City Clerk, and to authorize the naming of deputies to serve as the heads of the Clerk’s Division and the Information Technology Division of the Department. Section 2. Charter Amendments This Section 2 amends only the following provisions of the Ithaca City Charter, with the remainder of the provisions unchanged: 1 (a) The text of the following portion of Section 5 of the Ithaca City Charter, titled “Elective and appointive officers”, is amended to read as follows: § C-5 Elective and appointive officers. … C. The appointed officers of the City shall be: … (4) Officers appointed by the City Manager with approval of Common Council. (a) Officers who serve as the heads of their respective departments, and who are appointed by the City Manager with the approval of Common Council: Controller, Director of Human Resources, Director of Information and Community Engagement, Director of Planning and Development, Fire Chief, Greater Ithaca Activities Center Director, Police Chief, Superintendent of Public Works, Youth Bureau Director. (b) Officers who are appointed by the City Manager with the approval of Common Council to a specific department: City Clerk as appointed to the Department of Information and Community Engagement; City Chamberlain as appointed to the Office of the City Controller; Building Commissioner as appointed to the Department of Planning, Building, and Development; Deputy City Manager for Public Safety as 1 Ellipses indicate that the intervening or subsequent material remains unaltered. A markup version of the full text of the amended sections of the Charter is attached as Appendix A. 32 appointed to the Office of the City Manager. (5) Officers who serve as the deputies or assistant department heads of their respective departments, and who are appointed by their respective department heads: Assistant City Attorney(s), Assistant Superintendent(s) of Public Works, Deputy City Chamberlain, Deputy City Clerk, Deputy Controller, Director of Information Technology/Chief Information Security Officer as appointed to the Department of Information and Community Engagement, Deputy Director of Human Resources, Deputy Director of Economic Development, Deputy Director of Planning and Development, Deputy Fire Chief(s), Deputy Greater Ithaca Activities Center Director, Deputy Police Chief(s), Deputy Youth Bureau Director. … (b) The text of Section 20 of the Ithaca City Charter, titled “City Clerk”, is amended to read as follows: § C-20. Director of Information and Community Engagement; City Clerk. A. There shall be a Department of Information and Community Engagement, the head of which shall be the Director of Information and Community Engagement. B. The Director of Information and Community Engagement shall: (1) Organize the work of the Department of Information and Community Engagement. The Director may assign and transfer administrative functions, powers and duties within the Department of Information and Community Engagement as the best interest of the City may appear, subject to the Charter, local law, or ordinance. (2) Oversee the work of the City Clerk and the Clerk’s Division of the Department of Information and Community Engagement, subject to the Charter, state or local law or ordinance, and, in the absence, inability, or temporary vacancy of both the City Clerk and Deputy City Clerk, serve as Acting City Clerk with all powers of such office. (3) Oversee the work of the Director of Information Technology and the Information Technology Division of the Department of Information and Community Engagement; manage and execute all information technology functions of the City government, including systems of written and spoken communication, archiving and retrieval, and all software and hardware 33 components necessary thereto. (4) Provide information to the public as directed by the City Manager or by resolution of Common Council, or as required by the Charter, local law, or ordinance. (5) Have such other powers and duties as may be prescribed by the Charter, local law, or ordinance. C. The City Clerk shall be an officer appointed to the Department of Information and Community Engagement, and, subject to the oversight of the Director of Information and Community Engagement, shall: (1) Perform the functions and discharge the powers and duties of the City Clerk pursuant to law. (2) Act as Clerk for the Board of Public Works and the Common Council and keep a journal of their proceedings and a record of the minutes of every meeting. The minutes of each meeting shall be signed by the officer presiding at such meeting and by the Clerk. (3) Keep and maintain the original authenticated copies of all resolutions, ordinances and local laws. At the close of each year, the Clerk, with the advice and assistance of the City Attorney, shall compile or codify and bind all local laws, ordinances and resolutions, or true copies thereof, in books to be provided for that purpose. The City Clerk shall properly index such books, compilation or codification. The record so made, or a copy thereof, duly certified by the City Clerk, shall be presumptive evidence in all courts and places and in all actions and proceedings of the due and proper passage and publication of any such local law, ordinance or resolution. (4) Issue licenses and permits authorized to be issued by the City Clerk under authority of the Common Council or by a City Clerk pursuant to law. (5) Organize the work of the Clerk’s Division of the Department of Information and Community Engagement. The City Clerk may assign and transfer administrative functions, powers and duties within the Clerk’s Division as the best interest of the City may appear, subject to the Charter, local law or ordinance. (6) Serve as a deputy to the Director of Information and Community Engagement, with the powers and duties of a deputy department head as 34 provided under this Charter or otherwise pursuant to law. (7) Have such other powers and duties as may be prescribed by the Charter, local law, or ordinance. (c) The text of the following portion of Section 26.1 of the Ithaca City Charter, titled “Discipline and removal of selected officers”, is amended to read as follows: § C-26.1. Discipline and removal of selected officers. A. Application of this section. (1) The following City officers are subject to the discipline and removal procedures found in this section: (a) Director of Code Enforcement. (b) City Chamberlain. (c) City Clerk. (d) City Controller. (e) Director of Human Resources. (f) Assistant City Attorney. (g) Deputy City Chamberlain. (h) Deputy City Clerk. (i) Deputy City Controller. (j) Director of Information and Community Engagement. (k) Director of Information Technology/Chief Information Security Officer. … Section 3. Severability Clause. Severability is intended throughout and within the provisions of this Local Law. If any section, subsection, sentence, clause, phrase, or portion of this Local Law is held to be invalid or 35 unconstitutional by a court of competent jurisdiction, then that decision shall not affect the validity of the remaining portions of this Local Law. Section 4. Effective Date. This Local Law shall be effective immediately upon filing in the office of the Secretary of State. 36 APPENDIX A § C-5. Elective and appointive officers. A. The elective officers of the City of Ithaca elected at large by the qualified voters of the City shall be: the Mayor and a City Judge. B. The elective officers of the City of Ithaca to be elected by the qualified voters residing, respectively, in each ward of the City shall be: two Council members (Alderpersons) from each ward. C. The appointed officers of the City shall be: (1) Members of boards, councils and commissions: the six Commissioners of the Board of Public Works, the nine members of the Public Safety and Information Commission, the nine members of the Community Life Commission, the nine members of the Mobility, Accessibility, and Transportation Commission, the nine members of the Parks, Recreation, and Natural Resources Commission, the nine members of the Sustainability and Climate Justice Commission, the 10 members of the Workforce Diversity Advisory Committee, the three members of the Building Code Board of Appeals, the five members of the Board of Zoning Appeals, the three members of the Civil Service Commission, the nine members of the Community Police Board, the five members of the Design Review Board, the three members of the Examining Board of Electricians, the three members of the Examining Board of Plumbers, the five members of the Housing Board of Review, the five members of the Ithaca Housing Authority, the seven members of the Ithaca Landmarks Preservation Commission, the five members of the Ithaca Urban Renewal Agency, the seven members of the Planning and Development Board, and the five members of Pegasys Access Oversight Committee, all of whom shall be appointed by the Mayor in accordance with the provisions of the Charter or the ordinances or resolutions which create such boards, commissions or councils. (2) Officers who serve at the pleasure of the City Manager in accordance with and subject to the provisions of Section C-13: a City Attorney, who shall serve as the head of the City Attorney's Office. (3) Reserved. (4) Officers appointed by the City Manager with approval of Common Council. (a) Officers who serve as the heads of their respective departments, and who are appointed by the City Manager with the approval of Common Council: City Clerk, Controller, Director of Human Resources, Director of Information and Community Engagement, Director of Planning and Development, Fire Chief, Greater Ithaca Activities Center Director, Police Chief, Superintendent of Public Works, Youth Bureau Director. (b) Officers who are appointed by the City Manager with the approval of Common Council to a specific department: City Clerk as appointed to the Department of Information and Community Engagement; City Chamberlain as appointed to the Office of the City Controller; Building Commissioner as appointed to the Department of Planning, Building, and Development; Deputy City Manager for Public Safety as appointed to the Office of the City Manager. (5) Officers who serve as the deputies or assistant department heads of their respective 37 APPENDIX A departments, and who are appointed by their respective department heads: Assistant City Attorney(s), Assistant Superintendent(s) of Public Works, Deputy City Chamberlain, Deputy City Clerk, Deputy Controller, Director of Information Technology/Chief Information Security Officer as appointed to the Department of Information and Community Engagement, Deputy Director of Human Resources, Deputy Director of Economic Development, Deputy Director of Planning and Development, Deputy Fire Chief(s), Deputy Greater Ithaca Activities Center Director, Deputy Police Chief(s), Deputy Youth Bureau Director. (6) The City Manager is an officer appointed by Common Council in accordance with such appointment and removal procedures as the Common Council may promulgate from time to time and serves at the pleasure of the Common Council. D. Unless otherwise prohibited by law, the same person may be appointed to hold one or more of said offices at the same time. The Common Council may also, prior to each of such appointments, prescribe the duties of such officers in addition to and not inconsistent with the duties prescribed by this Charter, except as otherwise provided for; and subject to such provisions of the Common Council and to the provisions of this Charter, the City Manager shall prescribe the duties and fix the rates of compensation of all officers so appointed. E. Residency requirements. (1) Residency requirements for City officers who are officers because of their service on a City board, council or commission are set out in the sections of the Charter, Municipal Code or specific resolution which created the board, council or commission and in Chapter 103 of the Municipal Code. (2) Residency requirements for City officers who are employees of the City of Ithaca are set out in Article X of Chapter 90, § 90-67 et seq., of the Municipal Code. (3) To the extent that any of the provisions of this Charter, Chapters of the Municipal Code, or Resolutions of Common Council establish residency requirements for public officers which are more expansive than those established by N.Y.S. Public Officers Law Section 3, it is the intention of Common Council to supersede Public Officers Law Section 3 to the maximum extent permitted by any applicable "special law" exceptions to the Public Officers Law which are in existence now or which may be adopted hereafter. F. Appointment of alternates to Boards and Commissions exercising decision making power. (1) At the first regular Common Council meeting in January of each year, or as soon thereafter as possible, two alternates shall be appointed to each of the following boards and commissions, in the same manner as regular members are appointed: (a) Board of Public Works. (b) Board of Fire Commissioners. (c) Community Police Board. (d) Board of Zoning Appeals. (e) Design Review Board. (f) Examining Board of Electricians. 38 APPENDIX A (g) Examining Board of Plumbers. (h) Housing Board of Review. (i) Ithaca Landmarks Preservation Commission. (j) Planning and Development Board. (k) Cable Commission. (2) If necessary, additional alternates may be appointed on an ad hoc basis in the same manner that regular members are appointed. (3) In order to minimize training time, preference should be given to former members of each board and commission. (4) Alternates shall serve in the event that one or more board or commission members cannot act on a particular application or decision because of a conflict of interest. (5) Alternates shall be required to attend the same training sessions as regular board members. § C-20. Director of Information and Community Engagement; City Clerk. A. There shall be a Department of Information and Community EngagementPublic Information and Technology, the head of which shall be the Director of Information and Community EngagementCity Clerk. B. The Director of Information and Community Engagement shall: (1) Organize the work of the Department of Information and Community Engagement. The Director may assign and transfer administrative functions, powers and duties within the Department of Information and Community Engagement as the best interest of the City may appear, subject to the Charter, local law, or ordinance. (2) Oversee the work of the City Clerk and the Clerk’s Division of the Department of Information and Community Engagement, subject to the Charter, state or local law or ordinance, and, in the absence, inability, or temporary vacancy of both the City Clerk and Deputy City Clerk, serve as Acting City Clerk with all powers of such office. (3) Oversee the work of the Director of Information Technology and the Information Technology Division of the Department of Information and Community Engagement; manage and execute all information technology functions of the City government, including systems of written and spoken communication, archiving and retrieval, and all software and hardware components necessary thereto. (4) Provide information to the public as directed by the City Manager or by resolution of Common Council, or as required by the Charter, local law, or ordinance. (5) Have such other powers and duties as may be prescribed by the Charter, local law, or ordinance. B.C. The City Clerk shall be an officer appointed to the Department of Information and Community Engagement, and, subject to the oversight of the Director of Information and Community Engagement, shall: Formatted: Font color: Text 1 Formatted: Indent: Hanging: 0.38" Formatted: Font: 12 pt, Font color: Text 1 Formatted: Font: 12 pt, Font color: Text 1 Formatted: Font color: Text 1 Formatted: Indent: Left: 0.56", Hanging: 0.38", Numbered + Level: 1 + Numbering Style: 1, 2, 3, … + Start at: 1 + Alignment: Left + Aligned at: 0.83" + Indent at: 1.08", Tab stops: Not at 0.58" 39 APPENDIX A (1) Perform the functions and discharge the powers and duties of the City Clerk pursuant to law. (2) Act as Clerk for the Board of Public Works and the Common Council and keep a journal of their proceedings and a record of the minutes of every meeting. The minutes of each meeting shall be signed by the officer presiding at such meeting and by the Clerk. (3) Keep and maintain the original authenticated copies of all resolutions, ordinances and local laws. At the close of each year, the Clerk, with the advice and assistance of the City Attorney, shall compile or codify and bind all local laws, ordinances and resolutions, or true copies thereof, in books to be provided for that purpose. The City Clerk shall properly index such books, compilation or codification. The record so made, or a copy thereof, duly certified by the City Clerk, shall be presumptive evidence in all courts and places and in all actions and proceedings of the due and proper passage and publication of any such local law, ordinance or resolution. (4) Issue licenses and permits authorized to be issued by the City Clerk under authority of the Council or by a City Clerk pursuant to law. (5) Manage and execute all information technology functions of the City Government, including systems of written and spoken communication, archiving and retrieval, and all software and hardware components necessary thereto. (5) Organize the work of the Clerk’s Division of the Department of Information and Community EngagementDepartment of Public Information and Technology. The City Clerk may assign and transfer administrative functions, powers and duties within the Clerk’s DivisionDepartment of Public Information and Technology as the best interest of the City may appear, subject to the Charter, local law or ordinance. (6) Serve as a deputy to the Director of Information and Community Engagement, with the powers and duties of a deputy department head as provided under this Charter or otherwise pursuant to law. (7) Have such other powers and duties as may be prescribed by the Charter, local law, or ordinance. § C-26.1. Discipline and removal of selected officers. A. Application of this section. (1) The following City officers are subject to the discipline and removal procedures found in this section: (a) Director of Code Enforcement. (b) City Chamberlain. (c) City Clerk. (d) City Controller. (e) Director of Human Resources. 40 APPENDIX A (f) Assistant City Attorney. (g) Deputy City Chamberlain. (h) Deputy City Clerk. (i) Deputy City Controller. (j) Director of Information and Community Engagement. (i)(k) Director of Information Technology/Chief Information Security Officer. (2) Notwithstanding any other designation of applicability in this section, the discipline and removal procedures found in this section shall not apply to City officers who are subject to Civil Service Law for reasons which attach to the individual rather than the office. (3) The following City officers are subject to the discipline and removal procedures found in §§ 75 and 76 of New York Civil Service Law, as amended: (a) Youth Bureau Director. (b) Director of Planning and Development. (c) Superintendent of Public Works. (d) Police Chief. (e) Fire Chief. (f) Deputy Fire Chief. B. Grounds for discipline or removal. A person subject to this section shall not be removed or otherwise subjected to any disciplinary penalty provided in this section except for incompetency or misconduct. C. An action under this section commences with the service of a notice of charges and encompasses all activities undertaken pursuant to the notice of charges including any subsequent investigation; disciplinary action prior to a final determination; a hearing, if requested; and the final determination. D. The final determination is the determination of incompetency or misconduct, or the lack thereof, including the imposition of a penalty, if any, made by the final decision-maker. E. The final decision-maker is the Common Council, or the Council's designee if the Common Council delegates the power to impose a penalty, but under no circumstances, shall the penalty of removal be imposed in any manner inconsistent with § 26.1(N). F. Who may commence and prosecute an action. The City Manager may commence and/or prosecute an action under this section. G. Time limit to commence an action. (1) No action under this section shall be commenced more than one year after the occurrence of the alleged incompetency or misconduct. (2) Notwithstanding any other provisions of this section, no time limit shall be applied to the commencement of actions where the alleged misconduct or incompetency would, if Formatted: Not Expanded by / Condensed by Formatted: Not Expanded by / Condensed by 41 APPENDIX A proved in a court of appropriate jurisdiction, constitute a criminal offense. H. Notice of charges. (1) Written notice must be provided to the officer against whom an action is commenced and must include a copy of the charges and reasons for those charges. (2) The officer against whom an action is commenced may answer the notice of charges within 21 days of the service of the notice. I. Commencement of the hearing. (1) An officer against whom an action is commenced may request a hearing regarding the action and must make any such request in writing to the City Manager within 10 days of the service of the notice of charges. (2) The City Manager, after receiving a written request for a hearing, must, within seven days of receipt of that request, forward such request to Common Council. (3) If the officer against whom an action is commenced requests a hearing within the applicable time period, the hearing may not begin less than seven days after the answer to the notice of charges is forwarded to Common Council. (4) The hearing must begin within 45 days after the service of the notice of charges unless the parties otherwise agree. J. Representation of officer. (1) Prior to the notice of charges. (a) An officer has the right to representation by counsel or other representative of the officer's choice where, at the time of questioning, the officer appears to be a potential subject of an action under this section. (b) An officer shall be notified in advance of preaction questioning of the officer's right to representation. (c) An officer shall be allowed a reasonable amount of time in which to obtain representation before preaction questioning may begin. (d) After the aforementioned reasonable time elapses, the officer may be questioned notwithstanding any lack of representation. (e) If a hearing is requested, the hearing officer determines whether the time allowed for the officer to obtain representation was reasonable. (2) During the hearing. The hearing officer must, upon the request of the officer against whom the action is commenced, permit the officer to have representation by counsel or by another representative of the officer's choice during all phases of the hearing. K. Disciplinary action prior to the final determination. The City Manager may impose any penalty short of removal that the City Manager deems appropriate prior to the final determination, but if such interim penalty includes suspension without pay, such suspension may not continue for longer than 30 days. L. Hearing officer. 42 APPENDIX A (1) The hearing officer is the Common Council or the Council's designee, but under no circumstances shall the City Manager be the hearing officer. (2) The hearing officer may make findings of fact and recommend the imposition of any type of penalty to the final decision-maker. (3) The hearing officer, if so designated by the Common Council, may be the final decision- maker, but under no circumstances may the penalty of removal be imposed in any manner inconsistent with § C-26.1N. M. The hearing. (1) The City must prove the alleged incompetency or misconduct by a preponderance of the evidence. (2) Evidence. (a) Formal rules of evidence are not required. (b) The hearing officer must permit the officer against whom the action is commenced to summon witnesses. N. Penalties if found guilty. (1) Discipline less than removal may be imposed as deemed appropriate by the final decision-maker. (2) The penalty of removal may be imposed only by the affirmative vote of 2/3 of the Common Council. (3) An officer must be provided with written notice of the penalty imposed. O. Action upon acquittal. An officer who is acquitted of charges must be restored to the officer's most recent position with full pay for the suspension period, if any, less any unemployment benefits received for the suspension period and less any earnings from employment secured by the officer after the suspension began. P. Appeals. An officer may appeal the final determination as authorized by law. Q. This section is expressly intended to supersede General City Law § 4. 43 CITY OF ITHACA 108 East Green Street, Ithaca, New York 14850-6590 Controller's Office Christine Ibert, TO:Common Council COW Study Session FROM:Victor Kessler DATE:August 20, 2025 RE:Purchasing Policy Update ITEM #:3.2 MEMORANDUM A resolution approving updates to the City of Ithaca Purchasing Procedures. The Controller’s Office & the Attorney's Office propose that Council adopt the attached revisions to the City’s Purchasing Policy & Procedure Manual ("Manual"), last amended in 2024. ATTACHMENTS: 2025.08.15 Purchasing Policy Update Memo (1).pdf 2025 Purchasing Policy Resolution.pdf 44 M E M O R A N D U M Date: August 15, 2025 To: Common Council From: Controller’s Oﬃce & A orney’s Oﬃce RE: Updates to the City Purchasing Policy & Procedure Manual EXECUTIVE SUMMARY The Controller’s Oﬃce & the A orney’s Oﬃce propose that Council adopt the a ached revisions to the City’s Purchasing Policy & Procedure Manual (“Manual”), last amended in 2024. There are two groups of revisions, which are proposed following a thorough review of the Manual by the staﬀ of both oﬃces. First, Deputy Controller Sco Andrew will be re ring next month. The City is required under General Municipal Law 104-b to designate an oﬃcial responsible for purchasing. Accordingly, the Manual is being updated to designate Deputy Controller Wendy Cole as the purchasing oﬃcer. This change is mandatory. Second, staﬀ is recommending a series of addi onal revisions intended to update the Manual to clean up obsolete or inaccurate informa on, clarify the procurement process for staﬀ and the public, and make the Manual easier to use. A markup copy is being included with these materials that demonstrates all the proposed changes, but some representa ve changes include: •Replacing outdated cita ons with accurate ones •Updating thresholds and processes for various procurement methods (i.e. wri en quotes, RFPs) •Permi ng the use of electronic forms rather than, for example, three-part carbon copies •Modernizing and clarifying various processes (bid review, voucher, contrac ng, etc.) •Reorganizing the sec ons of the Manual such that the most-used por ons will be at the beginning •Increasing font size and improving forma ng to make the Manual easier to read BUDGET IMPLICATIONS & FUNDING Amending the Manual will have no direct budgetary impact. Staﬀ an cipates, however, that improvements to the procurement process will result in long-term budgetary savings due to increased compe on among poten al vendors for City contracts. Clarifying the manual will also reduce staﬀ me dedicated to determining which type of procurement is appropriate. The proposed revisions reinforce ongoing eﬀorts by the Controller’s Oﬃce and the A orney’s Oﬃce to update and introduce new procurement and contrac ng templates which will likewise result in reduced staﬀ me and more favorable terms. Taken together, these process improvements will contribute to long-term posi ve budgetary impacts. 45 NEXT STEPS At minimum, the City is required to update the purchasing oﬃcer listed in the Manual prior to Deputy Controller Andrew’s re rement. For the reasons stated above, staﬀ would addi onally recommend that Council adopt the remaining proposed changes. Should Council wish to made addi onal or further changes, staﬀ would recommend that those be proposed and implemented in a future revision to the Manual. Staﬀ is willing and able to provide feedback on any such proposals as requested by Council. 46 Formatted: Header Formatted: Footer CITY OF ITHACA PURCHASING POLICY & PROCEDURE MANUAL 47 2 Page | 2 Formatted: Header SUBJECT: City of Ithaca Purchasing Policy EFFECTIVE: January 7, 1976 REVISED: April 21, 1981 December 22, 1993 December 19, 2011 April 4, 2018 April, 1998 January 3, 2024 Effective: January 7, 1976 Revised: April 1981 December 1993 April 1998 December 2011 April 2018 January 2024 September 2025 PROCUREMENT POLICY FOR THE CITY OF ITHACA Public purchasing has two central purposes; protection of public financial resources by obtaining the best work, service or product for the lowest possible price, and the prevention of favoritism, improvidence, fraud and corruption in awarding public contracts to the lowest responsible bidder. We needThe City needs to foster competition, assure the prudent and economical use of public moneys, and adhere to Sections 103 and 104 of the General Municipal Law. This Purchasing Policy and Procedure manual is intended for use as a guide to City purchasing methods. When used with good judgment and common sense, this manual will enable the City to obtain the needed goods and services efficiently and economically. City employees involved in the purchasing process should be familiar with, and shall adhere to, the policies and procedures set forth in this manual. The cooperation of all employees is essential if the City is to obtain the maximum value for each tax dollar spent. While this manual does not answer all questions related to purchasing, it does provide the foundation for a sound purchasing system. The material in the manual is subject to revision to meet the often rapidly changing developments encountered in the field of purchasing. When changes become necessary, the information concerning these changes will be sent to all City departments. The City of Ithaca Common Council shall annually review these policies and procedures. This manual is effective immediately upon Common Council approval, and supersedes all previous purchasing instructions or directives. Formatted: Font: Calibri Light, 12 pt Formatted: Tab stops: 1", Left + Not at 1.11" Formatted: Space Before: 0 pt, After: 0 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Bold Formatted: Font: Calibri Light, 12 pt, Not Bold 48 3 Page | 3 Formatted: Header Table of Contents Purchasing Responsibility ........................................................................................................... 56 Ethics of Purchasing .................................................................................................................... 67 General Purchasing Standards, Definitions and Policies ......................................................... 78 Major Roles and Responsibilities ........................................................................................ 78 Tax Exempt Status ............................................................................................................... 78 Purchase Review .................................................................................................................... 7 New York State Contracts ............................................................................................................................... 8 Property Records ............................................................................................................................................... 8 Conflict of Interest.............................................................................................................................................. 8 Federally Funded Purchasing Conflict of Interest ................................................................................... 8 Minority and Women Owned Business ...................................................................................................... 8 Exceptions to General Purchasing Standards .......................................................................................... 9 Employee Fraud ................................................................................................................................................. 9 Buy Local Policy ................................................................................................................................................ 9 Environmentally Preferred Purchasing .................................................................................................. 9 - 12 Sweatshop-Free Procurement ...................................................................................................................... 13 Cooperative Purchasing ................................................................................................................................. 13 Authorized Equipment List Policy ............................................................................................................... 14 Sale of Surplus Public Equipment Policy ................................................................................................. 14 Wicks Law ........................................................................................................................................................... 14 Employee Travel ............................................................................................................................................... 15 Credit Card Policy ............................................................................................................................................. 15 Federal Purchasing Regulations .......................................................................................................................... 16 Authorized Limits and Control .......................................................................................................................... 17 - 19 City of Ithaca Bidding Procedures ....................................................................................................................... 20 General Procedures ......................................................................................................................................... 20 8 - 9 Authorized Limits and Control ............................................................................................ 10 - 11 City of Ithaca Bidding Procedures ...................................................................................... 12 - 13 General Procedures............................................................................................................. 14 Standardization ................................................................................................................. 2114 Exceptions to Bidding Procedures ................................................................................... 2114 Emergency Expenditure/Emergency Capital Project .............................................. 2115 Professional Services .............................................................................................................................. 22 Mandated Sources ..................................................................................................... 2215 Sole Source ........................................................................................................... 2215 - 16 State/County Contracts ............................................................................................. 2216 Piggybacking ............................................................................................................... 2216 Leases ......................................................................................................................... 2216 Cooperative Purchasing Contracts ............................................................................ 2316 Professional Services .............................................................................................. 16 - 17 Request for Proposal Procedure ......................................................................... 23 - 2417 - 20 Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Condensed by 0.25 pt Formatted: Font: Calibri Light, 12 pt Formatted: Tab stops: 6.44", Right,Leader: … + Not at 6.56" Formatted: Font: Calibri Light, 12 pt 49 4 Page | 4 Formatted: Header Federal Purchasing Regulations ................................................................................................. 21 Current Purchasing Procedures ......................................................................................... 2522-24 General Procedures.............................................................................................................. 25 Purchase Requisitions .................................................................................................... 25 Purchase Orders ......................................................................................................... 2625 How to use the Purchase Order ................................................................................ 2625 Procurement Delivery/Payment Process ................................................................. 2725 Voucher Procedure .................................................................................................... 2725 Contracts ..................................................................................................................... 2726 Contract Procedure ........................................................................................................... 2726 Why a Contract is Necessary ..................................................................................... 2826 Developing a Contract ........................................................................................ 2826 - 29 Contract Approval Policy .................................................................................................. 29 - 30 Miscellaneous provisions New York State Contracts ........................................................................................... 30 Property Records ......................................................................................................... 30 Conflict of Interest ....................................................................................................... 30 Federally Funded Purchasing Conflict of Interest ..................................................... 30 Minority and Women Owned Business .................................................................... 31 Exceptions to General Purchasing Standards ............................................................ 31 Employee Fraud .......................................................................................................... 32 Buy Local Policy ........................................................................................................... 32 Environmentally Preferred Purchasing ................................................................. 32 - 37 Sweatshop-Free Procurement ............................................................................. 37 - 38 Cooperative Purchasing ............................................................................................... 39 Authorized Equipment List Policy ............................................................................... 39 Sale of Surplus Public Equipment Policy .................................................................... 39 Wicks Law .............................................................................................................. 39 - 40 Employee Travel ........................................................................................................... 40 Credit Card Policy ......................................................................................................... 41 Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Tab stops: 6.44", Right,Leader: … + Not at 6.56" Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by 50 5 Page | 5 Formatted: Header PURCHASING POLICY – QUICK REFERENCE SHEET PLEASE NOTE: THIS IS A SUMMARY AND IS NOT A COMPLETE LIST OF PURCHASING POLICIES COMMODITIES AND SERVICES: Payment Under $500Up To $1,999: You do not need quotes or a PO (PO can be used if vendor requires). You can purchase items under $500100 with a Credit Card. $500-$1,000: Use of a PO encouraged (if vendor accepts them) $12,000 and up PO required even if vendor does not accept themPO, or other documentation required by the Controller, must be submitted in order for payment to be made Procurement $0-$1,000999; No quotes needed $12,000-$4,999: Three (3) Verbal Quotes $5,000-$19,999: Three (3) Written Quotes $20,000 and up: Competitive Bidding Procedure TYPES OF REQUISITIONS: Request for Bid (RFB): Used to requisition item(s) to be bid on. The award is based solely on price (or best value). An RFB is the default procurement method for any purchase over $20,000. All other procurement methods must fall in to an authorized exception. Request for Proposal (RFP): Used to requisition services that requires multiple factors to be considered in the award. This is a formal negotiation - price is not the only deciding factor. The deciding factors must be identified in the RFP and a committee ranks each proposal based on these factors. Request for Bid (RFB): Used to requisition item(s) to be bid on. The award is based solely on price (or best value). PUBLIC WORKS CONTRACTS: Under $5,000: Can be awarded at the discretion of the City Controller and a representative from the applicable City Department $5,000-$34,999.99: Three (3) Formal Written Quotes $35,000 and up: Competitive Sealed Bid EXCEPTIONS: • Certain professional services • Reimbursement of petty cash funds Formatted: Font: Calibri Light, 10 pt Formatted: Font: Calibri Light, 8 pt Formatted: Font: Calibri Light Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted ... [1] Formatted ... [2] Formatted: Font: Calibri Light, 12 pt Formatted ... [3] Formatted: Font: Calibri Light, 12 pt Formatted ... [4] Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Space Before: 0.3 pt Formatted: Font: Calibri Light Formatted: Font: Calibri Light, 10 pt Formatted: Font: Calibri Light, 12 pt Formatted: Body Text, Indent: Left: 0.5", Hanging: 1.5", Right: 0", Space Before: 0.35 pt, Line spacing: Formatted ... [5] Formatted: Font: Calibri Light, 12 pt Formatted: Body Text, Indent: Left: 0", First line: 0.5", Space Before: 0.35 pt Formatted ... [6] Formatted ... [7] Formatted: Font: Calibri Light, 10 pt Formatted: Font: Calibri Light Formatted: Font: Calibri Light, 12 pt 51 6 Page | 6 Formatted: Header • Utility bills • Interdepartmental charges • Medical examinations • Legal notices • Postage meter and stamp costs • Items on state bid or, OGS contract, cooperative purchasing agreement, or piggyback • Emergency Purchases Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 52 7 Page | 7 Formatted: Header PURCHASING RESPONSIBILITY The City of Ithaca Controller’s Office is hereby authorized to make all purchases of necessary goods and services by any means legal within the State of New York and within all applicable rules and regulations and in the best interest of the taxpayers of the City of Ithaca. In keeping with General Municipal Law 104-b, which requires the identification of the individual or individuals responsible for purchasing and their respective titles, the following individual(s), name(s) and title(s), are responsible for purchasing for City of Ithaca: Scott A. AndrewWendy Cole, Deputy City Controller Formatted: Right: 4.07" Formatted: Font: Calibri Light, 12 pt 53 8 Page | 8 Formatted: Header ETHICS OF PURCHASING In order to eliminate any suspicion of wrongdoing or unfairness of conflicts of interest prior to any purchase of materials, goods or supplies, the City Controller shall: 1. Consider the interest of the City in the betterment of its government. 2. Endeavor to obtain the greatest value for every dollar expended. 3. Be receptive to advice and suggestions from employees, insofar as such advice and suggestions are not in conflict with legal or moral restrictions in purchasing procedures. 4. Strive for knowledge of municipal equipment and supplies in order to recommend items that may either reduce cost or increase municipal efficiency. 5. Insist on and expect honesty in sales representation whether offered verbally or in writing, through advertising or by providing samples of a product. 6. Give all responsible bidders equal consideration and the assurance of unbiased judgment in determining whether their products meet specifications. 7. Discourage the offer of, and decline any and all gifts which in any way might influence the purchase of municipal equipment and supplies. 8. Accord a prompt and courteous reception, insofar as conditions permit, to all who call on legitimate business missions and cooperate with governmental and trade associations in the promotion and development of sound business methods in purchasing the City equipment and supplies. 9. Govern by the highest ideals of honor and integrity in all public and personal relationships in order to merit the respect and inspire the confidence of the organization and the public being served. 54 9 Page | 9 Formatted: Header GENERAL PURCHASING STANDARDS, DEFINITIONS AND POLICIES The City Controller’s Office (or designee) shall be responsible for developing and administering a centralized purchasing system and procedure to make provisions for all purchases, sale, lease, rental and servicing of materials, supplies, equipment and services for all City departments and agencies of City government pursuant to and in compliance with all the applicable provisions of laws and regulations. MAJOR ROLES AND RESPONSIBILITIES The City of Ithaca does not have a separate Purchasing Division or Department, but instead utilizes a decentralized purchasing system. As such, the ultimate responsibility and provider of oversight to the entire purchasing system is the Controller’s Office. Due to the decentralization of the purchasing system, each department is tasked with partial purchasing responsibility in which these responsibilities will be clearly highlighted throughout the policy. City Controller and Office - The Controller’s Office provides oversight, control, and the overall administration of the decentralized purchasing system. The Controller’s office is responsible for handling the Competitive Bidding process. Department Heads – Each department is responsible for initiating purchases, monitoring the delivery of purchases, and providing notifications of amendments of the purchase, etc. Department Heads are to ensure that designated purchasing employees fully comply with the purchasing policy. Designated Purchasing Employees - Employees involved in their department’s procurement process are to understand the purchasing procedures and to refer to this manual for reference of appropriate procedures to be used in the right situation. Attorney - The City Attorney provides legal approval for written contracts when contractual work or purchases are required and ensures that the correct legal proceedingsprocedures are used. Vendor or Supplier - The vendor or supplier is the second party willing to supply a service or commodity to the City of Ithaca for the agreed upon price and stipulations. TAX EXEMPT STATUS As a municipality, the City of Ithaca is exempt from all State of New York sales taxes and some Federal Excise Taxes. If a vendor requests proof of tax exemption, the Controller’s Office can provide documentation to the vendor. PURCHASE REVIEW Every purchase to be made must be initially reviewed to determine whether it is a purchase contract or a public works contract. The definitions of a Purchase Contract and a Public Formatted: Font: Calibri Light, 12 pt 55 10 Page | 10 Formatted: Header Works Contract are as follows: A. Purchase Contract - Involves the acquisition of commodities, materials, supplies or equipment. B. Public Works Contract – Involves the purchase of labor, construction and/or services related to construction. When a contract involves both elements of a purchase contract and a public work contract, it must be reviewed to determine which type of contract it is. As a general rule, if the contract involves a substantial amount of services such that it is the focal point, and the acquisition of goods is incidental, it will be considered a contract for public work. Conversely, if services or labor are only minimal or incidental to the acquisition of goods, it will be considered a purchase contract. Once that determination is made, a good-faith effort will be made to determine whether it is known, or can be reasonably expected, that the aggregate amount to be spent on the item of supply or service is not subject to competitive bidding, taking into account past purchases and the aggregate amount to be spent in a year. The following items are not subject to competitive bidding pursuant to Section 103 of the General Municipal Law: purchase contracts under $20,000 and public works contracts under $35,000; emergency purchases; sole source purchases; goods purchased from correctional institutions; purchases from agencies for the blind and disabled; purchases under State and County contracts; leases; and second-hand purchases from another government entity. The City shall purchase materials, supplies, equipment and services as required, at the best possible and reasonable price, and maintain the appropriate documentation for the purchase as follows: A. Purchases will be secured by use of written requests for proposals, written quotations, verbal quotations, or any other method that assures that goods and services will be purchased at the lowest reasonable price, and that favoritism will be avoided. Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 56 11 Page | 11 Formatted: Header B. Proper written documentation (acceptable to the Controller’s Office) by the individual making the purchase will be required whenever a contract is awarded to other than the lowest responsible vendor. This documentation will include an explanation of how the award will achieve savings, is an environmentally preferable alternative, or how the vendor was not responsible. NEW YORK STATE CONTRACTS Purchases shall be made, to the extent practicable, through: available New York State contracts of the Office of General Services, Division of Standards and Purchase; Department of Correctional Services; New York State Industries for the Disabled; Industries for the Blind of New York State; and surplus and second-hand purchases from another governmental entity, whenever such purchases are in the best interest of the City. The State Contracts can be obtained on the New York State Website at the following address: http://www.ogs.state.ny.us. Click on Procurement Services; click on Search State Contract Award notices, and look up information by using key word search or contract group number. If a State Contract exists for the desired item, the State Contract should be the primary source, unless reasoning can be provided to select a different vendor. State List of Debarred Vendors - In addition to a vendors list, there is also a Debarred Vendors List. This list contains the name of businesses that are disapproved of hiring due to poor service, failure to comply, or difficulty shown in cooperating. Before moving forward with a purchase, you should regularly check the Debarred Vendors List in order to ensure that the businesses that you intend to compare price quotes with are not on this list. So, be sure to review the state list of debarred vendors. If the vendor who you plan to purchase from is on this list, you should not purchase from that vendor. This list can be found in the Controller’s Office. PROPERTY RECORDS The Deputy City Controller, in conjunction with appropriate City Staff, shall establish a procedure for maintaining an up-to-date property and inventory record of all equipment, except expendables, held by the City and for the disposal of obsolete surplus or non- movable materials, supplies, and equipment. CONFLICT OF INTEREST No official or employee of the City shall be interested financially in any purchase or contract secured by the City. This also precludes acceptance of gratuities, financial or otherwise, by the above persons, from any supplier of materials, supplies, equipment, or services to the City, the sharing of bids, or specifications with potential bidders prior to the competitive process, and assisting a supplier or firm to win a contract award prior to or during the competitive process. FEDERALLY FUNDED PURCHASING CONFLICT OF INTEREST STATEMENT No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a Federal award if he or she has a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any Formatted: Font: Calibri Light, 12 pt Field Code Changed Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 57 12 Page | 12 Formatted: Header member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees, and agents can neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. If the financial interest is not substantial or the gift is an unsolicited item of nominal value, no further action will be taken. However, disciplinary actions will be applied for violations of such standards otherwise. The City Controller’s Office or designee shall develop a procedure for review of procurement practices or activities upon receipt of an inquiry or allegation of violation of this policy following its adoption. MINORITY AND WOMEN OWNED BUSINESS To the extent possible, the City of Ithaca will encourage contracts with minorities and women-owned businesses, and the City will not discriminate against contractors because of race, creed, color, national origin, sex, age, disability, or marital status, or sexual or affectional preference and will continue existing programs of affirmative action to ensure that minorities are afforded equal opportunities without discrimination. 58 13 Page | 13 Formatted: Header EXCEPTIONS TO GENERAL PURCHASING STANDARDS Internal control involves not only compliance with required purchasing procedures, but also affects the paperwork necessary. “Over-papering” can ruin the effectiveness of the system almost as quickly as non-compliance. The authorized dollar limits, requirements of quotations, and utilization of purchase orders are waived for the following exceptions, established upon a determination of operational efficiencies and economics: 1. Purchases under $500 2.1. Office supply orders 3.1. Petty cash reimbursements 4.1. Utility Bills 5.1. Maintenance, Repairs and Parts (up to $5,000) 6.1. Interdepartmental Charges 7.1. Postage Costs 8.1. Memberships & Dues 9.1. Subscriptions 10.1. Mileage, Travel, Conference reimbursements 11.1. Other expenses determined by the purchasing agent or designee on an individual basis. EMPLOYEE FRAUD Policy Statement: An act of fraud is committed if an employee of the City negotiates a personal procurement by fraudulent use of a City requisition number, purchase order number or procurement card. If an employee claims a purchase is on behalf of the City of Ithaca, when in fact the purchase was made solely for personal use, an act of fraud has been committed. By making a personal procurement from State Contracts, an act of fraud has also been committed. By committing an act of fraud, the employee is subject to disciplinary action and/or prosecution. BUY LOCAL POLICY On March 7, 1979 the Common Council passed the following resolution regarding a “buy local” policy: Formatted: Font: Calibri Light, 12 pt 59 14 Page | 14 Formatted: Header RESOLVED, That this Common Council establishes the policy that all City agencies and departments will purchase supplies, materials, and equipment within the City of Ithaca pending availability of comparable quality and price. ENVIRONMENTALLY PREFERABLE PURCHASING It is the policy of the City of Ithaca to require purchase of products and services that minimize environmental and health impacts, toxics, pollution, and hazards to worker and community safety and to the larger global community to the greatest extent practicable; however It is not the intent of this policy to require a department, buyer or contractor to take any action that conflict with local, state or federal requirements or to procure products that do not perform adequately for their intended use, exclude adequate competition, or are not available at a reasonable price in a reasonable period of time. Environmentally Preferable Purchasing is an important component of this policy, effective December 19, 2011, and will guide City efforts to meet the following goals: • minimizing health risks to City staff and residents, • minimizing the City’s contribution to global climate change, • improving air quality, • protecting the quality of ground and surface waters, and • minimizing the City’s consumption of resources. Formatted: Line spacing: single 60 15 Page | 15 Formatted: Header Further, Environmentally Preferable Purchasing is adopted and encouraged by the City in order to: • purchase products that include recycled content in order to support strong recycling markets, • institute practices that reduce waste by increasing product efficiency and effectiveness, use products that are durable and long-lasting, and reduce materials that are landfilled, • purchase products and institute practices that conserve energy and water, use agricultural fibers and residues, reduce greenhouse gas emissions, use unbleached or chlorine free manufacturing processes, and use recycled wood and wood from sustainably harvested forests, • purchase energy from renewable or green sources in preference to fossil fuels, • purchase products that are free of mercury and lead and eliminate the use of other persistent bioaccumulative toxic chemicals where possible, • increase the use and availability of environmentally preferable products, services and distribution systems that protect human health and the environment, • support emerging and established manufacturers and vendors that reduce environmental and human health impacts in their services and production and distribution systems, and • create a model for successfully purchasing environmentally preferable products and services that encourages other buyers and consumers in our community to adopt similar goals. Specifications for Environmentally Preferable Purchasing A. Source Reduction: The City of Ithaca shall institute practices that reduce waste and result in the purchase of fewer products whenever practicable and cost-effective, but without reducing safety or workplace quality. City departments shall purchase remanufactured products (i.e. for equipment and vehicles) whenever practicable, but without reducing safety, quality or effectiveness. Products that are durable, long lasting, reusable, refillable, recyclable or otherwise create less waste shall be selected whenever possible. Vendors shall be required to minimize packaging to the greatest extent practicable. Packaging that is reusable, recyclable or compostable shall be selected when suitable uses and programs exist. The City shall not purchase any polystyrene foam food packaging. Vendors shall be required whenever possible to take back and reuse pallets and packaging materials. Suppliers of electronic equipment shall be required to take back equipment for reuse or environmentally safe recycling when the City discards or replaces such equipment, unless the City deems it worthwhile to send the equipment to a non-profit organization for Formatted: Font: Calibri Light, 12 pt Formatted: Line spacing: single Formatted: Line spacing: single 61 16 Page | 16 Formatted: Header reuse. ALL documents shall be printed and copied on both sides to reduce the use and purchase of paper, unless needed to be single sided as per legal requirements. The Information Technology staff shall provide guidance to City departments and staff for setting duplexing as the default on each workstation, when feasible, or train employees to use this option, for all capable printers. B.A. Toxics Reduction and Pollution Prevention: City departments shall purchase energy-efficient products and consider "less toxic alternatives" when purchasing products such as cleaning products, pesticides and herbicides. To the maximum extent practicable, all cleaning or disinfecting products (i.e. for janitorial or automotive use) shall (i) meet Green Seal Standards for environmental preferability and performance, (ii) be products delineated on the NYS OGS Green Cleaning Product List, or (iii) meet NYS OGS guidelines and specifications for green cleaning products. When contracting with new supply vendors, the City shall encourage training of its janitorial staff. Purchasing products containing persistent bio-accumulative toxic chemicals (PBTs) shall be avoided, where alternatives exist. When maintaining buildings and landscapes, the City shall manage pest problems through prevention and physical, mechanical and biological controls and use least toxic chemical pesticide products only after safer approaches or products have been determined to be ineffective. When maintaining buildings, the City shall use products with the lowest amount of volatile organic compounds (VOCs), highest recycled content, and low or no formaldehyde when purchasing materials such as paint, carpeting, flooring, adhesives, furniture and casework. The City shall purchase products and equipment with no lead, cadmium or mercury whenever possible. For products that must contain lead or mercury because no suitable alternative exists, preference shall be given to those products with the lowest quantities of these metals and to vendors with established lead, cadmium and mercury recovery programs. 62 17 Page | 17 Formatted: Header The purchase of all pentachlorophenol, arsenic and creosote treated wood is prohibited. When replacing vehicles, the City shall lease or purchase only the most fuel-efficient models available that are suitable for each task and through carsharing and carpooling, shall minimize the number of vehicles purchased, as referred to in the “Green Policy for the City of Ithaca Fleet”. To the extent practicable, the City shall use renewably- derived fuels or fuels that are cleaner and less-polluting than gasoline and conventional diesel fuel, including biodiesel, natural gas and electricity. C.A. Recycled Content Products: It is the policy of the City to purchase and use recycled products to the extent that such use does not negatively impact health, safety, or operational efficiency. A 10% price preference may be given to recycled content products based on the lowest bid or price quoted by the suppliers offering the competing non-recycled content products. All products purchased for which the United States Environmental Protection Agency (U.S. EPA) has established minimum recycled content standard guidelines shall contain the highest postconsumer content practicable, but no less than the minimum recycled content standard. These guidelines can be obtained at the U.S. EPA Website at the following address: http://www.epa.gov/epawaste/conserve/tools/cpg/products/index.htm Copiers and printers purchased shall be compatible with the use of recycled content and remanufactured products. City departments will favorably consider the selection of other recycled content and renewable materials, products and supplies over their non-recycled content and non- renewable alternatives whenever availability, fitness, operational efficiency, quality, safety, and price are equally acceptable. The list of materials, products and supplies shall include, but not be limited to, business office products, compost, fuels, mulch, asphalt, transportation products (e.g. signs, cones, delineators, and barricades), and other items. All pre-printed recycled content papers intended for distribution that are purchased or produced shall contain a statement that the paper has recycled content. Whenever feasible, the statement should indicate the percentage of postconsumer recycled content it contains. D.A. Energy and Water Savings: New and replacement equipment for lighting, heating, ventilation, refrigeration and air conditioning systems, water consuming fixtures and process equipment and all such components shall meet or exceed Federal Energy Management Program (FEMP) recommended levels, whenever practicable. Formatted: Font: Calibri Light, 12 pt Field Code Changed Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 63 18 Page | 18 Formatted: Header All products purchased by the City and for which the U. S. EPA Energy Star certification is available shall meet Energy Star certification. When Energy Star labels are not available, products shall meet or exceed the FEMP recommended levels. When energy is purchased, renewable or green sources are preferred. These include solar power or photovoltaics, wind power, geothermal, and hydroelectric energy sources and do not include fossil fuels (coal, oil or natural gas). Demand water heaters shall be purchased whenever practicable. Energy Star and power-saving features for copiers, computers, monitors, printers and other office equipment shall be enabled during the initial installation and shall remain enabled unless these features conflict with the manufacturer’s recommended operation and maintenance of the equipment, or its specific operational use. 64 19 Page | 19 Formatted: Header E.A. Landscaping: All landscape renovations, construction and maintenance by the City, including workers and contractors providing landscaping services for the City, shall employ sustainable landscape management techniques for design, construction and maintenance whenever possible, including, but not limited to, integrated pest management, grasscycling, drip irrigation, composting, and procurement and use of mulch and compost that give preference to those produced from regionally generated plant debris and/or food waste programs. Plants should be selected to minimize waste by choosing species for purchase that are appropriate to the microclimate, species that can grow to their natural size in the space allotted them, and perennials rather than annuals for color. Native and drought-tolerant plants that require no or minimal watering once established are preferred. Hardscapes and landscape structures constructed of recycled content materials are encouraged. The City shall limit the amount of impervious surfaces in the landscape, wherever practicable. Permeable substitutes, such as permeable asphalt or pavers, are encouraged for walkways, patios and driveways. When available, the City shall purchase landscaping equipment that is not dependent on the use of fossil fuels. F.A. Forest Conservation: To the greatest extent practicable, the City shall not procure wood products such as lumber and paper that originate from forests harvested in an environmentally unsustainable manner. When possible, the City shall give preference to wood and wood products that are certified to be sustainably harvested by a comprehensive, performance-based certification system. The certification system shall include independent third-party audits, with standards equivalent to, or stricter than, those of the Forest Stewardship Council certification. Implementation - Department heads shall implement environmentally preferable purchasing practices, in accordance with this section of the policy, in coordination with the Controller’s Office and other appropriate City personnel. Whenever possible, the City will use recognized eco-labels and standards to make purchasing decisions. Wherever feasible and appropriate, life cycle cost analysis should be used by City departments and staff to assist in selecting products and services. "Cost" shall be calculated over the life of the item and should consider initial acquisition costs, useful life, costs of maintenance and operation over the useful life, and costs of disposal and/or replacement Formatted: Font: Calibri Light, 12 pt 65 20 Page | 20 Formatted: Header at the end of the useful life, rather than initial acquisition costs alone. Successful vendors or bidders shall certify in writing that the environmental attributes claimed in bids or price quotes are accurate. Although not the lowest proposal or price quoted by suppliers, City departments and staff may nonetheless purchase a product that adheres to the environmentally preferable purchasing specifications stated in this Section, if there is "prudent and economical use of public moneys in the best interests" of City taxpayers. Such determination of "best interests" may include full consideration and comparison of product life cycle costs (including product maintenance, operation and disposal costs), as described above. A further consideration may include direct and identifiable benefits to taxpayers, other than product cost (for example, the cost of permeable pavers might exceed the cost of asphalt paving, yet the use of permeable pavers could mitigate storm water run-off and reduce the potential for flooding and infrastructure damage in low-lying areas). Justification for a determination of "best interests" shall be documented by City departments and staff and submitted to the Controller’s Office prior to the purchase of products or services. If the buyer making the selection from competitive bids or the requesting department seek to purchase products that do not meet the environmentally preferable purchasing criteria in this Policy, the buyer shall provide a written justification to the Controller’s Office (or designee) for why compliance is not practicable, e.g., the product is not technically practical, economically feasible, or available within the timeframe required. Vendor contracts shall be negotiated in light of the requirements of this policy. If a vendor that is under contract to the City of Ithaca is no longer able to provide a product that meets the City’s environmentally preferable specifications, it shall notify the appropriate city representative and provide written justification for why compliance is not practical. Prior written consent from an authorized City representative shall be required before substituting any alternative product or service. Training of buyers and other relevant city staff, vendors, contractors and grantees shall include instruction on the environmentally preferable purchasing requirements of the Policy. 66 21 Page | 21 Formatted: Header The DPW Stock Room has made significant efforts to implement an environmentally preferable or green purchasing program for most cleaning and janitorial products supply. All City departments are encouraged to order and purchase such products through the Stock Room, to the extent practicable. SWEATSHOP-FREE PROCUREMENT Effective January 1, 2012, the City of Ithaca and every department and division within the City government shall take all steps within its authority to ensure that, whenever possible, City purchases of apparel or textiles, in excess of $1,000, are from contractors or suppliers confirmed to be “sweatshop-free” – i.e., whose products are confirmed by a credible, independent source to be manufactured or assembled without violating the wage and hour, labor, safety, health, environmental, building, fire, or anti-discrimination laws, rules, codes, regulations or standards that are applicable in the country of manufacture or assembly, or that are contained in the International Labour Organization (ILO) Core International Labour Standards (whichever is stricter). POLICY ON SWEATSHOP-FREE PROCUREMENT OF APPAREL AND TEXTILES Any purchasing contract for the procurement of apparel or textiles shall comply with all applicable federal, state, and local laws and regulations, including the City of Ithaca Purchasing Policy and Chapter 39 of the Municipal Code of the City of Ithaca. 1. To the extent allowed under General Municipal Law, Section 103, the City of Ithaca and its departments shall only purchase apparel or textiles confirmed to be sweat-shop free, as those terms are defined herein, unless: a) The Controller certifies that no confirmed sweatshop-free apparel or textiles are available and that the acquisition of the apparel or textiles sought is essential or time-sensitive, the contracting agency may select a supplier that is not confirmed to be sweatshop-free; or b)a) The purchase of apparel or textiles is for less than $1,000. 2.1. For purposes of this revision, “sweatshop-free” shall refer to apparel or textiles that are manufactured or assembled without violating laws, rules, codes, regulations or standards regarding wage and hour, labor, safety, health, environmental, building, fire, or anti-discrimination, that are applicable in the country of manufacture or assembly, or that are contained in the ILO Core International Labour Standards (whichever is stricter). 3.1. Apparel or textiles may be confirmed to be sweatshop-free by: a) Certification or otherwise credible data, information, or reports submitted to the City Controller from the Sweatfree Purchasing Consortium or its agency members; Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Right: 0.08" 67 22 Page | 22 Formatted: Header b)a) Certification or otherwise credible data, information, or reports submitted to the City Controller from another comparable independent monitoring organization as selected by the Common Council or its members; or c)a) Self-certification by affidavit of the supplier or vendor that the apparel or textiles are sweatshop-free, provided that such certification is not contradicted by credible information received by the City Controller. 4.1. As a member of the Sweatfree Purchasing Consortium, the City will receive information from the Sweatfree Purchasing Consortium regarding manufacturers, contractors, subcontractors, suppliers, or vendors found to have violated human rights or labor standards. The City Controller shall advise Department Heads of violation information from the Sweatfree Purchasing Consortium, and Department Heads shall provide such information to all staff in a position to purchase City-required apparel. 5.1. The City encourages its officials and staff to strive to uphold the standards of the City Policy Statement on Sweatshop-Free Procurement of Apparel and Textiles, in making purchases of work-related apparel. COOPERATIVE PURCHASING On November 4, 2015, Common Council approved authorization to enter into Purchasing Cooperative Agreements as follows: WHEREAS, General Municipal Law §103 authorizes the City to purchase apparatus, materials, equipment and supplies, including vehicles, and to contract for services related to the installation, maintenance or repair of those items, through the use of contracts let by the United States or any agency thereof, any state or any other political subdivision or district therein so long as the contract is let in a manner that constitutes competitive bidding consistent with state law; and WHEREAS, City Departments have identified savings on certain products offered through purchase cooperatives run by state political subdivisions (school districts, municipalities, etc.) issuing public competitive bids and awarding 68 23 Page | 23 Formatted: Header contracts for various public safety, public works, communication products and services, and other products, and which contracts are then made available to local governments through membership in the cooperative; and WHEREAS, to purchase through such purchasing cooperatives, the City must typically execute an agreement to participate; now, therefore be it RESOLVED, That the City's purchasing policy be amended to authorize the Mayor, upon the consultation and advice of the City Attorney and the City Controller, to enter into purchasing cooperatives agreements with other governmental entities or political subdivisions, where there is no fee to the City to become a member, and where the cooperatives and their underlying bidding procedures meet the requirements of General Municipal Law §103. AUTHORIZED EQUIPMENT LIST POLICY On September 14, 1989, Common Council approved the following resolution relating to the Authorized Equipment List: WHEREAS, the authorized equipment list threshold has heretofore been $200, whereby all purchases in excess of said amount have required Common Council authorization, and WHEREAS, various departments of city government have requested a review and reconsideration of the $200 minimum authorized equipment list amount in view of inflationary effects on equipment items; now, therefore, be it RESOLVED, That the minimum authorized threshold be increased to $500, effective immediately. For equipment purchases under $500, the department head will submit the equipment request to the Controller’s office for review and approval. SALE OF SURPLUS PUBLIC EQUIPMENT POLICY When public equipment is sold by the City, the following procedures must be adhered to: 1. Equipment deemed surplus by a City department must be surplus to all City departments. Departments must check with other City departments to determine if another department can use the surplus equipment. If another department can use the equipment, the appropriate transfer of equipment, accountability and financial activity will be made by the departments and the Controller’s office. 2.1. If the equipment is deemed City surplus, City-wide, the equipment may be sold or placed in a City auction for sale. 3.1. Selling Procedure: Department establishes specifications of equipment for sale and a sealed bid equipment sale is performed through the City Controller’s Office. The sale must be advertised in the City’s official newspaper and sealed bids must be received. The sale of equipment will be awarded to the highest bidder. Cash or certified check will be accepted by the City. The proceeds of the sale will be placed into the appropriate City fund and account. 4.1. Equipment, deemed surplus, can also be placed in a city or municipal auction. The proceeds of the sale will be placed into the appropriate City fund and account. WICKS LAW Separate specifications for contracts involving the erection, construction, reconstruction, or alteration of buildings, when the entire cost of the work exceeds $500,000, shall be Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Line spacing: single 69 24 Page | 24 Formatted: Header prepared for the following work to be performed: A. Plumbing and gas fitting; B.A. Steam heating, hot water, ventilating and air conditioning apparatus (HVAC); C.A. Electric wiring and standard illuminating fixtures; D.A. General Construction. These specifications shall be written as to permit separate and independent bidding for each of the four areas of work. Building requirements as explained earlier in this document will pertain to each bid. 70 25 Page | 25 Formatted: Header EMPLOYEE TRAVEL On occasion, an employee may be required to travel out of the City for City business. When this occurs, the employee will be reimbursed travel expenses. Process Travel by an employee must be approved by Department Heads. Once approved, a Travel Authorization Request form must be filled out. The Travel Authorization Request form should contain the following information: Name and Title of Employee, Department, Account to be Charged, Destination (city/town) and Purpose of Travel, Dates of Travel, Estimate of Transportation Cost Information (whether it be by City or personal vehicle, plane, etc.), Estimate of Lodging Costs, Estimate of Meals Costs, Registration Fees, if applicable, Total Cost of Travel, Current Budget Balance of account to be charged, and Signature of Department Head Two copies of the Travel Authorization Request form are to be submitted to the Controller’s Office at least two (2) weeks prior to travel. The Controller’s Office will then review the request and the account to which the travel will be charged. If the budget allows for the expense, the Controller’s Office will sign both copies and return one copy to the requesting department and forward the other copy to the Accounts Payable Coordinator. Once approved, the requesting department will proceed with a purchase order and voucher as required within the purchasing policy. Employee Responsibility It is the responsibility of the employee to retain all receipts during the time of travel. Receipts shall be itemized. Credit Card receipts showing the total of a purchase will not be accepted. Upon return of the employee, a voucher may be used with receipts attached, to receive reimbursement of the expenses. Gratuities (up to 18%, pre-tax), taxes on meals and tax on gasoline for City vehicles will be refunded to the employee. If a private vehicle is used, mileage will be reimbursed at the current IRS rate. The City will not reimburse expenses for movies viewed in a hotel, alcohol or tax on alcohol for any reason. CREDIT CARD POLICY Credit Cards are issued by name to individual employees and generically to Departments Formatted: Font: Calibri Light, 12 pt Formatted: Line spacing: single Formatted: Font: Calibri Light, 12 pt 71 26 Page | 26 Formatted: Header and cannot be transferred to, assigned to, or used by anyone other than the designated employee. As the liability for the Credit Card resides with the City and not the cardholder, use for personal purchases is strictly prohibited. In addition, the Credit Card cannot be used for certain restricted items as indicated in the “Unauthorized Card Use” section of the Policy/Procedures manual. Fraudulent and/or misuse of the card is grounds for cancellation of Credit Card privileges and may lead to disciplinary action, up to and to include termination of employment. Any IT purchases must be approved in writing by the IT Director. The Department Head is responsible to closely audit all Credit Card transactions for the department. The Controller’s Office will perform periodic audits of Credit Card transactions. The Controller, as fiscal officer of the City, is the only position authorized to enter into a credit card agreement. The City Controller provides final approval to all Credit Card applications after the applicant signs the cardholder agreement form. A more detailed Credit Card Policy is distributed to cardholders at the time the card is given to the employee or Department and provides additional guidance on allowed and unallowed purchases. 72 27 Page | 27 Formatted: Header FEDERAL PURCHASING REGULATIONS Any purchases to be made using State or Federal funding must be completed and monitored according to the Uniform Administrative Requirement, Cost Principles, and Audit Requirements for Federal Award (2CFR 200). A link to the CFR can be found below: https://www.gpo.gov/fdsys/granule/CFR-2014-title2-vol1/CFR-2014-title2-vol1-part200/content-detail.html All Federal Grant usage within the City of Ithaca is privy to these policies and procedures due to the fact that the City of Ithaca exceeds the annual threshold for this requirement. For the purchasing of goods and services using Federal funding, all City of Ithaca Purchasing Policies and Procedures are to be followed. In addition, the following procedures must be followed: 1. Vendors must be vetted using the U.S. Federal Government’s System for Award Management (SAM) before the purchase and/or contract is completed. Vendors must be run through this system before each purchase to ensure that they are not suspended or debarred from federally funded transactions. If a department is going to make a purchase using Federal funding, they must notify the Controller’s Office or the City Controller and request a vendor check before the purchase is made. All vendors will be required to register on the SAM website. 2. Bonding Requirements (when required to comply with 2 CFR Section 200.325) for work performed are as follows: a. Bid Bond 5% of total bid b.a. Performance Bond 100% of total bid c.a. Payment Bond 100% of total bid It is the responsibility of the requesting Department Head to ensure that all Federal Purchasing Regulations are followed for the purchase and the monitoring of contractor performance as a result of that purchase. Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Line spacing: single 73 28 Page | 28 Formatted: Header 74 29 Page | 29 Formatted: Header AUTHORIZED LIMITS AND CONTROL Annually, the authorized limits for purchasing transactions shall be reviewed, evaluated and adjusted to more accurately reflect the market pricing, inflation, processing expenses, applicable laws, and the City’s utilization experience. The following authorized dollar limits are effective JanuarySeptember 3, 20242025. These limits are applicable per total purchase transaction, provide for departmental delegation and discretion, and require documentation as specified: Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 75 30 Page | 30 Formatted: Header Type of Contract Transaction Dollar Limit Process Purchase of Materials, Public Works Supplies, and Equipment Contract Transaction Dollar Limit Process $1 – 500 $ 1 - 500,999 $ 1 – 1,999 Vendor selected by Department and processed for payment on a claims voucher. Selection of vendor based on lowest price is encouraged. Purchase order not required, but may be necessary for certain vendors. *If applicable, Department enters Purchase Order No. into computer system and/or Purchasing Department enters purchase order. $501 – $2000 – 4,999 $ 2,500 $ 501 – 5,000 – 4,999 At Department’s discretion; either Department orthe Department or Controller’s Office obtains documented telephone/three(3) quotes. For Public Works contracts, quotes may be verbal/Fax quotes from at least three separate vendors (if available)., all other contracts require written quotes. Recommend low quote be written and documentation for any exceptions needs to be included. *If applicable, Department enters Purchase Order No. into computer system and/or Purchasing Department enters purchase order. Controller’s Office issues purchase order. $ 2,501 – 9,999 $5,0015,000 – 19,999 $5,000 – 34,999 Department or Controller’s Office obtains written/fax quotations from at least three (3) separate vendors (if available). All quotes must be in writing. Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Bold Formatted: Indent: Left: 0.11", Space Before: 4.75 pt, Line spacing: Exactly 9.75 pt, Tab stops: 2.11", Left Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Indent: Left: 0.49", Hanging: 0.51" Formatted: Font: Calibri Light, 12 pt, Condensed by 0.15 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 76 31 Page | 31 Formatted: Header *If applicable, Department enters Purchase order No. into computer system. Lowest quote should be selected; if not, documentation must be provided and approved by Controller and City Attorney. Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 77 32 Page | 32 Formatted: Header Type of Contract Transaction Dollar Limit Process Purchase of Materials, Public Works Supplies, and Equipment Contract Transaction Dollar Limit Process $20,000 and above $35,000 and above Department and/or Controller’s Office prepares and completes written specification. Controller’s Office advertises for competitive sealed bids in conformance with General Municipal Law, Section 103. Bids opened publicly in conformance with General Municipal law, Section 103. Lowest responsible bidder meeting bid specifications will be selected. A bid file will be established and retained by the Purchasing Department. If lowest responsible bidder is not selected, reasons must be documented and agreed upon by the Controller’s Office. Contract or purchase order issued by Purchasing after appropriate approval by Boards and/or Dept. Heads. Formatted: Font: Calibri Light, 12 pt Formatted: Centered, Indent: Left: 0.14", Right: 0.11" Formatted: Font: Calibri Light, 12 pt, Not Bold Formatted: Indent: Left: 0.11", Space Before: 4.75 pt, Line spacing: Exactly 9.75 pt, Tab stops: 2.11", Left Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Condensed by 0.2 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 78 33 Page | 33 Formatted: Header CITY OF ITHACA BIDDING PROCEDURES General Municipal Law Section 103 requires that any purchase of like or similar items in excess of $20,000 aggregate be submitted for public competitive bid. Likewise, any public works project requiring materials and labor in excess of $35,000 is required to be put out for public competitive bids. The law also states that if Local Laws are more stringent than State Laws then the Local Law shall be adhered to. The strictest law shall be used. The City Controller’s Office or designee shall be responsible for all required public advertising and competitive bidding; shall conduct all bid solicitations and openings; and secure the recommendations for awarding contracts from the appropriate official. Opportunity shall be provided to all responsible suppliers to do business with the City. To this end, the City Controller’s Office or designee shall develop and maintain lists of potential suppliers (bidders list) for various types of materials, supplies, equipment, and services. Lists shall include and highlight all environmentally responsible suppliers. Such lists shall be used to develop mailing lists of potential suppliers and for distribution of specifications, drawings, and invitations to bid. Any supplier may be included on the list upon request. When soliciting bids, a statement of “Information to Bidders” shall be included with all specifications submitted to suppliers. The information to bidders shall be incorporated in all contracts awarded for the purchase of materials, supplies, equipment, and services. The statement shall assist bidders with general information included in the bid. All contracts which require public advertising and competitive bidding shall be awarded as provided by State law and consistent with policies and procedures of the City attached hereafter. Recommendation for awarding contracts shall be submitted by the appropriate official. A. Specifications shall be developed to a minimum standard, which will allow greater participation by vendors in the sealed bid process. Specifications that are too precise and do not allow for competition are not in keeping with the intent of General Municipal Law Section 103 and may result in lawsuits against the City. B. Brand names can be used in bid specification. If the Controller’s Office is supplied with a brand name, the buyers will generally specify “brand name or equal” on the bid. A brand name gives the parties involved an idea of what type and quality of product is required. In many cases, several distributors can supply a given brand. The most important features or requirements must be addressed, since no two brands are identical. In all aspects, describe which aspects are needed for any product offered to be equivalent. Make it clear at the outset what would be considered “equivalent”..”. C. The issuance of plans and specifications and other bid documents, and the receiving of mailing fees, deposits, bid bonds, or certified check, and contract bonds will be handled by the Controller’s Office generally, and/or the appropriate City officials, when required by law. Bid documents can also be obtained on the City’s website at www.cityofithaca.org/bids - the documents can be downloaded for free. Deposits on plans and specifications for bids (when a deposit is required) – The City Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 79 34 Page | 34 Formatted: Header must refund entire bid deposit with return of plans and specifications in good condition within 30 days from unsuccessful bidder. If unsuccessful bidder picks up more than one set of plans, then we are to return deposit less cost of reproducing the additional sets. If nonbidder returns sets, no matter how many sets, we are to return the deposit less cost of reproduction. D. Performance bonds shall be required when bidding capital improvement or public works projects. Bidders are required to submit their performance bonds before, or at the time that they sign a contract. This bond will ensure that the bidder performs their duties as agreed upon between the date of the award and the set date of completion of the contract. E. Prevailing wages (obtained by the Controller’s Office) consist of pay scales that have been bargained for by the various unions through the State and are set by the New York State Department of Labor. Vendors must pay these rates to those employees who work on public works projects in any municipal facility. There is no dollar threshold where these wages do not apply. In having vendors submit quotes, it is extremely important to make sure that they understand that prevailing wages apply for any public works project, regardless of the cost of the contract. In addition, for projects that are Federally funded, wage rates in compliance with the Davis-Bacon Act must be followed. F. The Controller’s Office shall prepare and place the bid advertisement for the receipt of bids in the City’s official newspaper on such a purchase contract or a public works contract after authorization to proceed by the appropriate City officials. At least five days shall elapse between the first publication of such advertisement and the date so specified for the opening of the bids. Advertisement shall contain a statement of the bid time and place. As a general rule, use three weeks as the time between the bid advertisement and the bid opening. G. An addendum will be issued to clarify the bid requirements and/or the bid specifications. When a discrepancy, ambiguity or omission is revealed, an addendum will be issued to clarify the bid requirements. The addendum is sent by fax, email or mail to all vendors that received the bid. The Controller’s Office will make every effort to ensure that the appropriate vendors receive addenda. The addendum procedure can also be used to extend the bid date to give the vendors/contractors sufficient time to submit a responsible bid. Formatted: Right: 0.08", Space Before: 3.8 pt 80 35 Page | 35 Formatted: Header H. The City Controller’s Office (or designee) shall open all bids and read them publicly at the advertised time during regular business hours at City Hall, 108 East Green Street, Ithaca, New York, or through a publicly available electronic meeting. I. The Controller’s Office and/or appropriate City officials shall review bid documents to determine the lowest responsible bidder meeting the specifications so that a recommendation for an award can be made at the next regular meeting date or committee-of-the-wholespecial meeting with power to act of a particular board or the Common Council, if board or Common Council approval is required. J. When an award is made by the appropriate board or Common Councilauthority, the Controller’s Office and/or applicable department shall arrange for the execution of the contract documents by the contractor, City Manager and any other applicable City OfficialOfficials. K. Award will be made to the lowest responsible bidder. The term “responsible” means: financially responsible; accountable; reliable; sufficient resources; skill; judgment; integrity; responsive; and moral worth. In deliberating the responsibility of a bidder, contractor or a sub-contractor, all contracting agencies shall give due consideration to any credible evidence or reliable information regarding the guidelines set forth in Chapter 39 of the City Code. STANDARDIZATION Section 103 of the General Municipal Law makes it possible for the City to standardize on a particular type of material or equipment. In order to standardize a product, the Department head should submit a resolution request explaining the need for standardization and the efficiencies it will create for the City. The resolution, if approved by Common Council members, shall state that for reasons of efficiency or economy there is a need for standardization. The resolution shall contain a full explanation supporting such action. Approval of a standardization resolution requires that three fifths of the entire membership of Common Council vote in the affirmative on the resolution. The adoption of such a resolution does not eliminate the necessity for conformance to the competitive bidding requirements. Standardization, as the word implies, restricts a purchase to a specific model or type of equipment or supply. An example of standardization would be the limiting a purchase of trucks to a particular make or model on the basis of past performance and/or future plans. EXCEPTIONS TO BIDDING PROCEDURES Pursuant to General Municipal Law, Section 104-b(2)(f), the procurement policy may contain types of procurement for which, or circumstances when, at the sole discretion of the governing body, the solicitation of alternative proposals or quotations will not be in the Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 81 36 Page | 36 Formatted: Header best interest of the City. The decision that a purchase is not subject to competitive bidding will be documented, in writing, by the individual making the purchase. This documentation may include: written or verbal quotes from vendors; a memo from the purchaser indicating how the decision was reached; a copy of the contract indicating the source which makes the item or service exempt; a memo from the purchaser detailing the circumstances which led to an emergency purchase; or any other written documentation which is appropriate. In the following circumstances, it may not be in the best interests of the City of Ithaca to solicit quotations, or document the basis for not accepting the lowest bid: EMERGENCY EXPENDITURE/CAPITAL PROJECT PROCEDURE An exception to the required competitive bidding requirements exists for emergency situations. Three basic statutory criteria must be met in order for a procurement to fall within the emergency exception: (1) the situation arises out of an accident or unforeseen occurrence or condition; (2) public buildings, public property, or the life, health, safety, or property of the City are affected; and (3) the situation requires immediate action, which cannot await competitive bidding. The department head, in conjunction with the City Controller’s Office or designee, must review the circumstances of the capital expenditure and determine that the situation is an emergency as defined previously. If an emergency is declared, the approval by the existing Board (BPW) and Common Council must be made by resolution stating that a public emergency exists. If a public emergency is declared as provided by federal, state, or local law, then the competitive bidding requirements will be waived, but the following procedures must occur to assure that purchases are made at the lowest reasonable costs practicable under the circumstances: 1. The informal solicitation of verbal quotes by at least three (3) qualified contractors/vendors, or as many as practicable, followed up by a written quotation. 2. Department head and staff make recommendations of award of contractor to the City Controller’s Office or designee. If the lowest quote was not selected, reasons for such must be documented. 3. Award of contractorcontract, based upon recommendations by staff, department head, and purchasing agent, should be made by resolution at the applicable Board meetingthe appropriate authority. 4. A contract, with an amount not to exceed, must be entered into between the contractor and the City. 5. Any change orders to the contract must be properly reviewed and approved Formatted: Font: Calibri Light, 12 pt Formatted: Right: 0.09", Space Before: 4.75 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Expanded by 2 pt Formatted: Font: Calibri Light, 12 pt Formatted: Indent: Left: 0.61", Keep with next, Keep lines together Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Justified Formatted: Font: Calibri Light, 12 pt Formatted: Justified Formatted: Font: Calibri Light, 12 pt Formatted: Justified Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 82 37 Page | 37 Formatted: Header by the appropriate City personnel. 83 38 Page | 38 Formatted: Header PROFESSIONAL SERVICES Generally, professional services involve specialized expertise, use of professional judgment and/or a high degree of creativity. The individual or company must be chosen based on accountability, reliability, integrity, and moral worth. These qualifications are not necessarily found in the individual or company that offers the lowest price, and the nature of these services are such that they do not readily lend themselves to competitive procurement procedures. In addition, although it has been held that the exception may apply, in proper circumstances, to contract with a corporation. In these instances the services generally are to be performed by particular designated individuals. Finally the courts have noted that professional service contracts often involve a relationship of personal trust and confidence. Among the services which have been held to be exempt from competitive bidding under this exception include, but are not limited to, the following: other physicians, psychiatrists, psychologists, pharmacists, engineers, surveyors, accounting firms, attorneys, architects, and individuals who supply a service that requires specific training to perform a task that is unique and not readily available from most sources. Negotiations for all services which are not determined to fall under the RFP process shall be determined by appropriate staff of the City of Ithaca. In determining whether a service fits into this category, the appropriate City official shall take into consideration the following guidelines: (a) whether the services are subject to State licensing or testing requirements; (b) whether substantial formal education or training is a necessary prerequisite to the performance of the services; and (c) whether the services require a personal relationship between the individual and municipal officials. Professional or technical services shall include but not be limited to the following: services of an attorney; services of a physician; technical services of an engineer engaged to prepare plans, maps and estimates; securing insurance coverage and/or services of an insurance broker; services of a certified public accountant; investment management services; Bonding Attorney services; printing services involving extensive writing, editing or art work; management of municipally owned property; and computer software or programming services for customized programs, or services involved in substantial modification and customizing of pre-packaged software. Other professional services related to specified projects or contracts will be examined on an individual case basis. The City will solicit proposals for professional services on the City’s General Services every three years or as the Controller’s Office deems necessary. Extension of contracts can be made by appropriate authorization from Common Council. MANDATED SOURCES Sources include the Department of Correction, Industries for the Blind of New York State, and the N.Y.S. Industries for the Disabled. SOLE SOURCE When there is only one possible source from which to procure goods and/or services, thus indicating there is no possibility of competition, the following will be shown: 1. Unique benefits of item needed; 2. No other product/service can compare; Formatted: Font: Calibri Light, 12 pt Formatted: Body Text, Indent: Left: 0.61", Right: 0.08", Space Before: 0 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 84 39 Page | 39 Formatted: Header 3. Cost is reasonable as compared to product offered; 4. There is no competition available. If a department wishes to make a sole source procurement, the department head must submit a letter with the procurement request explaining the reason for the sole source procurement. All sole source procurements must be approved by the City Controller and City Attorney. STATE/COUNTY CONTRACTS The City can purchase (and, in fact, is encouraged) from New York State Contracts. The contract must have the applicable P#. The City can purchase from County contracts if the County has passed appropriate resolution stating availability to local municipalities. PIGGYBACKING Effective August 1, 2012, a new subdivision 16 was added to General Municipal Law (GML) § 103 to authorize political subdivisions and districts therein to purchase apparatus, materials, equipment and supplies, and to contract for services related to the installation, maintenance or repair of those items, through the use of contracts let by the United States or any agency thereof, any state or any other political subdivision or district therein. The contract must be made available for use by other governmental entities. LEASES Prices will be negotiated between the City of Ithaca and the lessor. Certain leases must comply with Section 109-b of the General Municipal Law. Formatted: List Paragraph, Justified Formatted: Font: Calibri Light, 12 pt Formatted: Justified Formatted: Font: Calibri Light, 12 pt 85 40 Page | 40 Formatted: Header COOPERATIVE PURCHASING General Municipal Law §103 authorizes the City to purchase apparatus, materials, equipment and supplies, including vehicles, and to contract for services related to the installation, maintenance or repair of those items, through the use of contracts let by the United States or any agency thereof, any state or any other political subdivision or district therein so long as the contract is let in a manner that constitutes competitive bidding consistent with state law; also known as Cooperative Purchasing. The City is allowed to enter into purchasing cooperatives agreements with other governmental entities or political subdivisions, where there is no fee to the City to become a member, and where the cooperatives and their underlying bidding procedures meet the requirements of General Municipal Law §103 PROFESSIONAL SERVICES Generally, professional services involve specialized expertise, use of professional judgment and/or a high degree of creativity. The individual or company must be chosen based on accountability, reliability, integrity, and moral worth. These qualifications are not necessarily found in the individual or company that offers the lowest price, and the nature of these services are such that they do not readily lend themselves to competitive procurement procedures. In addition, although it has been held that the exception may apply, in proper circumstances, to contract with a corporation. In these instances the services generally are to be performed by particular designated individuals. Finally the courts have noted that professional service contracts often involve a relationship of personal trust and confidence. Among the services which have been held to be exempt from competitive bidding under this exception include, but are not limited to, the following: physicians, psychiatrists, psychologists, pharmacists, engineers, surveyors, accounting firms, attorneys, architects, and individuals who supply a service that requires specific training to perform a task that is unique and not readily available from most sources. Negotiations for all services which are not determined to fall under the RFP process shall be determined by the City Attorney and City Controller. In determining whether a service fits into this category, the appropriate City official shall take into consideration the following guidelines: (a) whether the services are subject to State licensing or testing requirements; (b) whether substantial formal education or training is a necessary prerequisite to the performance of the services; and (c) whether the services require a personal relationship between the individual and municipal officials. Professional or technical services shall include but not be limited to the following: services of an attorney; services of a physician; technical services of an engineer engaged to prepare plans, maps and estimates; securing insurance coverage and/or services of an insurance broker; services of a certified public accountant; investment management services; Bonding Attorney services; printing services involving extensive writing, editing or art work; management of municipally owned property; and computer software or Formatted: Font: Calibri Light, 12 pt, Bold Formatted: Body Text, Indent: Left: 0.61", Space Before: 0.05 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Body Text, Indent: Left: 0.61", Right: 0.08", Space Before: 0 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Right: 0.09", Space Before: 4.75 pt 86 41 Page | 41 Formatted: Header programming services for customized programs, or services involved in substantial modification and customizing of pre-packaged software. Other professional services related to specified projects or contracts will be examined on an individual case basisThe decision that a purchase is not subject to competitive bidding will be documented, in writing, by the individual making the purchase. This documentation may include: written or verbal quotes from vendors; a memo from the purchaser indicating how the decision was reached; a copy of the contract indicating the source which makes the item or service exempt; a memo from the purchaser detailing the circumstances which led to an emergency purchase; or any other written documentation which is appropriate. and require approval of the City Controller and City Attorney. The City will solicit proposals for professional services as needed using a Request for Proposal. REQUEST FOR PROPOSAL FOR PROFESSIONAL SERVICES PROCEDURE A more detailed version of a formal quote, which is usually used when contracting for a professional service, or other service requiring individualized assessment, is a Request For Proposal (RFP). A standardized RFP Template is available in the Q drive or from the City Attorney’s Office. An RFP should include the following: 1. A work statement or performance specification detailing what is required. 2. Evaluation criteria by which proposals will be judged. Frequently the criteria are divided into three main categories: a. Managerial capability b. Technical acceptability c. Approach in meeting performance requirements and reasonableness of price. 3. Once criteria have been determined, the amount of weight each element will carry should be determined. This weight information can be included in the RFP document or the criteria can be presented from most important to least important. (Optional) 4. Time frames within which the work is to be completed. Proposals are typically judged on the vendor’s ability to do the work specified and in the time frame specified and based on their experience, personnel and past performance. After determining which vendors meet these criteria, price is then considered. The three most common ways to award a RFP are as follows: 1. Award to the most responsive vendor and negotiate price. 2. Select two or three of the most responsive proposals and request sealed bid pricing for the proposals and award to the vendor submitting the lowest price. Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Expanded by 2 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt 87 42 Page | 42 Formatted: Header 3. Award to any firm the City feelsdetermines can satisfactorily perform the job. Transaction Dollar Limit Process $0 - $1 - $,999 Informal – Department and/or Purchasing telephone one qualified supplier to discuss scope of work, negotiate price and award the contract. No written RFP. $12,000 - $24,999 Informal – Department and/or Purchasing telephone a minimum of three (3) qualified suppliers, discuss various approaches and request proposals in the form of letters. Evaluate the proposals and award a contract. No written RFP. $35,000 - $19,999 Informal – Department and/or Purchasing issue a letter to at least five (5) suppliers describing your requirements and the selection criteria. Evaluate the proposals, document your decision and award a contract. Keep the process as simple as possible. Award letter and RFP tabulation schedule should be sent to all participating vendors. $20,000 and Greater Formal – Department and/or Purchasing should issue a formal RFP to known RFP to suppliers. Advertise locally in the City’s official newspaper. Allow at least five (5) days for vendor response to RFP. A three-week time frame is best. If RFP is above $100,000, should also advertise on the State level (NY Times, NYS Contract Reporter, etc.) Formatted: Font: Calibri Light, 9 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 8 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 9 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Indent: First line: 0.38" Formatted: Font: Calibri Light, 12 pt Formatted: Right: 0.08" Formatted: Font: Calibri Light, 12 pt 88 43 Page | 43 Formatted: Header An evaluation committee shouldmust be established to review proposals. Award recommendation must go to Common Council for approval, unless the budget has already been approved by Common Council as part of a Capital Project, then award by Common Council is optional. Award letter and resolution must go to vendor. RFP tabulation schedule must be sent to all participating vendors. Selecting a Winning Proposal: When selecting a winning proposal, the following criteria should be used: 1. The supplier fully understands the needs and problems of the organization; 2. The supplier knows how to satisfy the needs or solve the problems, and offers a suitable plan; 3. The supplier is well qualified by virtue of experience and resources, including personnel, to carry out the proposed plan; 4. The price asked is reasonable and is within the project’s budget. Price can be negotiated. Protest Procedure for Request for Proposals 1. Changes to RFP will be made by addendum. This addendum shall be mailed so as to be received by potential bidder no less than five (5) days before the proposal due date. 2. Requests for clarification, changes, or protests of the Request For Proposal must be received by the City in writing not less than ten (10) days before the proposal due date. 3. Any approved clarifications, changes, or protests to the RFP shall be sent to all proposers. 4. The City’s replies to requests under #2 above will be postmarkedsent at least seven (7) days before the proposal due date. 5. A proposer desiring to protest an award of RFP or any portion of the RFP Procedure shall: A. File a protest in writing to the City of Ithaca Project Manager for this procurement, stating the nature and basis of protest. This protest may cover pre-award, award and post-award phases of procurement, but must be filed no later than thirty (30) days from the date of the City of Ithaca Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 89 44 Page | 44 Formatted: Header awarding resolutionnotice. B. Following the receipt of the written protest, the applicable Department Head or designee, Controller’s Office designee and project manager for the procurement shall meet with the aggrieved bidderproposer(s) within five (5) days of receipt of protest, and attempt to resolve the problem. C. If this meeting is unsuccessful in resolving the protest, the matter shall be sent to the City Attorney for resolution. D. If the matter is still unresolved, the protest will be sent to the applicable City Board, Commission or Council for decision. The decision of the applicable Board is final. E. The formal record of the dispute resolution process shall be the minutes of the Board, Committee or Council meeting. Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 90 45 Page | 45 Formatted: Header FEDERAL PURCHASING REGULATIONS Any purchases to be made using State or Federal funding must be completed and monitored according to the Uniform Administrative Requirement, Cost Principles, and Audit Requirements for Federal Award (2CFR 200). A link to the CFR can be found below: https://www.govinfo.gov/app/details/CFR-2025-title2-vol1/CFR-2025-title2-vol1- part200 All Federal Grant usage within the City of Ithaca is subject to these policies and procedures due to the fact that the City of Ithaca exceeds the annual threshold for this requirement. Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 91 46 Page | 46 Formatted: Header For the purchasing of goods and services using Federal funding, all City of Ithaca Purchasing Policies and Procedures are to be followed. In addition, the following procedures must be followed: 1. Vendors must be vetted using the U.S. Federal Government’s System for Award Management (SAM) before the purchase and/or contract is completed. Vendors must be run through this system before each purchase to ensure that they are not suspended or debarred from federally funded transactions. If a department is going to make a purchase using Federal funding, they must notify the Controller’s Office and request a vendor check before the purchase is made. All vendors will be required to register on the SAM website. The SAM website may be accessed at https://sam.gov/assistance-listings 2. Bonding Requirements (when required to comply with 2 CFR Section 200.326) for work performed are as follows: a. Bid Bond 5% of total bid b. Performance Bond 100% of total bid c. Payment Bond 100% of total bid It is the responsibility of the requesting Department Head to ensure that all Federal Purchasing Regulations are followed for the purchase and the monitoring of contractor performance as a result of that purchase. Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Line spacing: single 92 47 Page | 47 Formatted: Header CURRENT PURCHASING PROCEDURES GENERAL PROCEDURES A. With the exception of those purchases made under blanket purchase orders and/or emergency purchases (designated by Common Council and applicable boardas provided above) or emergency situations (those requiring immediate action), only the person designated by the MayorCity Manager and the Common Council as Purchasing Agent (or designee) may commit the City for a purchase. B. The material, equipment, supplies and/or services to be purchased shall be of the quality and in the quantity required to serve the function in a satisfactory manner, as determined by the requisitioner and the Controller’s Office (or designee). 1. When purchasing, the City must consider the following factors in determining the vendor to be selected: 1. Price 2. Quality (durability of goods and equipment) 3. Benefits vs costs 4. Contracting out or in-house work 5. Lease or buy 6. Buying goods that save and /or enhance our environment 7. Buying energy-efficient items 8. Maintenance costs and down time It is the responsibility of the requisitioner to provide an adequate description of items needed so that the Controller’s Office (or designee) may be able to prepare the specifications to procure the desired commodity and/or service. The requisitioner will assist the Controller’s Office (or designee) in the preparation of specifications. Standard supply lists of commonly used items shall be jointly developed for all categories or groups of supplies by the Controller’s Office (or designee) and the appropriate requisitioners. These lists shall be used as a basis for requisitioning. A. It is the responsibility of the Controller’s Office (or designee) to make alternative suggestions to the requisitioner if, in the judgement of the Controller’s Office (or designee), the specifications would restrict competition or otherwise preclude the Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 93 48 Page | 48 Formatted: Header most economical purchase of the required items. In the case of disagreement as to the content of the specifications, the Common Council, after reviewing all available data, will make the final decision. B. When a low bidder proposes an alternative as an “equal” to that specified, it is the responsibility of the Controller’s Office (or designee) in conjunction with the department head involved to determine whether the proposed substitution is, in fact, an equal. C. All bids for the City of Ithaca shall be required to include a Bid Sheet which lists: vendor bidding; subject of bids; date of bid opening; detail of bid made including item #, quantity, description, net unit price and net extension price of each item bid, delivery time, and the Waiver of Immunity Clause and Non-Collusive Bidding Certification. The Bid Sheet, Waiver of Immunity Clause and the Non-Collusive Bidding Certification must be signed by the bidding vendor to be considered for award. D. Bid files shall be maintained by the Controller’s Office and shall include bid specifications and drawings, bid tabulation sheets, bids, award letters, and other appropriate documentation as deemed necessary. E. In cases of tie bid between two or more responsible bidders furnishing the required security, the officer, board or agency may award the contract to any of such bidders. The bids can also be rejected and re- advertised. PURCHASE REQUISITIONS Purchase Requisitions are being phased out of the purchasing procurement system. The City has established, and is continuing to update a computerized purchase order system. This system eliminated the need for a purchase requisition form for all purchases. A requisition can still be used if so desired. 94 49 Page | 49 Formatted: Header PURCHASE ORDERS – CURRENT The primary usage of the Purchase Order (P.O.) is to reserve budget funds for the requested purchase. The P.O. is also one method used by the City to document and pay for the purchase of a commodity, good, or equipment. The Purchase Order form serves as the primary record indicating that materials and or services were received and that payment for such purchases can be made. The P.O. is to be jointly used with the voucher. HOW TO USE THE PURCHASE ORDER In all purchases over $5002,000, the purchase order must be created in order to reserve the funds for that purchase within the department’s budget. Then the voucher form, a separate procedure, is sent to the vendor for acknowledgment of the purchased goods. After the purchase is received, a voucher form signed by the vendor and Department Head is submitted to the Accounts Payable Coordinator for payment. Purchase orders will be entered into the computerized system by the on-line departments or appropriate City personnel. These purchase orders, depending on dollar value, must comply with previously stated authorized limits and controls. The purchase order system has been designed not to allow purchase orders written without available funds in the applicable account. Purchase orders will be printed off the computerized system and will be approved for purchase as follows: Dollar Value Process $1 – 5001,999 No purchase order needed (but can be used if required by vendor; obtained and approved by Controller’s Office (or designee) or Accounts Payable Coordinator or designee. Purchase order approved for appropriate purchase, dollar value, and funds available in account) $501 – 12,000 and greater Purchase order obtained and approved by Controller’s Office (or designee) or Accounts Payable Coordinator or designee. Purchase order approved for appropriate purchase, dollar value, and funds available in account. $1,001 and greater Purchase order obtained and approved by Controller’s Office (or designee). Purchase order approved for appropriate purchase, dollar value and funds available in account. The purchase order is a three-part form, which is developed and distributed by the Controller’s Office, which is routed as follows: White (original) copy is sent directly to the vendor by the Controller’s Office. Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt 95 50 Page | 50 Formatted: Header Yellow copy is forwarded to the appropriate department making the purchase. Pink copy is retained by the Finance Department/Controller’s Office. Cancellations: If for some reason an order is cancelled the yellowa copy of the PO and copies of any correspondence should be returned to the Finance Department. This procedure should also be done for partial cancellations. Blanket Orders: A blanket purchase order is a purchase order made out to one particular vendor for a specific dollar amount, to be used on an as-needed basis when there is no provision to maintain an inventory. Blanket purchase orders eliminate the need to issue separate purchase orders for items purchased frequently from the same vendor. The amount a blanket purchase order is made out for and the length of time it will remain in effect will be determined by the respective department head in conjunction with the City Controller. Departments must keep a record of their purchases made against the blanket purchase order to ensure that they do not exceed the amount allowed on the purchase order. Any over-expenditure, depending on the circumstances, may not be approved by the Department Head for payment. If it is determined that a blanket purchase order may not be sufficient to cover all purchases to be made in the designated time period, the department should notify the City Controller immediately. When orders are delivered or picked up the receipts, delivery slips or other documents transmitted by the vendor will be signed by the individual receiving the order. The blanket purchase order number will be placed on the documents which will be kept on file within requesting department. If a blanket purchase order dollar amount is exceeded, a new blanket purchase order should be generated. Formatted: Font: Calibri Light, 12 pt Formatted: Space Before: 0 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 96 51 Page | 51 Formatted: Header PROCUREMENT DELIVERY/PAYMENT PROCESS (Bid/Non-Bid Purchases) After the award of a contract and/or the selection of a vendor: A Contract, if applicable, is to be developed by the appropriate department and executed in accordance with the contract approval process. The Requisitioning Department will inspect and accept the delivery, unless the nature or complexity of the purchase requires the inspection by the City Controller’s Office (or designee). Any errors or damages in the delivery will be reported to the vendor by the requisitioning department. Consistent or unresolved problems are to be brought to the attention of the Controller’s Office (or designee) where the matter will be addressed and resolved. VOUCHER PROCEDURE Every purchase, either a purchase of commodities, professional services or public works requires a voucher to be attached to all purchasing documents (i.e. P.O.) in order to confirm payment. The voucher document essentially providesserves two purposes. The first is to serve as a cover sheet for all documents involved in a single purchase. The second purpose is to provide a form for processing claims for payment. When properly filling out a voucher, it will provide a brief summary of every component of the purchase. All invoices and signed vouchers will be sent to the requisitioning department by the vendor. The requisitioning department, if applicable, will be sure the service-provided certification has been signed by the vendor, and properly complete the voucher, including: department; Purchase Order number, if any; claimant’s name and address; fund appropriation; description of services, and amounts. The voucher and applicable invoice will then be signed by the requisitioning department head(s), and sent to the Accounts Payable Coordinator for audit and payment. The Controller’s office has sole authority to determine if a voucher is properly completed. The Accounts Payable Coordinator will develop the audit abstract based upon vouchers and invoices received prior to the audit. The vouchers and invoices must be properly completed, signed and have appropriate documentation to be included in the audit. The vouchers and invoices must be received by the Accounts Payable Coordinator one week prior to the audit dates. Vouchers and invoices that miss the audit abstract will be held over to the next available audit date. Emergency payments will be limited and only approved by the Controller’s Office. A manual check will be written if necessary. Once the audit abstract is developed, it is then forwarded to the Controller’s Office for audit approval. After the signed audit approval, the abstract is sent back to the Accounts Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Condensed by 0.45 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 97 52 Page | 52 Formatted: Header Payable Coordinator for payment. Checks will be cut and mailed by the Friday following the audit. Audits are performed as follows: DPW, Water and Sewer and Joint Activity every two weeks; Fire Department every two weeks; and Common Council, which includes all other departments, every two weeks. Holidays may change audit schedule slightly. A “clean-up” audit shall occur at the end of every fiscal year. A copy of the audit abstract is sent to the appropriate Boards and Councilbody for their review. Audit questions should be brought to the attention of the Controller’s Office. CONTRACTS Contracts shall be required to have proper signatures per the City’s Contract Approval Process. It is the responsibility of the procuring department to circulate contracts on a timely basis to be sure all required signatures are received. Contracts must have all applicable signatures prior to commencement of the work or service. Contract payments will be held by the City, if the applicable signatures and/or contract information is not in the contract. The contract must be properly executed. If amendments to contracts are needed, additional work cannot begin until all required signatures or initials are present on the contract. CONTRACT PROCEDURE: Why is a Contract Necessary? If your purchase is either labor intensive, or is a very complex purchase of equipment or another good, then you should make sure to use a contract during your purchasing process. The purpose of a contract is to ensure that both parties in the transaction agree to negotiated terms and that such document is legally abiding and approved by the City Attorney. Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Space Before: 0.05 pt Formatted: Font: Calibri Light, 12 pt 98 53 Page | 53 Formatted: Header Developing a Contract The following rules and guidelines should be kept in mind while developing the contract for your purchase. a. Standard contract templates can be obtained from the Attorney’s office and are also available on the “Q” drive within the City Attorney’s folder of the City’s Computer Network. b. Contracts shall be required to have the proper signatures according to the City’s Contract Tracking Procedures prior to the provision of product, work, or service. c. It is the responsibility of the Primary Contract Monitor to circulate contracts on a timely basis to be sure that all required signatures are received. See the external policy titled “Contract Tracking” for clarification on the Primary Contract Monitor. The contract tracking policy is a separate policy from the purchasing manual, but it is to be used in conjunction with the purchasing policy.Contract tracking is accomplished through an internal OpenGov portal which may be accessed here: https://ithacacityny.workflow.opengov.com/#/create/form/14171 See appendix. d. Contract payments will be held by the City, if the applicable signatures and/or contract information is not in the contract. e. If amendments to contracts are needed, additional work cannot begin until all required signatures or initials are present on the contract. Developed contract is then sent to the Attorney’s Office for review and approval. Allow up to four (4) weeks for the Attorney’s Office approval. Appropriate Board and/or Council resolution to execute contract should be made, if applicable. Once approved by Attorney’s Office and appropriate Board or Council where necessary, the contract is then sent to vendor for signature. Other appropriate signatures will then be needed as per the Contract Approval Policy. Three copies of contracts should be made and all have original signatures.. One copy to Clerk’s Office for official filing, one copy to vendor, and one copy to remain in Department. Electronic signatures are authorized where appropriate, and copies may be stored electronically for most contracts; paper copies and wet ink signatures are required only in limited circumstances. City contracts should have the following information included in them as a minimum: Formatted: Font: Calibri Light, 12 pt Formatted: Line spacing: single Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 99 54 Page | 54 Formatted: Header 1. Date of contract; 2. Parties of contract, including names, addresses and social security numbers, where applicable; 3. Detailed schedule of services to be provided by the contractor; 4. Payment amount in a “not-to-exceed” format. No open-ended payment contracts will be approved. 5. Insurance documentation, including workers’ compensation and disability coverage. Certificate of insurance if required. 6. Relationship of contractor to City (fringe benefit clause); 7. Termination of contract language; 8. Hold harmless wording; 9. Anti-discrimination wording; 10. Applicable signatures by City and contractor. Standard contracts can be obtained from the Controller’sCity Attorney’s Office and Engineer’s Office. . Other Contract Information for Larger Public Work Contracts: 1. Table of Contents 2. Bid Advertisement 3. Instructions for Bidders 4. Defined terms 5. Copies of Bidding Documents Formatted: Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 100 55 Page | 55 Formatted: Header 6. Qualifications of Bidders 7. Examination of Contract Document and site 8. Interpretations and addenda 9. Bid Security requirements (normally 5% of bid – certified check or bond) 10. Contract time/schedule 11. Liquidated damages provisions 12. Substitute or “Or Equal” items wording 13. Subcontractors, suppliers and others (identity of subcontractors) 14. Bid form (either standard City bid sheet or other) 15. Submission of bid (time, place and how to submit) 16. Modification and withdrawal of bids 17. Opening of bids 18. Bid period to remain subject to acceptance (normally 45 days after bid opening) 19. Award of Contract 20. Contract security (Performance Bonds) 21. Signing of agreement wording 22. Sales and Use Taxes 23. Retainage provisions 24. Equal opportunity clause 25. Non-collusive certification and Waiver of Immunity Clause 26. Iran Divestment Act Certification, and Bidders Qualification Statement 27. Prevailing Wage Rates (Controller’s Office to order wage rates from NYS Formatted: Font: Calibri Light, 12 pt 101 56 Page | 56 Formatted: Header Labor Department) 28. Estimated quantities clause 29. Applicable form of agreement 30. Certificate of Insurance minimum limits (see attached sample) 31. General/Technical specifications with drawings if applicable 32. Other supplemental conditions as needed CONTRACT APPROVAL POLICY Common Council approved the following relating to Contract Approval: The City Policy for approval and execution of City Contracts is established as follows: A. Contracts for amounts less than $500, when prepared on a boiler plate form contract developed by the City Attorney, shall require approval of signature of both the Department Head giving rise thereto, and of the City Controller for availability of funds. Any deviation from the approved form would require furtherrequires review and approval by the City Attorney. B. Contracts of $500. or more but less than $10,000, shall require all the approvals disclosed in A. above, plus the approval of the City Attorney in all instances. Formatted: Font: Calibri Light, 12 pt, Bold Formatted: Body Text Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 102 57 Page | 57 Formatted: Header C. Contracts in the amount of $10,000 or more shall require all approvals presented heretofore in clauses A and B above, plus the approval of the City Manager, as the binding legal signature on behalf of the City, and the Mayor, as the legislative check on said approval. MISCELLANEOUS PROVISIONS APPLICABLE TO ALL PROCUREMENTS NEW YORK STATE CONTRACTS Purchases shall be made, to the extent practicable, through: available New York State contracts of the Office of General Services, Division of Standards and Purchase; Department of Correctional Services; New York State Industries for the Disabled; Industries for the Blind of New York State; and surplus and second-hand purchases from another governmental entity, whenever such purchases are in the best interest of the City. The State Contracts can be obtained on the New York State Website at the following address: http://www.ogs.state.ny.us. Click on Procurement Services; click on Search State Contract Award notices, and look up information by using key word search or contract group number. If a State Contract exists for the desired item, the State Contract should be the primary source, unless reasoning can be provided to select a different vendor. State List of Debarred Vendors - In addition to a vendors list, there is also a Debarred Vendors List. This list contains the name of businesses that are disapproved of hiring due to poor service, failure to comply, or difficulty shown in cooperating. Before moving forward with a purchase, you should regularly check the Debarred Vendors List in order to ensure that the businesses that you intend to compare price quotes with are not on this list. So, be sure to review the state list of debarred vendors. If the vendor who you plan to purchase from is on this list, you should not purchase from that vendor. This list can be found in the Controller’s Office. PROPERTY RECORDS The Deputy City Controller, in conjunction with appropriate City Staff, shall establish a procedure for maintaining an up-to-date property and inventory record of all equipment, except expendables, held by the City and for the disposal of obsolete surplus or non- movable materials, supplies, and equipment. CONFLICT OF INTEREST No official or employee of the City shall be interested financially in any purchase or contract secured by the City. This also precludes acceptance of gratuities, financial or otherwise, by the above persons, from any supplier of materials, supplies, equipment, or services to the City, the sharing of bids, or specifications with potential bidders prior to the competitive process, and assisting a supplier or firm to win a contract award prior to or during the competitive process. FEDERALLY FUNDED PURCHASING CONFLICT OF INTEREST STATEMENT Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt, Bold, Underline Formatted: Indent: Left: 0.61" Formatted: Font: Calibri Light, 12 pt Field Code Changed Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 103 58 Page | 58 Formatted: Header No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a Federal award if he or she has a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees, and agents can neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. If the financial interest is not substantial or the gift is an unsolicited item of nominal value, no further action will be taken. However, disciplinary actions will be applied for violations of such standards otherwise. The City Controller’s Office or designee shall develop a procedure for review of procurement practices or activities upon receipt of an inquiry or allegation of violation of this policy following its adoption. MINORITY AND WOMEN OWNED BUSINESS To the extent possible, the City of Ithaca will encourage contracts with minorities and women-owned businesses, and the City will not discriminate against contractors because of race, creed, color, national origin, sex, age, disability, or marital status, or sexual or affectional preference and will continue existing programs of affirmative action to ensure that minorities are afforded equal opportunities without discrimination. EXCEPTIONS TO GENERAL PURCHASING STANDARDS Internal control involves not only compliance with required purchasing procedures, but also affects the paperwork necessary. “Over-papering” can ruin the effectiveness of the system almost as quickly as non-compliance. The authorized dollar limits, requirements of quotations, and utilization of purchase orders are waived for the following exceptions, established upon a determination of operational efficiencies and economics: 1. Purchases under $500 2. Office supply orders 3. Petty cash reimbursements 4. Utility Bills 5. Maintenance, Repairs and Parts (up to $5,000) 6. Interdepartmental Charges 7. Postage Costs Formatted: Font: Calibri Light, 12 pt 104 59 Page | 59 Formatted: Header 8. Memberships & Dues 9. Subscriptions 10. Mileage, Travel, Conference reimbursements 11. Other expenses determined by the purchasing agent or designee on an individual basis. EMPLOYEE FRAUD Policy Statement: An act of fraud is committed if an employee of the City negotiates a personal procurement by fraudulent use of a City requisition number, purchase order number or procurement card. If an employee claims a purchase is on behalf of the City of Ithaca, when in fact the purchase was made solely for personal use, an act of fraud has been committed. By making a personal procurement from State Contracts, an act of fraud has also been committed. By committing an act of fraud, the employee is subject to disciplinary action and/or prosecution. BUY LOCAL POLICY On March 7, 1979 the Common Council passed the following resolution regarding a “buy local” policy: RESOLVED, That this Common Council establishes the policy that all City agencies and departments will purchase supplies, materials, and equipment within the City of Ithaca pending availability of comparable quality and price. ENVIRONMENTALLY PREFERABLE PURCHASING It is the policy of the City of Ithaca to require purchase of products and services that minimize environmental and health impacts, toxics, pollution, and hazards to worker and community safety and to the larger global community to the greatest extent practicable; however It is not the intent of this policy to require a department, buyer or contractor to take any action that conflict with local, state or federal requirements or to procure products that do not perform adequately for their intended use, exclude adequate competition, or are not available at a reasonable price in a reasonable period of time. Environmentally Preferable Purchasing is an important component of this policy, effective December 19, 2011, and will guide City efforts to meet the following goals: • minimizing health risks to City staff and residents, 105 60 Page | 60 Formatted: Header • minimizing the City’s contribution to global climate change, • improving air quality, • protecting the quality of ground and surface waters, and • minimizing the City’s consumption of resources. Further, Environmentally Preferable Purchasing is adopted and encouraged by the City in order to: • purchase products that include recycled content in order to support strong recycling markets, • institute practices that reduce waste by increasing product efficiency and effectiveness, use products that are durable and long-lasting, and reduce materials that are landfilled, • purchase products and institute practices that conserve energy and water, use agricultural fibers and residues, reduce greenhouse gas emissions, use unbleached or chlorine free manufacturing processes, and use recycled wood and wood from sustainably harvested forests, • purchase energy from renewable or green sources in preference to fossil fuels, • purchase products that are free of mercury and lead and eliminate the use of other persistent bioaccumulative toxic chemicals where possible, • increase the use and availability of environmentally preferable products, services and distribution systems that protect human health and the environment, • support emerging and established manufacturers and vendors that reduce environmental and human health impacts in their services and production and distribution systems, and • create a model for successfully purchasing environmentally preferable products and services that encourages other buyers and consumers in our community to adopt similar goals. Specifications for Environmentally Preferable Purchasing A. Source Reduction: The City of Ithaca shall institute practices that reduce waste and result in the purchase of fewer products whenever practicable and cost-effective, but without reducing safety or workplace quality. City departments shall purchase remanufactured products (i.e. for equipment and vehicles) whenever practicable, but without reducing safety, quality or effectiveness. Products that are durable, long lasting, reusable, refillable, recyclable or otherwise create less waste shall be selected whenever possible. Vendors shall be required to minimize packaging to the greatest extent practicable. Packaging that is reusable, recyclable or compostable shall be selected when suitable uses and programs exist. The City shall not purchase any polystyrene foam food packaging. Formatted: Line spacing: single Formatted: Line spacing: single Formatted: Line spacing: single 106 61 Page | 61 Formatted: Header Vendors shall be required whenever possible to take back and reuse pallets and packaging materials. Suppliers of electronic equipment shall be required to take back equipment for reuse or environmentally safe recycling when the City discards or replaces such equipment, unless the City deems it worthwhile to send the equipment to a non-profit organization for reuse. ALL documents shall be printed and copied on both sides to reduce the use and purchase of paper, unless needed to be single sided as per legal requirements. The Information Technology staff shall provide guidance to City departments and staff for setting duplexing as the default on each workstation, when feasible, or train employees to use this option, for all capable printers. B. Toxics Reduction and Pollution Prevention: City departments shall purchase energy-efficient products and consider "less toxic alternatives" when purchasing products such as cleaning products, pesticides and herbicides. To the maximum extent practicable, all cleaning or disinfecting products (i.e. for janitorial or automotive use) shall (i) meet Green Seal Standards for environmental preferability and performance, (ii) be products delineated on the NYS OGS Green Cleaning Product List, or (iii) meet NYS OGS guidelines and specifications for green cleaning products. When contracting with new supply vendors, the City shall encourage training of its janitorial staff. Purchasing products containing persistent bio-accumulative toxic chemicals (PBTs) shall be avoided, where alternatives exist. When maintaining buildings and landscapes, the City shall manage pest problems through prevention and physical, mechanical and biological controls and use least toxic chemical pesticide products only after safer approaches or products have been determined to be ineffective. When maintaining buildings, the City shall use products with the lowest amount of volatile organic compounds (VOCs), highest recycled content, and low or no formaldehyde when purchasing materials such as paint, carpeting, flooring, adhesives, furniture and casework. The City shall purchase products and equipment with no lead, cadmium or mercury whenever possible. For products that must contain lead or mercury because no suitable alternative exists, preference shall be given to those products with the lowest quantities of these metals and to vendors with established lead, cadmium and mercury recovery programs. The purchase of all pentachlorophenol, arsenic and creosote treated wood is prohibited. When replacing vehicles, the City shall lease or purchase only the most fuel-efficient models available that are suitable for each task and through carsharing and carpooling, Formatted: Font: Calibri Light, 12 pt 107 62 Page | 62 Formatted: Header shall minimize the number of vehicles purchased, as referred to in the “Green Policy for the City of Ithaca Fleet”. To the extent practicable, the City shall use renewably- derived fuels or fuels that are cleaner and less-polluting than gasoline and conventional diesel fuel, including biodiesel, natural gas and electricity. C. Recycled Content Products: It is the policy of the City to purchase and use recycled products to the extent that such use does not negatively impact health, safety, or operational efficiency. A 10% price preference may be given to recycled content products based on the lowest bid or price quoted by the suppliers offering the competing non-recycled content products. All products purchased for which the United States Environmental Protection Agency (U.S. EPA) has established minimum recycled content standard guidelines shall contain the highest postconsumer content practicable, but no less than the minimum recycled content standard. These guidelines can be obtained at the U.S. EPA Website at the following address: http://www.epa.gov/epawaste/conserve/tools/cpg/products/index.htm Copiers and printers purchased shall be compatible with the use of recycled content and remanufactured products. City departments will favorably consider the selection of other recycled content and renewable materials, products and supplies over their non-recycled content and non- renewable alternatives whenever availability, fitness, operational efficiency, quality, safety, and price are equally acceptable. The list of materials, products and supplies shall include, but not be limited to, business office products, compost, fuels, mulch, asphalt, transportation products (e.g. signs, cones, delineators, and barricades), and other items. All pre-printed recycled content papers intended for distribution that are purchased or produced shall contain a statement that the paper has recycled content. Whenever feasible, the statement should indicate the percentage of postconsumer recycled content it contains. D. Energy and Water Savings: New and replacement equipment for lighting, heating, ventilation, refrigeration and air conditioning systems, water consuming fixtures and process equipment and all such components shall meet or exceed Federal Energy Management Program (FEMP) recommended levels, whenever practicable. All products purchased by the City and for which the U. S. EPA Energy Star certification is available shall meet Energy Star certification. When Energy Star labels are not available, products shall meet or exceed the FEMP recommended levels. Field Code Changed Formatted: Font: Calibri Light, 12 pt Formatted: Font: Calibri Light, 12 pt 108 63 Page | 63 Formatted: Header When energy is purchased, renewable or green sources are preferred. These include solar power or photovoltaics, wind power, geothermal, and hydroelectric energy sources and do not include fossil fuels (coal, oil or natural gas). Demand water heaters shall be purchased whenever practicable. Energy Star and power-saving features for copiers, computers, monitors, printers and other office equipment shall be enabled during the initial installation and shall remain enabled unless these features conflict with the manufacturer’s recommended operation and maintenance of the equipment, or its specific operational use. E. Landscaping: All landscape renovations, construction and maintenance by the City, including workers and contractors providing landscaping services for the City, shall employ sustainable landscape management techniques for design, construction and maintenance whenever possible, including, but not limited to, integrated pest management, grasscycling, drip irrigation, composting, and procurement and use of mulch and compost that give preference to those produced from regionally generated plant debris and/or food waste programs. Plants should be selected to minimize waste by choosing species for purchase that are appropriate to the microclimate, species that can grow to their natural size in the space allotted them, and perennials rather than annuals for color. Native and drought-tolerant plants that require no or minimal watering once established are preferred. Hardscapes and landscape structures constructed of recycled content materials are encouraged. The City shall limit the amount of impervious surfaces in the landscape, wherever practicable. Permeable substitutes, such as permeable asphalt or pavers, are encouraged for walkways, patios and driveways. When available, the City shall purchase landscaping equipment that is not dependent on the use of fossil fuels. F. Forest Conservation: To the greatest extent practicable, the City shall not procure wood products such as lumber and paper that originate from forests harvested in an environmentally unsustainable manner. When possible, the City shall give preference to wood and wood products that are certified to be sustainably harvested by a comprehensive, performance-based certification system. The certification system shall include independent third-party audits, with standards equivalent to, or stricter than, those of the Forest Stewardship Council certification. Implementation - Department heads shall implement environmentally preferable Formatted: Font: Calibri Light, 12 pt 109 64 Page | 64 Formatted: Header purchasing practices, in accordance with this section of the policy, in coordination with the Controller’s Office and other appropriate City personnel. Whenever possible, the City will use recognized eco-labels and standards to make purchasing decisions. Wherever feasible and appropriate, life cycle cost analysis should be used by City departments and staff to assist in selecting products and services. "Cost" shall be calculated over the life of the item and should consider initial acquisition costs, useful life, costs of maintenance and operation over the useful life, and costs of disposal and/or replacement at the end of the useful life, rather than initial acquisition costs alone. Successful vendors or bidders shall certify in writing that the environmental attributes claimed in bids or price quotes are accurate. Although not the lowest proposal or price quoted by suppliers, City departments and staff may nonetheless purchase a product that adheres to the environmentally preferable purchasing specifications stated in this Section, if there is "prudent and economical use of public moneys in the best interests" of City taxpayers. Such determination of "best interests" may include full consideration and comparison of product life cycle costs (including product maintenance, operation and disposal costs), as described above. A further consideration may include direct and identifiable benefits to taxpayers, other than product cost (for example, the cost of permeable pavers might exceed the cost of asphalt paving, yet the use of permeable pavers could mitigate storm water run-off and reduce the potential for flooding and infrastructure damage in low-lying areas). Justification for a determination of "best interests" shall be documented by City departments and staff and submitted to the Controller’s Office prior to the purchase of products or services. If the buyer making the selection from competitive bids or the requesting department seek to purchase products that do not meet the environmentally preferable purchasing criteria in this Policy, the buyer shall provide a written justification to the Controller’s Office (or designee) for why compliance is not practicable, e.g., the product is not technically practical, economically feasible, or available within the timeframe required. Vendor contracts shall be negotiated in light of the requirements of this policy. If a vendor that is under contract to the City of Ithaca is no longer able to provide a product that meets the City’s environmentally preferable specifications, it shall notify the appropriate city representative and provide written justification for why compliance is not practical. Prior written consent from an authorized City representative shall be required before substituting any alternative product or service. Training of buyers and other relevant city staff, vendors, contractors and grantees shall include instruction on the environmentally preferable purchasing requirements of the Policy. 110 65 Page | 65 Formatted: Header The DPW Stock Room has made significant efforts to implement an environmentally preferable or green purchasing program for most cleaning and janitorial products supply. All City departments are encouraged to order and purchase such products through the Stock Room, to the extent practicable. SWEATSHOP-FREE PROCUREMENT Effective January 1, 2012, the City of Ithaca and every department and division within the City government shall take all steps within its authority to ensure that, whenever possible, City purchases of apparel or textiles, in excess of $1,000, are from contractors or suppliers confirmed to be “sweatshop-free” – i.e., whose products are confirmed by a credible, independent source to be manufactured or assembled without violating the wage and hour, labor, safety, health, environmental, building, fire, or anti-discrimination laws, rules, codes, regulations or standards that are applicable in the country of manufacture or assembly, or that are contained in the International Labour Organization (ILO) Core International Labour Standards (whichever is stricter). POLICY ON SWEATSHOP-FREE PROCUREMENT OF APPAREL AND TEXTILES Any purchasing contract for the procurement of apparel or textiles shall comply with all applicable federal, state, and local laws and regulations, including the City of Ithaca Purchasing Policy and Chapter 39 of the Municipal Code of the City of Ithaca. 1. To the extent allowed under General Municipal Law, Section 103, the City of Ithaca and its departments shall only purchase apparel or textiles confirmed to be sweat-shop free, as those terms are defined herein, unless: a) The Controller certifies that no confirmed sweatshop-free apparel or textiles are available and that the acquisition of the apparel or textiles sought is essential or time-sensitive, the contracting agency may select a supplier that is not confirmed to be sweatshop-free; or b) The purchase of apparel or textiles is for less than $1,000. 2. For purposes of this revision, “sweatshop-free” shall refer to apparel or textiles that are manufactured or assembled without violating laws, rules, codes, regulations or standards regarding wage and hour, labor, safety, health, environmental, building, fire, or anti-discrimination, that are applicable in the country of manufacture or assembly, or that are contained in the ILO Core International Labour Standards (whichever is stricter). 3. Apparel or textiles may be confirmed to be sweatshop-free by: a) Certification or otherwise credible data, information, or reports submitted to the City Controller from the Sweatfree Purchasing Consortium or its agency members; Formatted: Right: 0.08" Formatted: Font: Calibri Light, 12 pt 111 66 Page | 66 Formatted: Header b) Certification or otherwise credible data, information, or reports submitted to the City Controller from another comparable independent monitoring organization as selected by the Common Council or its members; or c) Self-certification by affidavit of the supplier or vendor that the apparel or textiles are sweatshop-free, provided that such certification is not contradicted by credible information received by the City Controller. 4. As a member of the Sweatfree Purchasing Consortium, the City will receive information from the Sweatfree Purchasing Consortium regarding manufacturers, contractors, subcontractors, suppliers, or vendors found to have violated human rights or labor standards. The City Controller shall advise Department Heads of violation information from the Sweatfree Purchasing Consortium, and Department Heads shall provide such information to all staff in a position to purchase City-required apparel. 5. The City encourages its officials and staff to strive to uphold the standards of the City Policy Statement on Sweatshop-Free Procurement of Apparel and Textiles, in making purchases of work-related apparel. COOPERATIVE PURCHASING The City Manager, upon the consultation and advice of the City Attorney and the City Controller, may authorize the City to enter into purchasing cooperative agreements with other governmental entities or political subdivisions where there is no fee to the City to become a member, and where the cooperatives and their underlying bidding procedures meet the requirements of General Municipal Law §103. AUTHORIZED EQUIPMENT LIST POLICY For equipment purchases under $500, the department head will submit the equipment request to the Controller’s office for review and approval. SALE OF SURPLUS PUBLIC EQUIPMENT POLICY When public equipment is sold by the City, the following procedures must be adhered to: 1. Equipment deemed surplus by a City department must be surplus to all City departments. Departments must check with other City departments to determine if another department can use the surplus equipment. If another department can use the equipment, the appropriate transfer of equipment, accountability and financial activity will be made by the departments and the Controller’s office. 2. If the equipment is deemed City surplus, City-wide, the equipment may be sold or placed in a City auction for sale. 3. Selling Procedure: Department establishes specifications of equipment for sale and a sealed bid equipment sale is performed through the City Controller’s Office. The sale must be advertised in the City’s official newspaper and sealed bids Formatted: Font: Calibri Light, 12 pt Formatted: Line spacing: single 112 67 Page | 67 Formatted: Header must be received. The sale of equipment will be awarded to the highest bidder. Cash or certified check will be accepted by the City. The proceeds of the sale will be placed into the appropriate City fund and account. 4. Equipment, deemed surplus, can also be placed in a city or municipal auction. The proceeds of the sale will be placed into the appropriate City fund and account. WICKS LAW Separate specifications for contracts involving the erection, construction, reconstruction, or alteration of buildings, when the entire cost of the work exceeds $500,000, shall be prepared for the following work to be performed: A. Plumbing and gas fitting; B. Steam heating, hot water, ventilating and air conditioning apparatus (HVAC); C. Electric wiring and standard illuminating fixtures; D. General Construction. These specifications shall be written as to permit separate and independent bidding for each of the four areas of work. Building requirements as explained earlier in this document will pertain to each bid. EMPLOYEE TRAVEL On occasion, an employee may be required to travel out of the City for City business. When this occurs, the employee will be reimbursed travel expenses. Process Travel by an employee must be approved by Department Heads. Once approved, a Travel Authorization Request form must be filled out. The Travel Authorization Request form should contain the following information: Name and Title of Employee, Department, Account to be Charged, Destination (city/town) and Purpose of Travel, Dates of Travel, Estimate of Transportation Cost Information (whether it be by City or personal vehicle, plane, etc.), Estimate of Lodging Costs, Estimate of Meals Costs, Registration Fees, if applicable, Total Cost of Travel, Current Budget Balance of account to be charged, Formatted: Font: Calibri Light, 12 pt Formatted: Line spacing: single 113 68 Page | 68 Formatted: Header and Signature of Department Head Two copies of the Travel Authorization Request form are to be submitted to the Controller’s Office at least two (2) weeks prior to travel. The Controller’s Office will then review the request and the account to which the travel will be charged. If the budget allows for the expense, the Controller’s Office will sign both copies and return one copy to the requesting department and forward the other copy to the Accounts Payable Coordinator. Once approved, the requesting department will proceed with a purchase order and voucher as required within the purchasing policy. Employee Responsibility It is the responsibility of the employee to retain all receipts during the time of travel. Receipts shall be itemized. Credit Card receipts showing the total of a purchase will not be accepted. Upon return of the employee, a voucher may be used with receipts attached, to receive reimbursement of the expenses. Gratuities (up to 20%, pre-tax), taxes on meals and tax on gasoline for City vehicles will be refunded to the employee. If a private vehicle is used, mileage will be reimbursed at the current IRS rate. The City will not reimburse expenses for movies viewed in a hotel, alcohol or tax on alcohol for any reason. CREDIT CARD POLICY Credit Cards are issued by name to individual employees and generically to Departments and cannot be transferred to, assigned to, or used by anyone other than the designated employee. As the liability for the Credit Card resides with the City and not the cardholder, use for personal purchases is strictly prohibited. In addition, the Credit Card cannot be used for certain restricted items as indicated in the “Unauthorized Card Use” section of the Policy/Procedures manual. Fraudulent and/or misuse of the card is grounds for cancellation of Credit Card privileges and may lead to disciplinary action, up to and to include termination of employment. Any IT purchases must be approved in writing by the IT Director. The Department Head is responsible to closely audit all Credit Card transactions for the department. The Controller’s Office will perform periodic audits of Credit Card transactions. The Controller, as fiscal officer of the City, is the only position authorized to enter into a credit card agreement. The City Controller provides final approval to all Credit Card applications after the applicant signs the cardholder agreement form. A more detailed Credit Card Policy is distributed to cardholders at the time the card is given to the employee or Department and provides additional guidance on allowed and Formatted: Font: Calibri Light, 12 pt 114 69 Page | 69 Formatted: Header unallowed purchases. This policy shall be effective January 3, 2024 This policy shall be effective September 3, 2025, and will be reviewed annually by the Controller’s Office for possible changes and amendments. All changes and/or amendments to the purchasing policy must be approved by Common Council. Formatted: Font: Calibri Light, 12 pt 115 Page 5: [1] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [1] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [2] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [2] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [3] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [3] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [4] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [4] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM 116 Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [5] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt, Not Expanded by / Condensed by Page 5: [6] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [6] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [6] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [6] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [6] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [6] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [6] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [6] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [6] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt 117 Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt Page 5: [7] Formatted City Attorney 8/14/2025 10:48:00 AM Font: Calibri Light, 12 pt 118 ResoluƟon Approving Updates to City of Ithaca Purchasing Procedures WHEREAS, the City of Ithaca Purchasing Policy & Procedure Manual (“Manual”) was last amended in January 2024, and WHEREAS, General Municipal Law 104-b requires the City to designate a current oﬃcial with purchasing responsibili es, and WHEREAS, the Controller’s Oﬃce and A orney’s Oﬃce have reviewed the Manual and propose addi onal revisions thereto that are an cipated to modernize and improve purchasing processes and make the Manual easier to use; now, therefore, be it RESOLVED, that Common Council hereby approves the updates to the Manual reﬂected in the document accompanying this resolu on, which shall be eﬀec ve September 3, 2025, and be it further RESOLVED, that the Controller’s Oﬃce shall review the Manual annually for poten al amendments, and that all future amendments to the Policy must be reviewed and approved by Common Council. 119 CITY OF ITHACA PURCHASING POLICY & PROCEDURE MANUAL 120 Page | 2 SUBJECT: City of Ithaca Purchasing Policy Effective: January 7, 1976 Revised: April 1981 December 1993 April 1998 December 2011 April 2018 January 2024 September 2025 PROCUREMENT POLICY FOR THE CITY OF ITHACA Public purchasing has two central purposes; protection of public financial resources by obtaining the best work, service or product for the lowest possible price, and the prevention of favoritism, improvidence, fraud and corruption in awarding public contracts to the lowest responsible bidder. The City needs to foster competition, assure the prudent and economical use of public moneys, and adhere to Sections 103 and 104 of the General Municipal Law. This Purchasing Policy and Procedure manual is intended for use as a guide to City purchasing methods. When used with good judgment and common sense, this manual will enable the City to obtain the needed goods and services efficiently and economically. City employees involved in the purchasing process should be familiar with, and shall adhere to, the policies and procedures set forth in this manual. The cooperation of all employees is essential if the City is to obtain the maximum value for each tax dollar spent. While this manual does not answer all questions related to purchasing, it does provide the foundation for a sound purchasing system. The material in the manual is subject to revision to meet the often rapidly changing developments encountered in the field of purchasing. When changes become necessary, the information concerning these changes will be sent to all City departments. The City of Ithaca Common Council shall annually review these policies and procedures. This manual is effective immediately upon Common Council approval, and supersedes all previous purchasing instructions or directives. 121 Page | 3 Table of Contents Purchasing Responsibility .......................................................................................................... ................................................................................................................... ......................................................... ........................................................................................ .............................................................................................................. ............................................................................................................ .......................................................................................... ..................................................................................... - 13 General Procedures ........................................................................................................... ................................................................................................................... ..................................................................................... ................................................ ...................................................................................................... ............................................................................................................ ............................................................................................... ................................................................................................................ .......................................................................................................................... ............................................................................. ............................................................................................ .................................................................................. ............................................................................................... .......................................................................................... ........................................................................................................... .................................................................................................. .......................................................................................................... ................................................................................. ................................................................... ..................................................................................................... ...................................................................................................................... ............................................................................................................ ....................................................................................... ......................................................................................... ................................................................................................... ......................................................................................... ....................................................................................................... ..................................................................................................... .................................................... 122 Page | 4 Minority and Women Owned Business ................................................................... ........................................................... ......................................................................................................... ......................................................................................................... ............................................................... ........................................................................... ............................................................................................. ............................................................................. .................................................................. ............................................................................................................ ........................................................................................................ ...................................................................................................... 123 Page | 5 P can purchase items under $100 with a Credit Card. PO, or other documentation required by the Controller, must : Used to requisition item(s) to be bid on. The award is based solely on price (or best value). An RFB is the default procurement method for any purchase over $20,000. All other procurement methods must fall in to an authorized exception. : Used to requisition services that requires multiple factors to be considered in the award. This is a formal negotiation - price is not the only deciding factor. The deciding factors must be identified in the RFP and a committee ranks each proposal based on these factors. Can be awarded at the discretion of the City Controller and a representative from the applicable City Department Three (3) Formal Written Quotes Competitive Sealed Bid • Certain professional services • Reimbursement of petty cash funds • Utility bills • Interdepartmental charges • Medical examinations • Legal notices • Postage meter and stamp costs • Items on state bid, OGS contract, cooperative purchasing agreement, or piggyback • Emergency Purchases 124 Page | 6 PURCHASING RESPONSIBILITY The City of Ithaca Controller’s Office is hereby authorized to make all purchases of necessary goods and services by any means legal within the State of New York and within all applicable rules and regulations and in the best interest of the taxpayers of the City of Ithaca. In keeping with General Municipal Law 104-b, which requires the identification of the individual or individuals responsible for purchasing and their respective titles, the following individual(s), name(s) and title(s), are responsible for purchasing for City of Ithaca: Wendy Cole, Deputy City Controller 125 Page | 7 ETHICS OF PURCHASING In order to eliminate any suspicion of wrongdoing or unfairness of conflicts of interest prior to any purchase of materials, goods or supplies, the City Controller shall: 1. Consider the interest of the City in the betterment of its government. 2. Endeavor to obtain the greatest value for every dollar expended. 3. Be receptive to advice and suggestions from employees, insofar as such advice and suggestions are not in conflict with legal or moral restrictions in purchasing procedures. 4. Strive for knowledge of municipal equipment and supplies in order to recommend items that may either reduce cost or increase municipal efficiency. 5. Insist on and expect honesty in sales representation whether offered verbally or in writing, through advertising or by providing samples of a product. 6. Give all responsible bidders equal consideration and the assurance of unbiased judgment in determining whether their products meet specifications. 7. Discourage the offer of, and decline any and all gifts which in any way might influence the purchase of municipal equipment and supplies. 8. Accord a prompt and courteous reception, insofar as conditions permit, to all who call on legitimate business missions and cooperate with governmental and trade associations in the promotion and development of sound business methods in purchasing the City equipment and supplies. 9. Govern by the highest ideals of honor and integrity in all public and personal relationships in order to merit the respect and inspire the confidence of the organization and the public being served. 126 Page | 8 GENERAL PURCHASING STANDARDS, DEFINITIONS AND POLICIES The City Controller’s Office (or designee) shall be responsible for developing and administering a centralized purchasing system and procedure to make provisions for all purchases, sale, lease, rental and servicing of materials, supplies, equipment and services for all City departments and agencies of City government pursuant to and in compliance with all the applicable provisions of laws and regulations. The City of Ithaca does not have a separate Purchasing Division or Department, but instead utilizes a decentralized purchasing system. As such, the ultimate responsibility and provider of oversight to the entire purchasing system is the Controller’s Office. Due to the decentralization of the purchasing system, each department is tasked with partial purchasing responsibility in which these responsibilities will be clearly highlighted throughout the policy. The Controller’s Office provides oversight, control, and the overall administration of the decentralized purchasing system. The Controller’s office is responsible for handling the process. Each department is responsible for initiating purchases, monitoring the delivery of purchases, and providing notifications of amendments of the purchase, etc. Department Heads are to ensure that designated purchasing employees fully comply with the purchasing policy. Employees involved in their department’s procurement process are to understand the purchasing procedures and to refer to this manual for reference of appropriate procedures to be used in the right situation. The City Attorney provides legal approval for written contracts when contractual work or purchases are required and ensures that the correct legal procedures are used. The vendor or supplier is the second party willing to supply a service or commodity to the City of Ithaca for the agreed upon price and stipulations. As a municipality, the City of Ithaca is exempt from all State of New York sales taxes and some Federal Excise Taxes. If a vendor requests proof of tax exemption, the Controller’s Office can provide documentation to the vendor. Every purchase to be made must be initially reviewed to determine whether it is a purchase contract or a public works contract. The definitions of a Purchase Contract and a Public Works Contract are as follows: 127 Page | 9 A. Purchase Contract - Involves the acquisition of commodities, materials, supplies or equipment. B. Public Works Contract – Involves the purchase of labor, construction and/or services related to construction. When a contract involves both elements of a purchase contract and a public work contract, it must be reviewed to determine which type of contract it is. As a general rule, if the contract involves a substantial amount of services such that it is the focal point, and the acquisition of goods is incidental, it will be considered a contract for public work. Conversely, if services or labor are only minimal or incidental to the acquisition of goods, it will be considered a purchase contract. Once that determination is made, a good-faith effort will be made to determine whether it is known, or can be reasonably expected, that the aggregate amount to be spent on the item of supply or service is not subject to competitive bidding, taking into account past purchases and the aggregate amount to be spent in a year. The following items are not subject to competitive bidding pursuant to Section 103 of the General Municipal Law: purchase contracts under $20,000 and public works contracts under $35,000; emergency purchases; sole source purchases; goods purchased from correctional institutions; purchases from agencies for the blind and disabled; purchases under State and County contracts; leases; and second-hand purchases from another government entity. The City shall purchase materials, supplies, equipment and services as required, at the best possible and reasonable price, and maintain the appropriate documentation for the purchase as follows: A. Purchases will be secured by use of written requests for proposals, written quotations, verbal quotations, or any other method that assures that goods and services will be purchased at the lowest reasonable price, and that favoritism will be avoided. B. Proper written documentation (acceptable to the Controller’s Office) by the individual making the purchase will be required whenever a contract is awarded to other than the lowest responsible vendor. This documentation will include an explanation of how the award will achieve savings, is an environmentally preferable alternative, or how the vendor was not responsible. 128 Page | 10 AUTHORIZED LIMITS AND CONTROL Annually, the authorized limits for purchasing transactions shall be reviewed, evaluated and adjusted to more accurately reflect the market pricing, inflation, processing expenses, applicable laws, and the City’s utilization experience. The following authorized dollar limits are effective . These limits are applicable per total purchase transaction, provide for departmental delegation and discretion, and require documentation as specified: Transaction Dollar Limit Process Purchase of Materials, Public Works Supplies, and Equipment Contract $1 – 1,999 $ 1 – 1,999 Vendor selected by Department and processed for payment on a claims voucher. Selection of vendor based on lowest price is encouraged. Purchase order not required, but may be necessary for certain vendors. $2000 – 4,999 $ 2,000 – 4,999 At Department’s discretion; either the Department or Controller’s Office obtains three(3) quotes. For Public Works contracts, quotes may be verbal, all other contracts require written quotes. Recommend low quote be written and documentation for any exceptions needs to be included. Controller’s Office issues purchase order. $ 5,000 – 19,999 $5,000 – 34,999 Department or Controller’s Office obtains written quotations from at least three (3) separate vendors (if available). All quotes must be in writing. Lowest quote should be selected; if not, documentation must be provided and approved by Controller and City Attorney. 129 Page | 11 Type of Contract Transaction Dollar Limit Process Purchase of Materials, Public Works Supplies, and Equipment Contract $20,000 and above $35,000 and above Department and/or Controller’s Office prepares and completes written specification. Controller’s Office advertises for competitive sealed bids in conformance with General Municipal Law, Section 103. Bids opened publicly in conformance with General Municipal law, Section 103. Lowest responsible bidder meeting bid specifications will be selected. A bid file will be established and retained by the Purchasing Department. If lowest responsible bidder is not selected, reasons must be documented and agreed upon by the Controller’s Office. Contract or purchase order issued by Purchasing after appropriate approval by Boards and/or Dept. Heads. 130 Page | 12 CITY OF ITHACA BIDDING PROCEDURES General Municipal Law Section 103 requires that any purchase of like or similar items in excess of $20,000 aggregate be submitted for public competitive bid. Likewise, any public works project requiring materials and labor in excess of $35,000 is required to be put out for public competitive bids. The law also states that if Local Laws are more stringent than State Laws then the Local Law shall be adhered to. The strictest law shall be used. The City Controller’s Office or designee shall be responsible for all required public advertising and competitive bidding; shall conduct all bid solicitations and openings; and secure the recommendations for awarding contracts from the appropriate official. Opportunity shall be provided to all responsible suppliers to do business with the City. To this end, the City Controller’s Office or designee shall develop and maintain lists of potential suppliers (bidders list) for various types of materials, supplies, equipment, and services. Lists shall include and highlight all environmentally responsible suppliers. Such lists shall be used to develop mailing lists of potential suppliers and for distribution of specifications, drawings, and invitations to bid. Any supplier may be included on the list upon request. When soliciting bids, a statement of “Information to Bidders” shall be included with all specifications submitted to suppliers. The information to bidders shall be incorporated in all contracts awarded for the purchase of materials, supplies, equipment, and services. The statement shall assist bidders with general information included in the bid. All contracts which require public advertising and competitive bidding shall be awarded as provided by State law and consistent with policies and procedures of the City attached hereafter. Recommendation for awarding contracts shall be submitted by the appropriate official. A. Specifications shall be developed to a minimum standard, which will allow greater participation by vendors in the sealed bid process. Specifications that are too precise and do not allow for competition are not in keeping with the intent of General Municipal Law Section 103 and may result in lawsuits against the City. B. Brand names can be used in bid specification. If the Controller’s Office is supplied with a brand name, the buyers will generally specify “brand name or equal” on the bid. A brand name gives the parties involved an idea of what type and quality of product is required. In many cases, several distributors can supply a given brand. The most important features or requirements must be addressed, since no two brands are identical. In all aspects, describe which aspects are needed for any product offered to be equivalent. Make it clear at the outset what would be considered “equivalent”. C. The issuance of plans and specifications and other bid documents, and the receiving of mailing fees, deposits, bid bonds, or certified check, and contract bonds will be handled by the Controller’s Office generally, and/or the appropriate City officials, when required by law. Deposits on plans and specifications for bids (when a deposit is required) – The City must refund entire bid deposit with return of plans and specifications in good 131 Page | 13 condition within 30 days from unsuccessful bidder. If unsuccessful bidder picks up more than one set of plans, then we are to return deposit less cost of reproducing the additional sets. If nonbidder returns sets, no matter how many sets, we are to return the deposit less cost of reproduction. D. Performance bonds shall be required when bidding capital improvement or public works projects. Bidders are required to submit their performance bonds before, or at the time that they sign a contract. This bond will ensure that the bidder performs their duties as agreed upon between the date of the award and the set date of completion of the contract. E. Prevailing wages (obtained by the Controller’s Office) consist of pay scales that have been bargained for by the various unions through the State and are set by the New York State Department of Labor. Vendors must pay these rates to those employees who work on public works projects in any municipal facility. There is no dollar threshold where these wages do not apply. In having vendors submit quotes, it is extremely important to make sure that they understand that prevailing wages apply for any public works project, regardless of the cost of the contract. In addition, for projects that are Federally funded, wage rates in compliance with the Davis-Bacon Act must be followed. F. The Controller’s Office shall prepare and place the bid advertisement for the receipt of bids in the City’s official newspaper on such a purchase contract or a public works contract after authorization to proceed by the appropriate City officials. At least five days shall elapse between the first publication of such advertisement and the date so specified for the opening of the bids. Advertisement shall contain a statement of the bid time and place. As a general rule, use three weeks as the time between the bid advertisement and the bid opening. G. An addendum will be issued to clarify the bid requirements and/or the bid specifications. When a discrepancy, ambiguity or omission is revealed, an addendum will be issued to clarify the bid requirements. The addendum is sent by fax, email or mail to all vendors that received the bid. The Controller’s Office will make every effort to ensure that the appropriate vendors receive addenda. The addendum procedure can also be used to extend the bid date to give the vendors/contractors sufficient time to submit a responsible bid. H. The City Controller’s Office (or designee) shall open all bids and read them publicly at the advertised time during regular business hours at City Hall, 108 East Green Street, Ithaca, New York, or through a publicly available electronic meeting. I. The Controller’s Office and/or appropriate City officials shall review bid documents to determine the lowest responsible bidder meeting the specifications so that a recommendation for an award can be made at the next regular meeting date or special meeting with power to act of a particular board or the Common Council, if board or Common Council approval is required. 132 Page | 14 J. When an award is made by the appropriate authority, the Controller’s Office and/or applicable department shall arrange for the execution of the contract documents by the contractor, City Manager and any other applicable City Officials. K. Award will be made to the lowest responsible bidder. The term “responsible” means: financially responsible; accountable; reliable; sufficient resources; skill; judgment; integrity; responsive; and moral worth. In deliberating the responsibility of a bidder, contractor or a sub-contractor, all contracting agencies shall give due consideration to any credible evidence or reliable information regarding the guidelines set forth in Chapter 39 of the City Code. Section 103 of the General Municipal Law makes it possible for the City to standardize on a particular type of material or equipment. In order to standardize a product, the Department head should submit a resolution request explaining the need for standardization and the efficiencies it will create for the City. The resolution, if approved by Common Council, shall state that for reasons of efficiency or economy there is a need for standardization. The resolution shall contain a full explanation supporting such action. Approval of a standardization resolution requires that three fifths of the entire membership of Common Council vote in the affirmative on the resolution. The adoption of such a resolution does not eliminate the necessity for conformance to the competitive bidding requirements. Standardization, as the word implies, restricts a purchase to a specific model or type of equipment or supply. An example of standardization would be the limiting a purchase of trucks to a particular make or model on the basis of past performance and/or future plans. Pursuant to General Municipal Law, Section 104-b(2)(f), the procurement policy may contain types of procurement for which, or circumstances when, at the sole discretion of the governing body, the solicitation of alternative proposals or quotations will not be in the best interest of the City. The decision that a purchase is not subject to competitive bidding will be documented, in writing, by the individual making the purchase. This documentation may include: written or verbal quotes from vendors; a memo from the purchaser indicating how the decision was reached; a copy of the contract indicating the source which makes the item or service exempt; a memo from the purchaser detailing the circumstances which led to an emergency purchase; or any other written documentation which is appropriate. In the following circumstances, it may not be in the best interests of the City of Ithaca to solicit quotations, or document the basis for not accepting the lowest bid: 133 Page | 15 EMERGENCY EXPENDITURE/CAPITAL PROJECT PROCEDURE An exception to the required competitive bidding requirements exists for emergency situations. Three basic statutory criteria must be met in order for a procurement to fall within the emergency exception: (1) the situation arises out of an accident or unforeseen occurrence or condition; (2) public buildings, public property, or the life, health, safety, or property of the City are affected; and (3) the situation requires immediate action, which cannot await competitive bidding. The department head, in conjunction with the City Controller’s Office or designee, must review the circumstances of the capital expenditure and determine that the situation is an emergency as defined previously. If a public emergency is declared as provided by federal, state, or local law, then the competitive bidding requirements will be waived, but the following procedures must occur to assure that purchases are made at the lowest reasonable costs practicable under the circumstances: 1. The informal solicitation of verbal quotes by at least three (3) qualified contractors/vendors, or as many as practicable, followed up by a written quotation. 2. Department head and staff make recommendations of award of contractor to the City Controller’s Office or designee. If the lowest quote was not selected, reasons for such must be documented. 3. Award of contract, based upon recommendations by staff, department head, and purchasing agent, should be made by the appropriate authority. 4. A contract, with an amount not to exceed, must be entered into between the contractor and the City. 5. Any change orders to the contract must be properly reviewed and approved by the appropriate City personnel. Sources include the Department of Correction, Industries for the Blind of New York State, and the N.Y.S. Industries for the Disabled. When there is only one possible source from which to procure goods and/or services, thus indicating there is no possibility of competition, the following will be shown: 1. Unique benefits of item needed; 2. No other product/service can compare; 134 Page | 16 3. Cost is reasonable as compared to product offered; 4. There is no competition available. If a department wishes to make a sole source procurement, the department head must submit a letter with the procurement request explaining the reason for the sole source procurement. All sole source procurements must be approved by the City Controller and City Attorney. The City can purchase (and, in fact, is encouraged) from . The contract must have the applicable P#. The City can purchase from County contracts if the County has passed appropriate resolution stating availability to local municipalities. Effective August 1, 2012, a new subdivision 16 was added to General Municipal Law (GML) § 103 to authorize political subdivisions and districts therein to purchase apparatus, materials, equipment and supplies, and to contract for services related to the installation, maintenance or repair of those items, through the use of contracts let by the United States or any agency thereof, any state or any other political subdivision or district therein. The contract must be made available for use by other governmental entities. Prices will be negotiated between the City of Ithaca and the lessor. Certain leases must comply with Section 109-b of the General Municipal Law. General Municipal Law §103 authorizes the City to purchase apparatus, materials, equipment and supplies, including vehicles, and to contract for services related to the installation, maintenance or repair of those items, through the use of contracts let by the United States or any agency thereof, any state or any other political subdivision or district therein so long as the contract is let in a manner that constitutes competitive bidding consistent with state law; also known as Cooperative Purchasing. The City is allowed to enter into purchasing cooperatives agreements with other governmental entities or political subdivisions, where there is no fee to the City to become a member, and where the cooperatives and their underlying bidding procedures meet the requirements of General Municipal Law §103 Generally, professional services involve specialized expertise, use of professional judgment and/or a high degree of creativity. The individual or company must be chosen based on accountability, reliability, integrity, and moral worth. These qualifications are not necessarily found in the individual or company that offers the lowest price, and the nature of these services are such that they do not readily lend themselves to competitive 135 Page | 17 procurement procedures. In addition, although it has been held that the exception may apply, in proper circumstances, to contract with a corporation. In these instances the services generally are to be performed by particular designated individuals. Finally the courts have noted that professional service contracts often involve a relationship of personal trust and confidence. Among the services which have been held to be exempt from competitive bidding under this exception include, but are not limited to, the following: physicians, psychiatrists, psychologists, pharmacists, engineers, surveyors, accounting firms, attorneys, architects, and individuals who supply a service that requires specific training to perform a task that is unique and not readily available from most sources. Negotiations for all services which are not determined to fall under the RFP process shall be determined by the City Attorney and City Controller. In determining whether a service fits into this category, the appropriate City official shall take into consideration the following guidelines: (a) whether the services are subject to State licensing or testing requirements; (b) whether substantial formal education or training is a necessary prerequisite to the performance of the services; and (c) whether the services require a personal relationship between the individual and municipal officials. Professional or technical services shall include but not be limited to the following: services of an attorney; services of a physician; technical services of an engineer engaged to prepare plans, maps and estimates; securing insurance coverage and/or services of an insurance broker; services of a certified public accountant; investment management services; Bonding Attorney services; printing services involving extensive writing, editing or art work; management of municipally owned property; and computer software or programming services for customized programs, or services involved in substantial modification and customizing of pre-packaged software. Other professional services related to specified projects or contracts will be examined on an individual case basis and require approval of the City Controller and City Attorney. The City will solicit proposals for professional services as needed using a Request for Proposal. A more detailed version of a formal quote, which is usually used when contracting for a professional service, or other service requiring individualized assessment, is a Request For Proposal (RFP). A standardized RFP Template is available in the Q drive or from the City Attorney’s Office. An RFP should include the following: 1. A work statement or performance specification detailing what is required. 2. Evaluation criteria by which proposals will be judged. Frequently the criteria are divided into three main categories: a. Managerial capability b. Technical acceptability c. Approach in meeting performance requirements and reasonableness of price. 136 Page | 18 3. Once criteria have been determined, the amount of weight each element will carry should be determined. This weight information can be included in the RFP document or the criteria can be presented from most important to least important. (Optional) 4. Time frames within which the work is to be completed. Proposals are typically judged on the vendor’s ability to do the work specified and in the time frame specified and based on their experience, personnel and past performance. After determining which vendors meet these criteria, price is then considered. The three most common ways to award a RFP are as follows: 1. Award to the most responsive vendor and negotiate price. 2. Select two or three of the most responsive proposals and request sealed bid pricing for the proposals and award to the vendor submitting the lowest price. 3. Award to any firm the City determines can satisfactorily perform the job. $0 - $1,999 Informal – Department and/or Purchasing telephone one qualified supplier to discuss scope of work, negotiate price and award the contract. No written RFP. $2,000 - $4,999 Informal – Department and/or Purchasing telephone a minimum of three (3) qualified suppliers, discuss various approaches and request proposals in the form of letters. Evaluate the proposals and award a contract. No written RFP. $5,000 - $19,999 Informal – Department and/or Purchasing issue a letter to at least five (5) suppliers describing your requirements and the selection criteria. Evaluate the proposals, document your decision and award a contract. Keep the process as simple as possible. Award letter and RFP tabulation schedule should be sent to all participating vendors. $20,000 and Greater Formal – Department and/or Purchasing should issue a formal RFP to suppliers. Advertise locally in the City’s official newspaper. Allow at least five (5) days for vendor response to RFP. A three-week time frame is best. If RFP is above $100,000, should also advertise on the State level (NY Times, NYS Contract Reporter, etc.) 137 Page | 19 An evaluation committee must be established to review proposals. Award recommendation must go to Common Council for approval, unless the budget has already been approved by Common Council, then award by Common Council is optional. Award letter and resolution must go to vendor. RFP tabulation schedule must be sent to all participating vendors. When selecting a winning proposal, the following criteria should be used: 1. The supplier fully understands the needs and problems of the organization; 2. The supplier knows how to satisfy the needs or solve the problems, and offers a suitable plan; 3. The supplier is well qualified by virtue of experience and resources, including personnel, to carry out the proposed plan; 4. The price asked is reasonable and is within the project’s budget. Price can be negotiated. 1. Changes to RFP will be made by addendum. This addendum shall be mailed so as to be received by potential bidder no less than five (5) days before the proposal due date. 2. Requests for clarification, changes, or protests of the Request For Proposal must be received by the City in writing not less than ten (10) days before the proposal due date. 3. Any approved clarifications, changes, or protests to the RFP shall be sent to all proposers. 4. The City’s replies to requests under #2 above will be sent at least seven (7) days before the proposal due date. 5. A proposer desiring to protest an award of RFP or any portion of the RFP Procedure shall: A. File a protest in writing to the City of Ithaca Project Manager for this procurement, stating the nature and basis of protest. This protest may cover pre-award, award and post-award phases of procurement, but must be filed no later than thirty (30) days from the date of the City of Ithaca awarding notice. 138 Page | 20 B. Following the receipt of the written protest, the applicable Department Head or designee, Controller’s Office designee and project manager for the procurement shall meet with the aggrieved proposer(s) within five (5) days of receipt of protest, and attempt to resolve the problem. C. If this meeting is unsuccessful in resolving the protest, the matter shall be sent to the City Attorney for resolution. D. If the matter is still unresolved, the protest will be sent to the applicable City Board, Commission or Council for decision. The decision of the applicable Board is final. E. The formal record of the dispute resolution process shall be the minutes of the Board, Committee or Council meeting. 139 Page | 21 Any purchases to be made using State or Federal funding must be completed and monitored according to the Uniform Administrative Requirement, Cost Principles, and Audit Requirements for Federal Award (2CFR 200). A link to the CFR can be found below: https://www.govinfo.gov/app/details/CFR-2025-title2-vol1/CFR-2025-title2-vol1- part200 All Federal Grant usage within the City of Ithaca is subject to these policies and procedures due to the fact that the City of Ithaca exceeds the annual threshold for this requirement. For the purchasing of goods and services using Federal funding, all City of Ithaca Purchasing Policies and Procedures are to be followed. In addition, the following procedures must be followed: 1. Vendors must be vetted using the U.S. Federal Government’s System for Award Management (SAM) before the purchase and/or contract is completed. Vendors must be run through this system before each purchase to ensure that they are not suspended or debarred from federally funded transactions. If a department is going to make a purchase using Federal funding, they must notify the Controller’s Office and request a vendor check before the purchase is made. All vendors will be required to register on the SAM website. The SAM website may be accessed at https://sam.gov/assistance-listings 2. Bonding Requirements (when required to comply with 2 CFR Section 200.326) for work performed are as follows: a. Bid Bond 5% of total bid b. Performance Bond 100% of total bid c. Payment Bond 100% of total bid It is the responsibility of the requesting Department Head to ensure that all Federal Purchasing Regulations are followed for the purchase and the monitoring of contractor performance as a result of that purchase. 140 Page | 22 CURRENT PURCHASING PROCEDURES GENERAL PROCEDURES A. With the exception of those purchases made under blanket purchase orders and/or emergency purchases (as provided above) or emergency situations (those requiring immediate action), only the person designated by the City Manager and the Common Council as Purchasing Agent (or designee) may commit the City for a purchase. B. The material, equipment, supplies and/or services to be purchased shall be of the quality and in the quantity required to serve the function in a satisfactory manner, as determined by the requisitioner and the Controller’s Office (or designee). 1. When purchasing, the City must consider the following factors in determining the vendor to be selected: 1. Price 2. Quality (durability of goods and equipment) 3. Benefits vs costs 4. Contracting out or in-house work 5. Lease or buy 6. Buying goods that save and /or enhance our environment 7. Buying energy-efficient items 8. Maintenance costs and down time It is the responsibility of the requisitioner to provide an adequate description of items needed so that the Controller’s Office (or designee) may be able to prepare the specifications to procure the desired commodity and/or service. The requisitioner will assist the Controller’s Office (or designee) in the preparation of specifications. Standard supply lists of commonly used items shall be jointly developed for all categories or groups of supplies by the Controller’s Office (or designee) and the appropriate requisitioners. These lists shall be used as a basis for requisitioning. A. It is the responsibility of the Controller’s Office (or designee) to make alternative suggestions to the requisitioner if, in the judgement of the Controller’s Office (or designee), the specifications would restrict competition or otherwise preclude the most economical purchase of the required items. In the case of disagreement as 141 Page | 23 to the content of the specifications, the Common Council, after reviewing all available data, will make the final decision. B. When a low bidder proposes an alternative as an “equal” to that specified, it is the responsibility of the Controller’s Office (or designee) in conjunction with the department head involved to determine whether the proposed substitution is, in fact, an equal. C. All bids for the City of Ithaca shall be required to include a Bid Sheet which lists: vendor bidding; subject of bids; date of bid opening; detail of bid made including item #, quantity, description, net unit price and net extension price of each item bid, delivery time, and the Waiver of Immunity Clause and Non-Collusive Bidding Certification. The Bid Sheet, Waiver of Immunity Clause and the Non-Collusive Bidding Certification must be signed by the bidding vendor to be considered for award. D. Bid files shall be maintained by the Controller’s Office and shall include bid specifications and drawings, bid tabulation sheets, bids, award letters, and other appropriate documentation as deemed necessary. E. In cases of tie bid between two or more responsible bidders furnishing the required security, the officer, board or agency may award the contract to any of such bidders. The bids can also be rejected and re- advertised. The primary usage of the Purchase Order (P.O.) is to reserve budget funds for the requested purchase. The P.O. is also one method used by the City to document and pay for the purchase of a commodity, good, or equipment. The Purchase Order form serves as the primary record indicating that materials and or services were received and that payment for such purchases can be made. In all purchases over $2,000, the purchase order must be created in order to reserve the funds for that purchase within the department’s budget. Then the voucher form, a separate procedure, is sent to the vendor for acknowledgment of the purchased goods. After the purchase is received, a voucher form signed by the vendor and Department Head is submitted to the Accounts Payable Coordinator for payment. Purchase orders will be entered into the computerized system by the on-line departments or appropriate City personnel. These purchase orders, depending on dollar value, must comply with previously stated authorized limits and controls. The purchase order system has been designed not to allow purchase orders written without available funds in the applicable account. Purchase orders will be printed off the computerized system and will be approved 142 Page | 24 for purchase as follows: Dollar Value Process $1 – 1,999 No purchase order needed (but can be used if required by vendor; obtained and approved by Controller’s Office (or designee) or Accounts Payable Coordinator or designee. Purchase order approved for appropriate purchase, dollar value, and funds available in account) $2,000 and greater Purchase order obtained and approved by Controller’s Office (or designee) or Accounts Payable Coordinator or designee. Purchase order approved for appropriate purchase, dollar value, and funds available in account. The purchase order is a form, which is developed and distributed by the Controller’s Office, which is routed as follows: Cancellations: If for some reason an order is cancelled a copy of the PO and copies of any correspondence should be returned to the Finance Department. This procedure should also be done for partial cancellations. Blanket Orders: A blanket purchase order is a purchase order made out to one particular vendor for a specific dollar amount, to be used on an as-needed basis when there is no provision to maintain an inventory. Blanket purchase orders eliminate the need to issue separate purchase orders for items purchased frequently from the same vendor. The amount a blanket purchase order is made out for and the length of time it will remain in effect will be determined by the respective department head in conjunction with the City Controller. Departments must keep a record of their purchases made against the blanket purchase order to ensure that they do not exceed the amount allowed on the purchase order. Any over-expenditure, depending on the circumstances, may not be approved by the Department Head for payment. If it is determined that a blanket purchase order may not be sufficient to cover all purchases to be made in the designated time period, the department should notify the City Controller immediately. When orders are delivered or picked up the receipts, delivery slips or other documents transmitted by the vendor will be signed by the individual receiving the order. The blanket purchase order number will be placed on the documents which will be kept on file within requesting department. If a blanket purchase order dollar amount is exceeded, a new blanket purchase order should be generated. 143 Page | 25 PROCUREMENT DELIVERY/PAYMENT PROCESS (Bid/Non-Bid Purchases) After the award of a contract and/or the selection of a vendor: A Contract, if applicable, is to be developed by the appropriate department and executed in accordance with the contract approval process. The Requisitioning Department will inspect and accept the delivery, unless the nature or complexity of the purchase requires the inspection by the City Controller’s Office (or designee). Any errors or damages in the delivery will be reported to the vendor by the requisitioning department. Consistent or unresolved problems are to be brought to the attention of the Controller’s Office (or designee) where the matter will be addressed and resolved. Every purchase, either a purchase of commodities, professional services or public works requires a voucher to be attached to all purchasing documents (i.e. P.O.) in order to confirm payment. The voucher document serves two purposes. The first is to serve as a cover sheet for all documents involved in a single purchase. The second purpose is to provide a form for processing claims for payment. When properly filling out a voucher, it will provide a brief summary of every component of the purchase. All invoices will be sent to the requisitioning department by the vendor. The requisitioning department, will properly complete the voucher, including: department; Purchase Order number, if any; claimant’s name and address; fund appropriation; description of services, and amounts. The voucher and applicable invoice will then be signed by the requisitioning department head(s), and sent to the Accounts Payable Coordinator for audit and payment. The Controller’s office has sole authority to determine if a voucher is properly completed. The Accounts Payable Coordinator will develop the audit abstract based upon vouchers and invoices received prior to the audit. The vouchers and invoices must be properly completed, signed and have appropriate documentation to be included in the audit. The vouchers and invoices must be received by the Accounts Payable Coordinator one week prior to the audit dates. Vouchers and invoices that miss the audit abstract will be held over to the next available audit date. Emergency payments will be limited and only approved by the Controller’s Office. A manual check will be written if necessary. Once the audit abstract is developed, it is then forwarded to the Controller’s Office for audit approval. After the signed audit approval, the abstract is sent back to the Accounts Payable Coordinator for payment. 144 Page | 26 Audits are performed as follows: DPW, Water and Sewer and Joint Activity every two weeks; Fire Department every two weeks; and Common Council, which includes all other departments, every two weeks. Holidays may change audit schedule slightly. A “clean-up” audit shall occur at the end of every fiscal year. A copy of the audit abstract is sent to the appropriate body for review. Audit questions should be brought to the attention of the Controller’s Office. Contracts shall be required to have proper signatures per the City’s Contract Approval Process. It is the responsibility of the procuring department to circulate contracts on a timely basis to be sure all required signatures are received. Contracts have all applicable signatures prior to commencement of the work or service. Contract payments will be held by the City, if the applicable signatures and/or contract information is not in the contract. The contract must be properly executed. If amendments to contracts are needed, additional work cannot begin until all required signatures or initials are present on the contract. If your purchase is either labor intensive, or is a very complex purchase of equipment or another good, then you should make sure to use a contract during your purchasing process. The purpose of a contract is to ensure that both parties in the transaction agree to negotiated terms and that such document is legally abiding and approved by the City Attorney. The following rules and guidelines should be kept in mind while developing the contract for your purchase. a. Standard contract templates can be obtained from the Attorney’s office and are also available on the “Q” drive within the City Attorney’s folder of the City’s Computer Network. b. Contracts shall be required to have the proper signatures according to the City’s Contract Tracking Procedures prior to the provision of product, work, or service. c. It is the responsibility of the Primary Contract Monitor to circulate contracts on a timely basis to be sure that all required signatures are received. Contract tracking is accomplished through an internal OpenGov portal which may be accessed here: https://ithacacityny.workflow.opengov.com/#/create/form/14171 See appendix. 145 Page | 27 d. Contract payments will be held by the City, if the applicable signatures and/or contract information is not in the contract. e. If amendments to contracts are needed, additional work cannot begin until all required signatures or initials are present on the contract. Developed contract is then sent to the Attorney’s Office for review and approval. Allow up to four (4) weeks for the Attorney’s Office approval. Appropriate Board and/or Council resolution to execute contract should be made, if applicable. Once approved by Attorney’s Office and appropriate Board or Council where necessary, the contract is then sent to vendor for signature. Other appropriate signatures will then be needed as per the Contract Approval Policy. Three copies of contracts should be made. One copy to Clerk’s Office for official filing, one copy to vendor, and one copy to remain in Department. Electronic signatures are authorized where appropriate, and copies may be stored electronically for most contracts; paper copies and wet ink signatures are required only in limited circumstances.. City contracts should have the following information included in them as a minimum: 1. Date of contract; 2. Parties of contract, including names, addresses and social security numbers, where applicable; 3. Detailed schedule of services to be provided by the contractor; 4. Payment amount in a “not-to-exceed” format. No open-ended payment contracts will be approved. 5. Insurance documentation, including workers’ compensation and disability coverage. Certificate of insurance if required. 6. Relationship of contractor to City (fringe benefit clause); 7. Termination of contract language; 8. Hold harmless wording; 9. Anti-discrimination wording; 146 Page | 28 10. Applicable signatures by City and contractor. Standard contracts can be obtained from the City Attorney’s Office. Other Contract Information for Larger Public Work Contracts: 1. Table of Contents 2. Bid Advertisement 3. Instructions for Bidders 4. Defined terms 5. Copies of Bidding Documents 6. Qualifications of Bidders 7. Examination of Contract Document and site 8. Interpretations and addenda 9. Bid Security requirements (normally 5% of bid – certified check or bond) 10. Contract time/schedule 11. Liquidated damages provisions 12. Substitute or “Or Equal” items wording 13. Subcontractors, suppliers and others (identity of subcontractors) 14. Bid form (either standard City bid sheet or other) 15. Submission of bid (time, place and how to submit) 16. Modification and withdrawal of bids 17. Opening of bids 18. Bid period to remain subject to acceptance (normally 45 days after bid opening) 19. Award of Contract 147 Page | 29 20. Contract security (Performance Bonds) 21. Signing of agreement wording 22. Sales and Use Taxes 23. Retainage provisions 24. Equal opportunity clause 25. Non-collusive certification and Waiver of Immunity Clause 26. Iran Divestment Act Certification, and Bidders Qualification Statement 27. Prevailing Wage Rates (Controller’s Office to order wage rates from NYS Labor Department) 28. Estimated quantities clause 29. Applicable form of agreement 30. Certificate of Insurance minimum limits (see attached sample) 31. General/Technical specifications with drawings if applicable 32. Other supplemental conditions as needed The City Policy for approval and execution of City Contracts is established as follows: A. Contracts for amounts less than $500, when prepared on a boiler plate form contract developed by the City Attorney, shall require approval of signature of both the Department Head giving rise thereto, and of the City Controller for availability of funds. Any deviation from the approved form requires review and approval by the City Attorney. B. Contracts of $500 or more but less than $10,000, shall require all the approvals disclosed in A. above, plus the approval of the City Attorney in all instances. C. Contracts in the amount of $10,000 or more shall require all approvals presented heretofore in clauses A and B above, plus the approval of the City Manager, as the binding legal signature on behalf of the City, and the Mayor, as the legislative check on said approval. 148 Page | 30 MISCELLANEOUS PROVISIONS APPLICABLE TO ALL PROCUREMENTS Purchases shall be made, to the extent practicable, through: available New York State contracts of the Office of General Services, Division of Standards and Purchase; Department of Correctional Services; New York State Industries for the Disabled; Industries for the Blind of New York State; and surplus and second-hand purchases from another governmental entity, whenever such purchases are in the best interest of the City. The State Contracts can be obtained on the New York State Website at the following address: . Click on Procurement Services; click on Search State Contract Award notices, and look up information by using key word search or contract group number. If a State Contract exists for the desired item, the State Contract should be the primary source, unless reasoning can be provided to select a different vendor. In addition to a vendors list, there is also a Debarred Vendors List. This list contains the name of businesses that are disapproved of hiring due to poor service, failure to comply, or difficulty shown in cooperating. Before moving forward with a purchase, you should regularly check the Debarred Vendors List in order to ensure that the businesses that you intend to compare price quotes with are not on this list. So, be sure to review the If the vendor who you plan to purchase from is on this list, you should not purchase from that vendor. This list can be found in the Controller’s Office. The Deputy City Controller, in conjunction with appropriate City Staff, shall establish a procedure for maintaining an up-to-date property and inventory record of all equipment, except expendables, held by the City and for the disposal of obsolete surplus or non- movable materials, supplies, and equipment. No official or employee of the City shall be interested financially in any purchase or contract secured by the City. This also precludes acceptance of gratuities, financial or otherwise, by the above persons, from any supplier of materials, supplies, equipment, or services to the City, the sharing of bids, or specifications with potential bidders prior to the competitive process, and assisting a supplier or firm to win a contract award prior to or during the competitive process. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a Federal award if he or she has a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees, and agents can neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. If the financial interest is not 149 Page | 31 substantial or the gift is an unsolicited item of nominal value, no further action will be taken. However, disciplinary actions will be applied for violations of such standards otherwise. The City Controller’s Office or designee shall develop a procedure for review of procurement practices or activities upon receipt of an inquiry or allegation of violation of this policy following its adoption. To the extent possible, the City of Ithaca will encourage contracts with minorities and women-owned businesses, and the City will not discriminate against contractors because of race, creed, color, national origin, sex, age, disability, or marital status, or sexual or affectional preference and will continue existing programs of affirmative action to ensure that minorities are afforded equal opportunities without discrimination. Internal control involves not only compliance with required purchasing procedures, but also affects the paperwork necessary. “Over-papering” can ruin the effectiveness of the system almost as quickly as non-compliance. The authorized dollar limits, requirements of quotations, and utilization of purchase orders are waived for the following exceptions, established upon a determination of operational efficiencies and economics: 1. Purchases under $500 2. Office supply orders 3. Petty cash reimbursements 4. Utility Bills 5. Maintenance, Repairs and Parts (up to $5,000) 6. Interdepartmental Charges 7. Postage Costs 8. Memberships & Dues 9. Subscriptions 10. Mileage, Travel, Conference reimbursements 11. Other expenses determined by the purchasing agent or designee on an individual basis. 150 Page | 32 Policy Statement: An act of fraud is committed if an employee of the City negotiates a personal procurement by fraudulent use of a City requisition number, purchase order number or procurement card. If an employee claims a purchase is on behalf of the City of Ithaca, when in fact the purchase was made solely for personal use, an act of fraud has been committed. By making a personal procurement from State Contracts, an act of fraud has also been committed. By committing an act of fraud, the employee is subject to disciplinary action and/or prosecution. On March 7, 1979 the Common Council passed the following resolution regarding a “buy local” policy: That this Common Council establishes the policy that all City agencies and departments will purchase supplies, materials, and equipment within the City of Ithaca pending availability of comparable quality and price. It is the policy of the City of Ithaca to require purchase of products and services that minimize environmental and health impacts, toxics, pollution, and hazards to worker and community safety and to the larger global community to the greatest extent practicable; however It is not the intent of this policy to require a department, buyer or contractor to take any action that conflict with local, state or federal requirements or to procure products that do not perform adequately for their intended use, exclude adequate competition, or are not available at a reasonable price in a reasonable period of time. Environmentally Preferable Purchasing is an important component of this policy, effective December 19, 2011, and will guide City efforts to meet the following goals: • minimizing health risks to City staff and residents, • minimizing the City’s contribution to global climate change, • improving air quality, • protecting the quality of ground and surface waters, and • minimizing the City’s consumption of resources. Further, Environmentally Preferable Purchasing is adopted and encouraged by the City in order to: • purchase products that include recycled content in order to support strong recycling markets, • institute practices that reduce waste by increasing product efficiency and 151 Page | 33 effectiveness, use products that are durable and long-lasting, and reduce materials that are landfilled, • purchase products and institute practices that conserve energy and water, use agricultural fibers and residues, reduce greenhouse gas emissions, use unbleached or chlorine free manufacturing processes, and use recycled wood and wood from sustainably harvested forests, • purchase energy from renewable or green sources in preference to fossil fuels, • purchase products that are free of mercury and lead and eliminate the use of other persistent bioaccumulative toxic chemicals where possible, • increase the use and availability of environmentally preferable products, services and distribution systems that protect human health and the environment, • support emerging and established manufacturers and vendors that reduce environmental and human health impacts in their services and production and distribution systems, and • create a model for successfully purchasing environmentally preferable products and services that encourages other buyers and consumers in our community to adopt similar goals. A. Source Reduction: The City of Ithaca shall institute practices that reduce waste and result in the purchase of fewer products whenever practicable and cost-effective, but without reducing safety or workplace quality. City departments shall purchase remanufactured products (i.e. for equipment and vehicles) whenever practicable, but without reducing safety, quality or effectiveness. Products that are durable, long lasting, reusable, refillable, recyclable or otherwise create less waste shall be selected whenever possible. Vendors shall be required to minimize packaging to the greatest extent practicable. Packaging that is reusable, recyclable or compostable shall be selected when suitable uses and programs exist. The City shall not purchase any polystyrene foam food packaging. Vendors shall be required whenever possible to take back and reuse pallets and packaging materials. Suppliers of electronic equipment shall be required to take back equipment for reuse or environmentally safe recycling when the City discards or replaces such equipment, unless the City deems it worthwhile to send the equipment to a non-profit organization for reuse. ALL documents shall be printed and copied on both sides to reduce the use and purchase of paper, unless needed to be single sided as per legal requirements. The Information Technology staff shall provide guidance to City departments and staff for setting duplexing as the default on each workstation, when feasible, or train employees to use this option, 152 Page | 34 for all capable printers. B. Toxics Reduction and Pollution Prevention: City departments shall purchase energy-efficient products and consider "less toxic alternatives" when purchasing products such as cleaning products, pesticides and herbicides. To the maximum extent practicable, all cleaning or disinfecting products (i.e. for janitorial or automotive use) shall (i) meet Green Seal Standards for environmental preferability and performance, (ii) be products delineated on the NYS OGS Green Cleaning Product List, or (iii) meet NYS OGS guidelines and specifications for green cleaning products. When contracting with new supply vendors, the City shall encourage training of its janitorial staff. Purchasing products containing persistent bio-accumulative toxic chemicals (PBTs) shall be avoided, where alternatives exist. When maintaining buildings and landscapes, the City shall manage pest problems through prevention and physical, mechanical and biological controls and use least toxic chemical pesticide products only after safer approaches or products have been determined to be ineffective. When maintaining buildings, the City shall use products with the lowest amount of volatile organic compounds (VOCs), highest recycled content, and low or no formaldehyde when purchasing materials such as paint, carpeting, flooring, adhesives, furniture and casework. The City shall purchase products and equipment with no lead, cadmium or mercury whenever possible. For products that must contain lead or mercury because no suitable alternative exists, preference shall be given to those products with the lowest quantities of these metals and to vendors with established lead, cadmium and mercury recovery programs. The purchase of all pentachlorophenol, arsenic and creosote treated wood is prohibited. When replacing vehicles, the City shall lease or purchase only the most fuel-efficient models available that are suitable for each task and through carsharing and carpooling, shall minimize the number of vehicles purchased, as referred to in the “Green Policy for the City of Ithaca Fleet”. To the extent practicable, the City shall use renewably- derived fuels or fuels that are cleaner and less-polluting than gasoline and conventional diesel fuel, including biodiesel, natural gas and electricity. C. Recycled Content Products: It is the policy of the City to purchase and use recycled products to the extent that such use does not negatively impact health, safety, or operational efficiency. A 10% price preference may be given to recycled content products based on the lowest bid or price quoted by the suppliers offering the competing non-recycled content products. 153 Page | 35 All products purchased for which the United States Environmental Protection Agency (U.S. EPA) has established minimum recycled content standard guidelines shall contain the highest postconsumer content practicable, but no less than the minimum recycled content standard. These guidelines can be obtained at the U.S. EPA Website at the following address: http://www.epa.gov/epawaste/conserve/tools/cpg/products/index.htm Copiers and printers purchased shall be compatible with the use of recycled content and remanufactured products. City departments will favorably consider the selection of other recycled content and renewable materials, products and supplies over their non-recycled content and non- renewable alternatives whenever availability, fitness, operational efficiency, quality, safety, and price are equally acceptable. The list of materials, products and supplies shall include, but not be limited to, business office products, compost, fuels, mulch, asphalt, transportation products (e.g. signs, cones, delineators, and barricades), and other items. All pre-printed recycled content papers intended for distribution that are purchased or produced shall contain a statement that the paper has recycled content. Whenever feasible, the statement should indicate the percentage of postconsumer recycled content it contains. D. Energy and Water Savings: New and replacement equipment for lighting, heating, ventilation, refrigeration and air conditioning systems, water consuming fixtures and process equipment and all such components shall meet or exceed Federal Energy Management Program (FEMP) recommended levels, whenever practicable. All products purchased by the City and for which the U. S. EPA Energy Star certification is available shall meet Energy Star certification. When Energy Star labels are not available, products shall meet or exceed the FEMP recommended levels. When energy is purchased, renewable or green sources are preferred. These include solar power or photovoltaics, wind power, geothermal, and hydroelectric energy sources and do not include fossil fuels (coal, oil or natural gas). Demand water heaters shall be purchased whenever practicable. Energy Star and power-saving features for copiers, computers, monitors, printers and other office equipment shall be enabled during the initial installation and shall remain enabled unless these features conflict with the manufacturer’s recommended operation and maintenance of the equipment, or its specific operational use. 154 Page | 36 E. Landscaping: All landscape renovations, construction and maintenance by the City, including workers and contractors providing landscaping services for the City, shall employ sustainable landscape management techniques for design, construction and maintenance whenever possible, including, but not limited to, integrated pest management, grasscycling, drip irrigation, composting, and procurement and use of mulch and compost that give preference to those produced from regionally generated plant debris and/or food waste programs. Plants should be selected to minimize waste by choosing species for purchase that are appropriate to the microclimate, species that can grow to their natural size in the space allotted them, and perennials rather than annuals for color. Native and drought-tolerant plants that require no or minimal watering once established are preferred. Hardscapes and landscape structures constructed of recycled content materials are encouraged. The City shall limit the amount of impervious surfaces in the landscape, wherever practicable. Permeable substitutes, such as permeable asphalt or pavers, are encouraged for walkways, patios and driveways. When available, the City shall purchase landscaping equipment that is not dependent on the use of fossil fuels. F. Forest Conservation: To the greatest extent practicable, the City shall not procure wood products such as lumber and paper that originate from forests harvested in an environmentally unsustainable manner. When possible, the City shall give preference to wood and wood products that are certified to be sustainably harvested by a comprehensive, performance-based certification system. The certification system shall include independent third-party audits, with standards equivalent to, or stricter than, those of the Forest Stewardship Council certification. Department heads shall implement environmentally preferable purchasing practices, in accordance with this section of the policy, in coordination with the Controller’s Office and other appropriate City personnel. Whenever possible, the City will use recognized eco-labels and standards to make purchasing decisions. Wherever feasible and appropriate, life cycle cost analysis should be used by City departments and staff to assist in selecting products and services. "Cost" shall be calculated over the life of the item and should consider initial acquisition costs, useful life, costs of maintenance and operation over the useful life, and costs of disposal and/or replacement at the end of the useful life, rather than initial acquisition costs alone. 155 Page | 37 Successful vendors or bidders shall certify in writing that the environmental attributes claimed in bids or price quotes are accurate. Although not the lowest proposal or price quoted by suppliers, City departments and staff may nonetheless purchase a product that adheres to the environmentally preferable purchasing specifications stated in this Section, if there is "prudent and economical use of public moneys in the best interests" of City taxpayers. Such determination of "best interests" may include full consideration and comparison of product life cycle costs (including product maintenance, operation and disposal costs), as described above. A further consideration may include direct and identifiable benefits to taxpayers, other than product cost (for example, the cost of permeable pavers might exceed the cost of asphalt paving, yet the use of permeable pavers could mitigate storm water run-off and reduce the potential for flooding and infrastructure damage in low-lying areas). Justification for a determination of "best interests" shall be documented by City departments and staff and submitted to the Controller’s Office prior to the purchase of products or services. If the buyer making the selection from competitive bids or the requesting department seek to purchase products that do not meet the environmentally preferable purchasing criteria in this Policy, the buyer shall provide a written justification to the Controller’s Office (or designee) for why compliance is not practicable, e.g., the product is not technically practical, economically feasible, or available within the timeframe required. Vendor contracts shall be negotiated in light of the requirements of this policy. If a vendor that is under contract to the City of Ithaca is no longer able to provide a product that meets the City’s environmentally preferable specifications, it shall notify the appropriate city representative and provide written justification for why compliance is not practical. Prior written consent from an authorized City representative shall be required before substituting any alternative product or service. Training of buyers and other relevant city staff, vendors, contractors and grantees shall include instruction on the environmentally preferable purchasing requirements of the Policy. The DPW Stock Room has made significant efforts to implement an environmentally preferable or green purchasing program for most cleaning and janitorial products supply. All City departments are encouraged to order and purchase such products through the Stock Room, to the extent practicable. Effective January 1, 2012, the City of Ithaca and every department and division within the City government shall take all steps within its authority to ensure that, whenever possible, City purchases of apparel or textiles, in excess of $1,000, are from contractors or suppliers confirmed to be “sweatshop-free” – i.e., whose products are confirmed by a credible, independent source to be manufactured or assembled without violating the wage and hour, labor, safety, health, environmental, building, fire, or anti-discrimination laws, rules, codes, regulations or standards that are applicable in the country of manufacture or 156 Page | 38 assembly, or that are contained in the International Labour Organization (ILO) Core International Labour Standards (whichever is stricter). Any purchasing contract for the procurement of apparel or textiles shall comply with all applicable federal, state, and local laws and regulations, including the City of Ithaca Purchasing Policy and Chapter 39 of the Municipal Code of the City of Ithaca. 1. To the extent allowed under General Municipal Law, Section 103, the City of Ithaca and its departments shall only purchase apparel or textiles confirmed to be sweat-shop free, as those terms are defined herein, unless: a) The Controller certifies that no confirmed sweatshop-free apparel or textiles are available and that the acquisition of the apparel or textiles sought is essential or time-sensitive, the contracting agency may select a supplier that is not confirmed to be sweatshop-free; or b) The purchase of apparel or textiles is for less than $1,000. 2. For purposes of this revision, “sweatshop-free” shall refer to apparel or textiles that are manufactured or assembled without violating laws, rules, codes, regulations or standards regarding wage and hour, labor, safety, health, environmental, building, fire, or anti-discrimination, that are applicable in the country of manufacture or assembly, or that are contained in the ILO Core International Labour Standards (whichever is stricter). 3. Apparel or textiles may be confirmed to be sweatshop-free by: a) Certification or otherwise credible data, information, or reports submitted to the City Controller from the Sweatfree Purchasing Consortium or its agency members; b) Certification or otherwise credible data, information, or reports submitted to the City Controller from another comparable independent monitoring organization as selected by the Common Council or its members; or c) Self-certification by affidavit of the supplier or vendor that the apparel or textiles are sweatshop-free, provided that such certification is not contradicted by credible information received by the City Controller. 4. As a member of the Sweatfree Purchasing Consortium, the City will receive information from the Sweatfree Purchasing Consortium regarding manufacturers, contractors, subcontractors, suppliers, or vendors found to have violated human rights or labor standards. The City Controller shall advise Department Heads of violation information from the Sweatfree Purchasing Consortium, and Department Heads shall provide such information to all staff in a position to purchase City-required apparel. 157 Page | 39 5. The City encourages its officials and staff to strive to uphold the standards of the City Policy Statement on Sweatshop-Free Procurement of Apparel and Textiles, in making purchases of work-related apparel. The City Manager, upon the consultation and advice of the City Attorney and the City Controller, may authorize the City to enter into purchasing cooperative agreements with other governmental entities or political subdivisions where there is no fee to the City to become a member, and where the cooperatives and their underlying bidding procedures meet the requirements of General Municipal Law §103. For equipment purchases under $500, the department head will submit the equipment request to the Controller’s office for review and approval. When public equipment is sold by the City, the following procedures must be adhered to: 1. Equipment deemed surplus by a City department must be surplus to all City departments. Departments must check with other City departments to determine if another department can use the surplus equipment. If another department can use the equipment, the appropriate transfer of equipment, accountability and financial activity will be made by the departments and the Controller’s office. 2. If the equipment is deemed City surplus, City-wide, the equipment may be sold or placed in a City auction for sale. 3. Selling Procedure: Department establishes specifications of equipment for sale and a sealed bid equipment sale is performed through the City Controller’s Office. The sale must be advertised in the City’s official newspaper and sealed bids must be received. The sale of equipment will be awarded to the highest bidder. Cash or certified check will be accepted by the City. The proceeds of the sale will be placed into the appropriate City fund and account. 4. Equipment, deemed surplus, can also be placed in a city or municipal auction. The proceeds of the sale will be placed into the appropriate City fund and account. Separate specifications for contracts involving the erection, construction, reconstruction, or alteration of buildings, when the entire cost of the work exceeds $500,000, shall be prepared for the following work to be performed: A. Plumbing and gas fitting; 158 Page | 40 B. Steam heating, hot water, ventilating and air conditioning apparatus (HVAC); C. Electric wiring and standard illuminating fixtures; D. General Construction. These specifications shall be written as to permit separate and independent bidding for each of the four areas of work. Building requirements as explained earlier in this document will pertain to each bid. On occasion, an employee may be required to travel out of the City for City business. When this occurs, the employee will be reimbursed travel expenses. Travel by an employee must be approved by Department Heads. Once approved, a Travel Authorization Request form must be filled out. The Travel Authorization Request form should contain the following information: Name and Title of Employee, Department, Account to be Charged, Destination (city/town) and Purpose of Travel, Dates of Travel, Estimate of Transportation Cost Information (whether it be by City or personal vehicle, plane, etc.), Estimate of Lodging Costs, Estimate of Meals Costs, Registration Fees, if applicable, Total Cost of Travel, Current Budget Balance of account to be charged, and Signature of Department Head Two copies of the Travel Authorization Request form are to be submitted to the Controller’s Office at least two (2) weeks prior to travel. The Controller’s Office will then review the request and the account to which the travel will be charged. If the budget allows for the expense, the Controller’s Office will sign both copies and return one copy to the requesting department and forward the other copy to the Accounts Payable Coordinator. Once approved, the requesting department will proceed with a purchase order and voucher as required within the purchasing policy. It is the responsibility of the employee to retain all receipts during the time of travel. Receipts shall be itemized. Credit Card receipts showing the total of a purchase will not be accepted. 159 Page | 41 Upon return of the employee, a voucher may be used with receipts attached, to receive reimbursement of the expenses. Gratuities (up to 20%, pre-tax), taxes on meals and tax on gasoline for City vehicles will be refunded to the employee. If a private vehicle is used, mileage will be reimbursed at the current IRS rate. Credit Cards are issued by name to individual employees and generically to Departments and cannot be transferred to, assigned to, or used by anyone other than the designated employee. As the liability for the Credit Card resides with the City and not the cardholder, use for personal purchases is strictly prohibited. In addition, the Credit Card cannot be used for certain restricted items as indicated in the “Unauthorized Card Use” section of the Policy/Procedures manual. Fraudulent and/or misuse of the card is grounds for cancellation of Credit Card privileges and may lead to disciplinary action, up to and to include termination of employment. Any IT purchases must be approved in writing by the IT Director. The Department Head is responsible to closely audit all Credit Card transactions for the department. The Controller’s Office will perform periodic audits of Credit Card transactions. The Controller, as fiscal officer of the City, is the only position authorized to enter into a credit card agreement. The City Controller provides final approval to all Credit Card applications after the applicant signs the cardholder agreement form. A more detailed Credit Card Policy is distributed to cardholders at the time the card is given to the employee or Department and provides additional guidance on allowed and unallowed purchases. This policy shall be effective , and will be reviewed annually by the Controller’s Office for possible changes and amendments. All changes and/or amendments to the purchasing policy must be approved by Common Council. 160 CITY OF ITHACA 108 East Green Street, Ithaca, New York 14850-6590 Attorney's Office Shaniqua Lewis, Deputy City Clerk TO:Common Council COW Study Session FROM:Victor Kessler, City Attorney DATE:August 20, 2025 RE:Resolution to Authorize Execution of Easement over Tax Parcel ITEM #:3.3 MEMORANDUM a resolution to approve an access easement for NYSEG over City property in connection with the Breeze project on Lake street. ATTACHMENTS: 121-125 Lake NYSEG Easement Memo.pdf Resolution- NYSEG EASMENT121-125 Lake.pdf 161 M E M O R A N D U M Date: August 15, 2025 To: Common Council From: Attorney’s Oﬃce RE: 121-125 Lake Street Easement for NYSEG EXECUTIVE SUMMARY NYSEG is requesting an easement from the City in order to provide electric service to new development at 121- 125 Lake Street. The easement does not require the installation of any permanent facilities on City owned property. It does allow NYSEG the ability to install a new pole on adjoining privately owned property, and authorizes NYSEG to provide necessary maintenance for the pole and associated wires across a small piece of City owned property on Lake Street (designated with Tax Identiﬁcation No. 11.-3-1.21). BUDGET IMPLICATIONS & FUNDING Granting the easement will have no budgetary impact. NEXT STEPS If approved by Council, the City will execute the easement agreement, which will allow the development at 121-125 Lake Street to proceed. 162 18 Link Drive, Binghamton, NY 13904/Mailing address: P.O. Box 5224, Binghamton, NY 13902-5224/nyseg.com August 11, 2025 City of Ithaca Attn: Deb Mohlenhoff, City Manager 108 East Green Street Ithaca, NY 14850 Ref: Electric Service Request for Tax Parcel ID # 11.-3-1.22 121-125 Lake Street, City of Ithaca, Tompkins County Job # 10301008114 Dear Ms. Mohlenhoff, Please disregard previous correspondence you have received regarding the above referenced Job. Pursuant to your request, the enclosed easement(s) will replace the first one(s) you received. NYSEG has received a request from the City of Ithaca’s neighbor for electric service at the location referenced above. In order to accommodate this request, NYSEG needs the rights to install the facilities on the property frontage as depicted on the enclosed drawing. Please note that some tree trimming and/or cutting may be necessary. The enclosed easement(s) will need to be signed in the presence of a Notary Public and returned using the enclosed business reply envelope or below address. Please include a copy of the meeting minutes and/or resolution authorizing the execution of the easement(s). Note that if the Notary Public does not completely and accurately fill out the acknowledgement, the County will not accept the documents, and we will have to send them back to you for completion. Please see the reverse side for instructions on completion. REAL ESTATE AND LAND MANAGEMENT NYSEG ATTN: KATIE LEGG PO BOX 5224 BINGHAMTON, NY 13902-5224 If you have any questions or concerns, please contact NYSEG Real Estate and Land Management at 1-888-352-9110 ext. 106 and refer to the Job number above. Thank you for your attention in this matter. Sincerely, NYSEG - Real Estate and Land Management Enclosures 163 Instructions for Easement Packet Completion by Landowner Please use blue or black ink when signing the enclosed document(s). Make sure to sign the document(s) in the presence of a Notary Public. A notary acknowledgment is required for recording the easement with the county office. • Each landowner will sign on the L.S. line (“Legal Signature”) on the bottom right of the 1st page and add their printed name and mailing address beneath each signature. • Please do not write anything in the area labeled “IN PRESENCE OF:” Notes for the Notary: • On 2nd page, under the “Personal or Corporate Acknowledgement”, please have the notary fill out and stamp/seal the notary block. Be sure the notary’s signature and stamp are legible and within the designated area; the notary would not use the “Subscribing Witness Acknowledgement” area. If being notarized in a different state, please cross out “New York” and write appropriate state. Additional notes for properties owned by a company or other entity: • Please have the authorized representative(s) sign their name(s) on the “L.S.” line on the bottom right of the first page. List the title of the individual(s) in relation to the entity beneath the printed name(s). Returning the Documents: • Please return both pages of the easement agreement, as well as your black and white “Exhibit A” (if applicable) using the enclosed business reply envelope or below address. REAL ESTATE AND LAND MANAGEMENT NYSEG ATTN: KATIE LEGG PO BOX 5224 BINGHAMTON, NY 13902-5224 164 !D GF 29.-1-11 11.-3-11 28.-4-3 28.-4-7 29.-1-10 Lake Street 26-1 26 40' DRAWN BY/PLANNER: SUB / CKT: NYSEG NEW YORK STATE ELECTRIC & GAS CORP. JOB TITLE: DATE: REVISION:JOB #COUNTY: ROAD: TOWN: LINE NO:WORK ORDER # GF Pole Replacement !D New Pole New Line NYSEG Easement Area This exhibit is not an official survey plat.Private property lines were not surveyed by a professional land surveyor.All acreages and measurements should be considered approximate. EXHIBIT A I 11.-3-1.21 | CITY OF ITHACA 10301008114LAKE STREET801000650904 FOURTH STREET/784 TOMPKINSITHACA LW-COATES / TJH 8/8/2025 1 inch ~ 50 feet 94 11.-3-1.22 121-125 LAKE STREET, LLC 11.-3-1.21 CITY OF ITHACA 28.-3-5.2 ITHACA GUNHILL PROPERTY, LLC 165 EASEMENT THIS INSTRUMENT WITNESSETH THAT ________________________________________________________ _________________________________________________________________________________________________, hereinafter called the Grantor(s), being the owner(s) of or having an interest in land situate in the ______________ of ____________________________, County of _________________________, State of New York, fronting on the street or highway known as_______________________________________, bounded ___________________________________ by lands of ______________________________________________ and _____________________________________ by lands of __________________________________________________, for and in consideration of the sum of One and No/100 Dollars ($1.00), the receipt of which is hereby acknowledged, does hereby grant and release unto NEW YORK STATE ELECTRIC & GAS CORPORATION, a corporation organized under the laws of the State of New York, having an office at 18 Link Drive in the Town of Kirkwood, County of Broome, State of New York, hereinafter called the Grantee, its lessees, licensees, successors and assigns forever, a permanent easement and right of way, with the right, privilege and authority to construct, reconstruct, relocate, extend, operate, inspect, maintain, repair, replace, and at its pleasure, remove any poles or lines of poles, supporting structures, cables, crossarms, overhead and underground wires, guys, braces, communications facilities and other fixtures and appurtenances which the Grantee shall require now and from time to time for the transmission and/or distribution of electric current and/or for communication purposes, for public or private use, in, upon, over, under, and across said land and/or the highways abutting or running through said land. The easement and right of way hereby granted and released is _____________ feet in width throughout its extent, situate, lying and being as follows: _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ THE GRANTEE, its successors and assigns, are hereby expressly given and granted the right to assign this easement and right of way, or any part thereof, or interest therein, and the same shall be divisible among two or more owners, as to any right or rights created hereunder, so that each assignee or owner shall have the full rights and privileges herein granted, to be owned and enjoyed either in common or severally. TOGETHER with rights for free ingress and egress over the easement and right of way and other lands of the Grantor(s) for all of the above purposes and the right now and from time to time to trim, cut, burn, treat and/or remove by manual, mechanical and chemical means trees, brush, structures and other obstructions within said easement and right of way and such other trees adjacent to the right of way that, in the opinion of the Grantee, may interfere with the construction, operation and maintenance of its line or lines. PROVIDED, however, that any damage (other than for trimming, cutting, treating, burning and/or removing trees, brush, structures and other obstructions as above provided) to the property of the Grantor(s), caused by the Grantee in the exercise of its rights under this instrument shall be borne by the Grantee. RESERVING, however, to the Grantor(s) the rights to cultivate the ground between said poles, towers and supporting structures and beneath said wires and fixtures, and the right to cross and recross said easement and right of way provided that such use of said ground shall not interfere with, obstruct or endanger any rights granted as aforesaid and shall not disturb the grade of said ground as it now exists, and provided that no structure shall be erected, no trees shall be grown, cultivated or harvested, and no excavating, mining or blasting shall be undertaken within the limits of the easement and right of way without written consent of the Grantee. Grantor(s) in said use of said ground shall maintain a clearance of _____________ feet or more from Grantee's aerial wires with vehicles, machinery and equipment. This Instrument shall be binding on and inure to the benefit of the parties hereto and their respective heirs, executors, administrators, successors and assigns. IN WITNESS WHEREOF, the Grantor(s) ha ______hereunto set ____________________hand(s) and seal(s) this _____________________day of ____________________________________, ________________. IN PRESENCE OF: ____________________________________ ____________________________________ ______________________________________________________________________________________ RW-3, 02/00 By:_______________________________________(L.S.) Name:_________________________________________ Title:__________________________________________ Address:_______________________________________ _________________________________________ By:_______________________________________(L.S.) Name:_________________________________________ Title:__________________________________________ Address:_______________________________________ _________________________________________ - 10 - 166 New York State Electric & Gas Corp.-Records Management & Real Estate Services _______________________________________________ RWC ____________ EASEMENT Line ___________________________________ Auth._______________ Parcel No.__________ Area Cost Center No._____________________ Construction W.O. No. ____________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ TO NEW YORK STATE ELECTRIC & GAS CORPORATION Dated _________________________, _______ _______________________________________ STATE OF NEW YORK ) COUNTY OF ) ss: Recorded on the ____________________ day of _________________________, _____________ at ________________ o’clock ____________M. In Book ______________________ of Deeds at Page _____________________ and examined. _______________________________________ (Clerk) Consideration on this document Is less than $100.00. (Personal or Corporate Acknowledgment) State of New York ) County of _________________ ) ss: On the _____ day of _____________ in the year ________, before me, the undersigned, a Notary Public in and for said State, personally appeared __________________________________ ___________________________________________, personally known to me or proved to me on the basis of satisfactory evidence to be the individual(s) whose name(s) is (are) subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their capacity(ies), and that by his/her/their signature(s) on the instrument, the individual(s) or the person* upon behalf of which the individual(s) acted, executed the instrument. _______________________________________ Notary Public * “For the purposes of this section, the term “person” means any corporation, joint stock company, estate, general partnership (including any registered limited liability partnership or foreign limited liability partnership), limited liability company (including a professional service limited liability company), foreign limited liability company (including a foreign professional service limited liability company), joint venture, limited partnership, natural person, attorney in fact, real estate investment trust, business trust or other trust custodian, nominee or any other individual or entity in its own or any representative capacity.” (Personal or Corporate Acknowledgment) State of New York ) County of _________________ ) ss: On the _____ day of _____________ in the year ________, before me, the undersigned, a Notary Public in and for said State, personally appeared __________________________________ ___________________________________________, personally known to me or proved to me on the basis of satisfactory evidence to be the individual(s) whose name(s) is (are) subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their capacity(ies), and that by his/her/their signature(s) on the instrument, the individual(s) or the person* upon behalf of which the individual(s) acted, executed the instrument. _______________________________________ Notary Public * “For the purposes of this section, the term “person” means any corporation, joint stock company, estate, general partnership (including any registered limited liability partnership or foreign limited liability partnership), limited liability company (including a professional service limited liability company), foreign limited liability company (including a foreign professional service limited liability company), joint venture, limited partnership, natural person, attorney in fact, real estate investment trust, business trust or other trust custodian, nominee or any other individual or entity in its own or any representative capacity.” (Subscribing Witness Acknowledgment) State of New York ) County of _________________ ) ss: On the _______ day of ________________, _____ before me personally came _____________________ ___________________________________________, the subscribing witness to the foregoing instrument, with whom I am personally acquainted, who being by me duly sworn, did depose and say that __he reside(s) in __________________________________ in the ___________________________________ that __he knew ___________________________ _______________________________________ to be the individual__ described in and who executed the foregoing instrument; and that __he, said subscribing witness, was present and saw ____________________________ execute the same; and that _________________, said witness, at the same time, subscribed h____ name as a witness thereto. _______________________________________ Notary Public TAX MAP NUMBER Section _______ Block _______ Lot _______ RETURN TO PROPERTY MANAGEMENT RECORDS CENTER NEW YORK STATE ELECTRIC & GAS CORP. POST OFFICE BOX 5224 BINGHAMTON, NEW YORK 13902-5224 167 !D GF 29.-1-11 11.-3-11 28.-4-3 28.-4-7 29.-1-10 26-1 26 40' DRAWN BY/PLANNER: SUB / CKT: NYSEG NEW YORK STATE ELECTRIC & GAS CORP. JOB TITLE: DATE: REVISION: JOB # COUNTY: ROAD: TOWN: LINE NO:WORK ORDER # GF Pole Replacement !D New Pole New Line NYSEG Easement Area This exhibit is not an official survey plat. Private property lines were not surveyed by a professional land surveyor. All acreages and measurements should be considered approximate. EXHIBIT A I 11.-3-1.21 | CITY OF ITHACA 10301008114 LAKE STREET 801000650904 FOURTH STREET/784 TOMPKINS ITHACA LW-COATES / TJH 8/8/2025 1 inch ~ 50 feet 94 11.-3-1.22 11.-3-1.21 28.-3-5.2 168 Resolution to Authorize Execution of Easement over Tax Parcel ID # 11.-3-1.21 WHEREAS, the owners of 121-125 Lake Street are undertaking a development project involving new construction on their property, and WHEREAS, NYSEG requires the execution of an easement over City property located at tax parcel ID # 11.-3-1.21 for access to utility infrastructure in order to provide electrical service to the project, and WHEREAS, no permanent structures will be placed on City property; now, therefore, be it RESOLVED, that the City Manager, in consultation with the City Attorney, is hereby authorized to execute an easement in a form substantially similar to that attached hereto and any such further documents as may be necessary to effectuate the transfer of the easement. 169 CITY OF ITHACA 108 East Green Street, Ithaca, New York 14850-6590 Mayor's Office Shaniqua Lewis, Deputy City Clerk TO:Common Council COW Study Session FROM:Mayor Robert Cantelmo DATE:August 20, 2025 RE:Mayoral Advisory Groups on Legislative Policy ITEM #:3.4 MEMORANDUM 2025-2026 Mayoral Advisory Committees and Legislative Priorities ATTACHMENTS: Draft Leg Priorities.pdf Resolution- Leg Priorities MLAG-Res.pdf 170 Attachment A: Mayoral Advisory Groups on Legislative Policy Housing Kayla Matos, Ducson Nguyen, Tiffany Kumar, Clyde Lederman Vision Statement Ensure every Ithacan has access to safe, affordable, and dignified housing, while enabling smart, sustainable growth that strengthens neighborhoods and our local economy. Strategic Goals 1. Add 4,300 new housing units by 2030, including 1,600 deeply affordable units and 900 new for-sale units to support pathways to ownership to address demand, reduce upward pressure on prices, and enable population and workforce growth. 2. Reduce housing cost burden by 10% citywide, focusing on renters and low-to-moderate income households, through expanded affordability tools, tenant protection measures, and housing supply interventions. 3. End unsheltered homelessness through a Housing First approach and the development of permanent supportive housing, in partnership with County and nonprofit providers. Economic and Community Development Kayla Matos, Kris Haines-Sharp, Patrick Kuehl, Margaret Fabrizio Vision Statement Advance a resilient, inclusive, and innovative-driven local economy that reflects community values – one grounded in broad-based ownership, quality employment, cultural vitality, and equitable opportunity. This vision will be realized through strategic land use, investment in sustainable infrastructure, and vibrant commercial corridors. Strategic Goals 1. Double the City's GDP growth rate over five years through coordinated land use, infrastructure, and innovation investments. 2. Expand access to economic opportunity, especially for historically underrepresented and marginalized communities, through targeted workforce development, public-private partnerships, new business development support, code modernization and streamlining, and neighborhood-level investment. 3. Strengthen and diversify neighborhood commercial nodes and downtown through planning, capital investment, and small-scale manufacturing or green production zones. Public Works and Operations Ducson Nguyen, Kris Haines-Sharp, David Shapiro Vision Statement Deliver efficient, equitable, and climate-resilient public infrastructure and operations that enhance quality of life, support sustainable growth, and strengthen community trust between the community and local government. Through modernization and innovation, ensure that City services are responsive, future-ready, and inclusive of all residents. Strategic Goals 1. Reinvest in and maintain critical infrastructure systems—including streets, water, sewer, and stormwater—to meet current and anticipated future demand. Reduce deferred maintenance, enhance reliability, and ensure systems are adaptable to climate change and population growth. 2. Improve operational efficiency through targeted investments in personnel, training, fleet modernization, technology upgrades, and integrated data systems. Embed equity and 171 accountability into operational practices to ensure consistent, high-quality service and communication across all neighborhoods. 3. Coordinate infrastructure and capital planning with citywide sustainability, accessibility, and housing objectives. Strengthen interdepartmental collaboration, integrate community input, and use capital investments as tools to advance long-term priorities. Finance David Shapiro, Tiffany Kumar, Clyde Lederman Vision Statement Promote a stable, transparent, and forward-looking fiscal foundation that sustains core services, enables strategic investment, and ensures equitable resource allocation across the community. Strategic Goals 1. Maintain long-term structural balance and proactively pursue financial resilience while keeping annual tax levy increases within the State tax cap. 2. Expand non-property tax revenue through economic growth, external partnerships, and innovation in service delivery. 3. Improve transparency, equity, and performance in budgeting through participatory processes, performance metrics, and long-term financial planning, policies, and forecasting. Public Safety Phoebe Brown, Ducson Nguyen, Tiffany Kumar Vision Statement Advance a holistic, equitable, and community-centered public safety system that prioritizes prevention, trust-building, and well-coordinated emergency response. Strategic Goals 1. Expand and institutionalize unarmed and community-based crisis response as a complement to traditional policing. 2. Strengthen coordination and communication among police, fire, EMS, and mental health responders to ensure effective, equitable, and timely emergency responses. 3. Build trust and accountability through proactive engagement, transparency, and recruitment strategies that reflect the values and diversity of our community. Sustainability, Adaptability, and Resilience Kris Haines-Sharp, David Shapiro, Pierre Saint-Perez, Patrick Kuehl Vision Statement Build a just, climate-resilient, and regenerative future by embedding sustainability, adaptability, and resilience into all aspects of City planning, policy, and operations. Create systems that not only mitigate environmental harm but actively restore ecological health, protect vulnerable populations, and position the community to thrive amid a changing climate and evolving economic landscape. Strategic Goals 1. Advance emissions reductions across buildings, transportation, and infrastructure in alignment with the Ithaca Green New Deal, state climate targets, and global best practices. Leverage partnerships, policies, and investments to scale impact quickly and equitably. 2. Strengthen the community’s capacity to withstand and recover from climate-related shocks, including extreme weather, energy disruptions, and threats to food and water security. Prioritize support for vulnerable populations and neighborhoods most at risk. 172 3. Embed sustainability, adaptation, and equity into municipal budgeting, capital planning, procurement, land use, and departmental decision-making. Develop consistent frameworks and accountability tools to ensure climate goals are reflected in City operations and long- term strategies. Human Services and Quality of Life Kayla Matos, Phoebe Brown, Patrick Kuehl, Margaret Fabrizio Vision Statement Promote a healthy, inclusive, and vibrant community where every resident has equitable access to opportunities, services, and spaces that support physical, mental, and social well-being. Strategic Goals 1. Increase access to culturally competent mental health, addiction, and wellness resources through community-based initiatives, partnerships, and advocacy with Federal, State, and local governments. 2. Expand access to quality-of-life infrastructure, including parks, public spaces, and libraries, particularly for underserved neighborhoods, working families, retirees, and youth. 3. Strengthen neighborhood resilience and social connection through community-building, participatory programs, and investment in civic infrastructure. Intergovernmental Relations Pierre Saint-Perez, Margaret Fabrizio, Clyde Lederman Vision Statement Strengthen the City’s relationships with County, regional, state, and federal partners to improve service delivery, secure external funding, and advance shared priorities for the greater Ithaca community. Strategic Goals 1. Deepen alignment, communication, collaboration with elected leaders and administration officials across Tompkins County to support and coordinate service delivery, leverage shared infrastructure, and reduce duplication. 2. Position the City to effectively compete for state and federal funding by prioritizing grant readiness, strategic partnerships, and proactive advocacy. 3. Advance collaboration, shared identity, and operational efficiencies through strategic partnership with the Town of Ithaca, including existing and expanded shared services, coordinated planning, and long-term governance alignment to improve outcomes for all Ithacans. 173 2025-2026 Mayoral Advisory Committees and Legislative Priorities WHEREAS, the City of Ithaca faces complex and interrelated challenges in housing, community development, climate action, equity, infrastructure, and public services; and WHEREAS, effective response to these challenges requires a coordinated legislative agenda grounded in the City’s adopted goals, strategic plans, and long-term vision; WHEREAS, the Mayor, pursuant to Ithaca City Code, Chapter 4, has exercised his authority to establish advisory committees of Council to advise on the formulation citywide policy across eight (8) domains: 1. Housing; 2. Economic and Community Development; 3. Public Works and Operations; 4. Finance; 5. Public Safety; 6. Sustainability, Adaptability, and Resilience; 7. Human Services and Quality of Life; 8. Intergovernmental Relations; and WHEREAS, the Mayor has convened these advisory groups to provide structured input on proposed vision, develop strategic goals and implementation plans, foster collaborative problem- solving, and review legislative proposals, and WHEREAS, the Common Council values and supports efforts that enhance the legislative process through early, informed, and inclusive engagement, and WHEREAS, these advisory groups have proposed draft vision statements and strategic goals for the aforementioned policy domain areas and formally adopt them to inform the legislative and provide overarching guidance for the administrative workplan of the coming year; NOW, THEREFORE, BE IT RESOLVED, that the Common Council adopts the vision statements and strategic goals included in Attachment A: Mayoral Advisory Groups on Legislative Policy; and BE IT FURTHER RESOLVED, that these Advisory Groups shall operate in an advisory capacity to the Mayor, providing recommendations on legislative priorities, draft proposals, refinements on implementation plans, and amendments to existing laws; and BE IT FURTHER RESOLVED, that the Mayor, as the Chair of Council and the City’s chief policy officer, is hereby authorized and instructed to work with the administration to develop and bring forward draft proposals, amendments to existing laws, and policy briefings for consideration of the Common Council that reflects these adopted findings. 174 CITY OF ITHACA 108 East Green Street, Ithaca, New York 14850-6590 City Manager's Office Christine Ibert, TO:Common Council COW Study Session FROM:Deborah Mohlenhoff DATE:August 20, 2025 RE:City Manager's Monthly Reports ITEM #:4.1 MEMORANDUM Monthly Department Activity Report: June-July 2025 Update- City Staff & City Manager Work Plan 2025 ATTACHMENTS: 0806_CM Monthly Depts Report to CC.pdf 2025 CM July-Aug Workplan Update.pdf 175 M E M O R A N D U M Date: August 6, 2025 To: Common Council From: Deborah Mohlenhoﬀ, City Manager RE: Monthly Department Activity Report: June-July 2025 I am pleased to provide this monthly report to Council that will serve as an opportunity to highlight the work of our city departments in the past two months and give key updates on ongoing initiatives. The City’s Department Heads submit these items each month to the City Manager. City Attorney • The Attorney’s Oﬃce continues to provide legal support and advice to the Common Council, City Manager, and City departments. The grace period for obtaining an operating permit under the City’s Short-Term Rental Ordinance, City Code Chapter 325-27, expired on June 1, 2025. The Attorney’s Oﬃce has been working closely with the Planning & Development Division and the Building Division regarding enforcement of the ordinance against those who violate it. More information regarding the program can be found on the City’s website at https://www.cityoﬁthaca.org/770/Short-Term-Rentals. • In other news, the Attorney’s Oﬃce has been working closely with the Department of Public Information and Technology to shift the bulk of the City’s contracting processes online. We are additionally undertaking a review of contracting and procurement procedures and implementing changes as needed. Taken together, these eﬀorts will improve the speed and eﬃciency of City contracting, save countless hours of staﬀ time across the organization, and help ensure that the City’s expenditure of tax dollars on needed goods and services is on the most favorable terms possible. Finally, the Oﬃce is assisting with this year’s labor negotiations, which formally began in June. Public Information & Technology Events and Community Permits • With the summer season in full swing, we’ve seen a noticeable increase in requests to use the Commons and City Parks. Assembly permit applications are also on the rise. Additionally, managing SeeClickFix—our citizen reporting tool—has become a key focus as we continue to expand the range of reportable issues. 176 Information Technology • We’re pleased to announce that Jeﬀ Knight has been promoted to the role of Information Systems Endpoint Analyst. Despite the busy summer season, the volume of service requests and ongoing projects remains high. The team continues to demonstrate exceptional commitment to delivering top- tier internal support. Clerk's Oﬃce • This team continues to provide outstanding customer service, especially during July, which brings a seasonal increase in marriage applications and the processing of new annual residential parking permits. July 2025 Measures and Metrics Permit / Application Type Count Commons Use Permit 5 Dog License 62 Domestic Partnerships 5 License 21 Marriage One-Day Officiant License 7 Marriage Transcripts 22 Noise Ordinance Permit Application 9 10 13 Residential Parking Permit (RPP) 54 Special Event Permit Application - Phase 1 5 Special Event Permit Application - Phase 2 2 Grand Total 167 177 SeeClickFix Category Created in period Pothole 16 Dead Animal Removal 2 Streetlight 6 Pedestrian Crossing Signal 3 Tree Concern 2 Line of Sight Obstruction (non-exterior maintenance) 3 Traffic Signal 2 Missed Trash Pickup 2 Parking Garage Maintenance 1 Information Technology Count Help Desk Tickets Created 76 Tickets Closed 60 Ithaca Youth Bureau Youth Development • Big Brothers Big Sisters o Coordinator, Joe Gibson, conducted a Mental Health First Aid Course for City staﬀ including folks from PIT, DPW, and GIAC. o Match Support had their most well-attended match event in recent years with 20 matches coming together at Ringwood Raceway for go-karting. o Members of the BBBS Team attended the Big Brothers Big Sisters of America National Conference in Philadelphia from June 9-12 for four days of inspiration, connection, and learning with 2,000+ attendees from across the country. o BBBS is currently hiring a 22 Hour/Week Youth Program Leader to lead programs for youth currently on the match waitlist. • College and Career Discovery Program (CCDP) o The school year has wrapped up with Boynton, Dewitt, and LACS graduation on 6/23 and 6/24. o 10 CCDP participants will be participating in the YES Summer Jobs Program. 178 o Planning is underway for the program's annual summer exploration trip in partnership with PSMP. This year participants will be traveling to Cleveland, Ohio. Highlights include visits to the Great Lakes Science Center and Steamship William G. Mather, Playhouse Square for a performance of the musical Beetlejuice, Karamu House (the nation's oldest producing Black Theatre), Cozad Bates House Interpretive Center, Edgewater Park, and the Museum of Illusions. This annual trip is made possible through the generous support of community donors. • Outings o After-school programs ran through the end of June. Staﬀ were very busy running seven weekly programs, which is about 90 young people per week! o Activities included group games, tree climbing, local forest hikes, biking, and end-of-program barbeques. o Summer programs began on July 7th. • Paul Schreurs Memorial Program (PSMP) o PSMP celebrated several students graduating from high school and some moving up to high school with a special dinner at Northstar House. o All of the seniors in the program graduated on time and in good standing. They are all excited about their next steps in life. We will miss them! o Staﬀ are in the process of creating a new, merged program with the CCDP staﬀ, and it's going really well. There is a shared excitement about all of the possibilities and new programming opportunities. Part of the process includes incorporating participant needs and priorities, which are being collected through a survey. o We will be getting together this summer with our rising seniors, and 9th graders will be joining CCDP this summer on their trip and summer activities. • Youth Employment Service (YES) o 168 teens have been matched to worksites through the Summer Jobs Program. o We have 66 active worksite partners this summer. o The YES Team hosted six Orientation and Payroll Sessions during the month of June and will facilitate one more in the ﬁrst week of July. These two-hour sessions are facilitated by the full YES roster and seasonal team and go over general program expectations, teach teens how to ﬁll out their time sheets, and help them ﬁll out their tax paperwork step by step. 136 teens are fully on payroll at the time of this report. Some teens are beginning training shifts this week. The oﬃcial start date for the Summer Jobs Program is July 7th. o From June 27th - July 3rd, YES hosted daily Kickstart Trainings and Worksite Supervisor Orientations. The Kickstart training is a two-hour paid activity that covers City Policies, NYS Sexual Harassment Training, and Financial Literacy. o In addition to funding from the City of Ithaca, the YES Summer Jobs Program receives $223,000 from the Tompkins County Workforce Development Board, $79,870 from the Joint Youth Commission through the Town of Ithaca, and $10,476 from the Danby Youth Commission to fund teen work placements. 179 Recreation • The very wet spring created many challenges for ﬁeld youth for spring sports programs. Staﬀ worked diligently to avoid program cancellations as much as possible. • Summer Camp programs are oﬀ to a great start! Demand remains high for our programs, and the staﬀ team has worked hard to place as many youth as possible. • Thanks to the eﬀorts of Recreation Specialist, Amir Ali, the department received a 2025 USTA Eastern Growing Tennis Together Grant Award of $700.00 • We welcomed Stephanie Sroka as our new Administrative Assistant for the Recreation Division. She is joining us during our busiest season and has jumped in with both feet! We are glad to have her join us! • The Recreation Support Services Camp Inclusion Program has brought on 18 seasonal Inclusion Specialists (our largest group ever) to support the participation of 21 youth with disabilities in our Cass and Stewart Park Day Camp programs. • The Recreation Support Services Summer Recreation Program is completely ﬁlled with waiting lists. We are oﬀering a variety of programs throughout July including workout programs, arts and crafts, hiking, swimming, bowling, bingo, park visits, and ﬁeld trips to places like the Syracuse Zoo, Syracuse Mets Baseball, and Mountain Speedway. • Ithaca Bike Rental is open for their summer hours, which are Thursday - Monday: 11am – 7pm. Make a reservation here: https://www.ithacabikerental.com/reservations.html. Parks • The Cass Park Pool is open for the summer! Public swim hours are Monday-Friday 1-7pm and Saturday/Sunday 12:30-6pm. Pool information can be found at: https://www.casspark.org/pool.html. • Summer Roller Skating at the Cass Park Rink is in full swing. For dates, times, and other information visit: https://www.casspark.org/roller-skate.html. • City staﬀ are working on poison ivy mitigation at high-traﬃc areas at the parks, particularly Cass Park. Department-Wide • TetraTech is assessing the Youth Bureau building and will start meeting with stakeholders to develop conceptual plans for future renovation/expansion. • The department is planning to pursue funding for the project through the NY-BRICKS grant program. • Construction of the new participant/visitor parking lot for the Youth Bureau is complete. We are now working to install new accessible doors at the main entrance to complete the full scope of the project. • The ﬁre alarm replacement project is nearly complete. Required testing/commissioning will be completed the week of July 7th. • The department’s three leased new 12-passenger vans have all been delivered. • We still need to secure our 4th van, which Enterprise was not able to procure for us because of the required conﬁguration. • We are reviewing applications for a full-time Executive Assistant. We hope to have someone in place by the end of July. Police Department • We hired two new lateral transfers, Oﬃcer Ron Lower and Oﬃcer Abdullah Hassan. • Our three new oﬃcers in the Syracuse Police Academy continue to progress. 180 • The application portal to take the next Civil Service exam closed on July 31st for the September 20th test. • We have increased public awareness of Ordinances on Commons with media, increased enforcement, and partnership with community outreach. • IPD received a 2025-2026 GIVE Grant award of $150,485. • We now have an MOU with Second Wind Cottage to fund a Violence Interrupter through the GIVE grant. • We also created an MOU with the Learning Web to promote the safety, well-being, and rights of youth participating in the Transitional Housing Program. • IPD is hosting National Night Out at the police station on August 5th from 4:00pm to 7:00pm. • On August 2nd, IPD staﬀ participated in an annual softball competition with Ithaca College, Cornell University, and Tompkins County Sheriﬀ to raise awareness for suicide prevention. Fire Department July 2025 • IFD’s four new ﬁreﬁghters continue to do IFD-speciﬁc training. We anticipate they will be ready to transfer onto shift in August. • Assistant Chief Brian Weinstein retired after 31 years of service to the Ithaca community. Interviews for Assistant Chief and Lieutenant promotions occured in July. • FF Shawn Lauper has been activated by the US Army for a one-year overseas deployment. • Two new ﬁreﬁghters started on July 7, 2025. The 15-Week Fire Academy started on July 21, 2025. • The IFD promotional examinations for Fire Lieutenant occurred on June 28, 2025. • The hose-uncoupling ceremony for the new East Hill Fire Station took place on June 25, 2025. Punch list items are being completed. We are waiting for Spectrum to install ﬁber optics in the building to complete several IT-based projects. We anticipate the ﬁnal move from the current station by the end of July. • IFD’s annual hydrant maintenance continues across the district. • IFD members attended a swift water rescue class at the NYS Preparedness Center in Oriskany, NY. • IFD submitted a FEMA SAFER Grant for $1.8 million to supplement funding for six Fireﬁghters for three years. Human Resources • Staﬀ held a Flagging/Workzone Safety training with Forestry/W&S folks. • Staﬀ completed CPR/AED/First Aid Training as a pilot program with (6) Sr. Staﬀers, in hopes of oﬀering it Citywide in 2025-2026 down season. • Staﬀ completed a second CPR/AED/First Aid Training for the folks (FT/Seasonal), including golfers, at the Pro Shop/Newman. • Staﬀ are coordinating Chainsaw Safety Training for Forestry. • There will be Mobile Elevating Work Platform (MEWP) Certiﬁcation for Boom, Scissor and Other Aerial Lifts for multiple departments at S&F/Water Div. 181 • We oﬀered an Ergonomics Health & Safety Training, citywide. • We are preparing workers' compensation information packets and delivering them to each department to hand out to anyone with a WC claim, as well as to orientation attendees. • HR staﬀ welcomed seven newly hired City employees and completed their orientation in July. Public Works Engineering • Detailed design is now underway for Stewart Ave bridge over Fall Creek (deck replacement). Bridge closure scheduled for 2026. • Design is on-going for N Cayuga St bridge over Fall Creek (full replacement) • Design continues for Black Diamond Trail Connector (trail extension to the Town of Ithaca’s Gateway Trail), including access to the Kirby Edmonds bridge over Rt 13 and Buttermilk Falls State Park. Mostly working through permitting and environmental review (including Inlet Rd railroad crossing). Mitigation plan established for a rare and endangered grass (in NYS) called Satin Brome. Working toward 2026 construction. • Cass Park pavilion and bathroom building replacements were bid and came in way over budget. We are retooling and strategizing on how to redesign and rebid in order to get better pricing. • Safe Streets and Roads for All project (www.safestreetstompkins.com). Plan adopted and we are now strategizing on implementation. • Working on two projects with the Youth Bureau – a construction project to upgrade the ﬁre alarm system and a planning/scoping project to assess current building condition and to consider renovations and possible expansion to better accommodate programming. • Route 13/Cayuga Waterfront Revitalization project, BUILD grant www.route13ithaca.com • Currently lining up Design approval. Grant application submitted for ﬁnal engineering and construction. • Sidewalk 2025 construction contract about half complete. Work to be completed in Sept or early October. • Construction of new parking lot for Youth Bureau building is substantially complete. • The Ithaca Tompkins County Transportation Council’s (ITCTC) Transportation Improvement Plan (TIP) has been adopted. Engineering submitted 6 projects and led the eﬀort on behalf of the City. The TIP programs approximately $18.5M in federal funds over 5 years to help maintain the City’s bridge and street infrastructure. • Continued coordination with NYSDOT for their Rt 13 repaving & Signals project. Starting this fall and extending through summer 2026 NYSDOT’s contractor will be repaving Rt 13 from Old Elmira Rd to the north City line and replacing traﬃc signals along the corridor. All sidewalks (including Meadow & Fulton Streets) will be brought up to accessibility guidelines. Three oﬀ-corridor new traﬃc signals are also included: Seneca Street at Geneva Street, Seneca Street at Plain Street and Green Street at Plain St (currently a ﬂashing warning signal related to Central Fire Station). 182 Planning and Economic Development • Grants & Funding: The Grant Administrator and Deputy Director for Economic Development are working with UrbanCore LLC to develop the NYS Main St grant application due at the end of July. • Zoning Rewrite Update: Staﬀ will release a Request for Proposals (RFP) in md-August to assist with preparation of the new zoning code. The project will include a Zoning Advisory Committee, and staﬀ will be seeking interested members later in July. • The City, in collaboration with the Town of Ithaca and Tompkins County Planning & Sustainability, is hosting a presentation on Flood Insurance and the New FEMA Maps on July 15th at Town Hall. We will be asking Council members to help us get the word out. More information to come. • STR Implementation: 36 operating permits have been issued. Full enforcement started on June 1, 2025. • In collaboration with DIA and other partners, we are piloting ways to improve safety for pedestrians on the Commons and reduce the risk of pedestrian – bike conﬂicts. We’ll be testing out planter layouts at the end of Home Dairy Alley paired with signage and public service-type announcements. We’ll be soliciting feedback and making sure all layouts are ADA compliant. • The City has oﬃcially opened the Call for Projects for New York State's Downtown Revitalization Initiative (DRI) Application. We encourage you to send out this information to potential organizations, businesses, and entities planning capital investments within or adjacent to the designated DRI boundary. Please direct any questions or proposals to Emma Recckio (erecckio@cityoﬁthaca.org) and Thomas Knipe (tknipe@cityoﬁthaca.org). • City Fleet Electriﬁcation - The Building Division has received (3) new EV’s to modernize our ﬂeet! We have turned in (4) fossil-fuel vehicles and await more EV’s in the future. • The Building Division issued 71 building permits in the ﬁrst six months of 2025 for installation of heat pumps. 19 of the 71 permits were for stand-alone heat pump installations; the remainder were for heat pump installations that were part of larger construction projects. GIAC • Summer Camp has begun! We are at full capacity with 150 campers and 64 staﬀ, including 34 teenage employees through our partnership with YES, Workforce, and YAP, and 12 counselors-in-training. • Alex Haley Municipal Pool is open and busy but needs constant repairs. It is time for a new pool. 18 additional staﬀ were hired for the pool. • Summer youth and adult basketball leagues are underway ﬁve nights a week with 19 youth/teen teams with 10-12 members each, and 7 adult teams with 10 members each. It has been great having the GRC indoor space for games on the many overly hot days we have had. GRC Travel Basketball - CONGRATS! • 8th and 9th grade teams traveled to Orlando at the beginning of July for the World Championships. 350 teams from around the world participated. Eighth grade made it to the elite 8 round, and 9th grade steamrolled over the competition and brought home to Ithaca the AAU World Championship Trophy. We were the only NY team left standing. Kudos to Coach Jordanny Marte-Cuevas (8th grade) and Coaches Rahmel Mack and Tony Love (9th grade) 183 CITY STAFF & CITY MANAGER WORK PLAN 2025 Leadership Team Workplan *Highlighted Rows have updated information from last month. *Green Rows have been completed. Project Name Staff Lead Project Summary/Goals Council's Role Systems of Government Updates/Notes Upgrade Public Communication Dominick R. modernizing communication methods, expanding outreach/building audiences, and improving access to city information. Comms & Public Info practices •Launched three community feedback surveys for the public (planters for bike safety, participatory budgeting, and DRI) •Increased capacity and volume of press releases to increase outward communication to the public and gain traction on issues in the media service delivery, share resources, and address regional challenges Hub accessibility, transparency, and ease of navigation.CivicPlus continuity, knowledge transfer, and workforce sustainability. term investment, maintenance, and space utilization. to improve efficiency and service delivery. The items in this section were identified as citywide priorities from the City's leadership team staff retreat held on January 13, 2025. The City Manager's report will provide continuous updates on these items monthly. They are listed here in the priority order ranked by the staff. We will continue to work on identifying project details and staff leads as the projects move forward. We are structuring our work around the 9 Systems of Government used in the City Manager's 100 Day Plan last January. The 'Council's Role' column will be completed when the item reaches the level of input or approval from Council. 184 Credit Card Policies Wendy C./Alan K.Review and update credit card usage policies to enhance oversight, accountability, and financial controls; determine appropriate fee structure for departments that accept credit cards. stability, aligns with best practices, and ensures sustainable engagement, community services, and inclusive programming.the working group on encampment policy wide response plans, interagency coordination, and staff training. alternative funding sources to ease financial burdens on residents.reductions wherever possible programs, and decision-making processes; update the City's consistency, clarity, and compliance across city operations; develop an annual review process; ensure easy access to the policies by all staff. working on the development of an online site for storage of all citywide policies satisfaction, and foster a positive organizational culture.on September 19 elected officials to enhance governance and policy implementation.Heads meeting and preparing a document that will streamline how Council can interact with different departments through ride- alongs or facility tours streamline communication, and improve access to policies and 185 City Manager Work Plan - Additional Items Project Name Staff Lead Project Summary/Goals Council's Role Systems of Government Updates/Notes Parking Working Group increase enforcement, and maximize revenues. Budget & Finance Encampment Working Group Dominick R. that clarify the city's role in addressing homelessness and encampments in the City with a focus on public safety, housing Continuous Improvement CJC and RPS Dominick R. Integrate Reimagining Public Safety initiatives to advance police reform, determine alternative response methods, and increase Diversity & Equity DRI Tom K. projects to enhance economic development and urban vibrancy. (Pending successful award announcement.) Budget & Finance UPDATE: Planning to submit for next year is underway. Food Trucks Scott R. balance business opportunities with community needs. Customer Service Financial Audits inc. NYS Wendy C. requirements through comprehensive audits and fiscal oversight; Identify barriers to completion of audits; bring the City up to current Budget & Finance at Aug. 6 meeting •2022 audit underway with new firm, Bonadio Fleet Leasing Analysis Rebecca E. vehicle fleet for municipal operations. Budget & Finance the leasing program COMPLETED PIT Re-Org Public Information & Technology department to streamline services related to positions brought council at upcoming meeting in August infrastructure fee to establish financial sustainability and ensure transparency and affordability for residents. brought forward. Customer Service The items in this section are identified as additional priorities for the City Manager's workplan. The City Manager's report will provide continuous updates on these items monthly. This will also serve as the submission of required annual goals to the Common Council by February 15. These are not in priority order. 186 Contract negotiations Deb M.Lead negotiations for key municipal contracts, balancing fiscal responsibility with employee and service provider needs.as an observer to negotiations; council will vote on contracts once ratified by the bargaining unit. result in agreements that can be prepared to be ratified by the respective bargaining units so that we will have final numbers to work with for the 2026 budget Cannabis Enforcement Victor K.Develop local regulations related to legal cannabis sales, ensuring of licensed dispensaries. Vote on legislative changes brought forward. Governance •City Attorney meeting with IPD to coordinate enforcement efforts ARPA Final Reporting Wendy C.Budget & Finance COMPLETED Controller Search Deb M.Mgmt. & Leadership DPW Superintendent Search Deb M.Mgmt. & Leadership FEMA Flood Maps Mike T./Lisa N. and policy changes to mitigate flood risks; develop programs to assist Customer Service resources for homeowners around insurance City Hall Annex Alan K. the lease of offices on Cayuga St. Personnel Budget & Finance Develop and oversee a transparent, strategic budget process that aligns financial planning with city priorities. •Will be holding OpenGov training session for Council Aug. 13 and Town-City Fire Contract Deb M.Budget & Finance Odd-Even Mark V.Customer Service NO UPDATES Busking Scott R.Customer Service NO UPDATES Towing Policy Dominick R. efficient vehicle removal practices; explore aligning and transferring towing responsibilities to the County. Customer Service 187 CITY OF ITHACA 108 East Green Street, Ithaca, New York 14850-6590 Controller's Office Christine Ibert, TO:Common Council COW Study Session FROM:Deputy City Controller, Wendy Cole DATE:August 20, 2025 RE:Controller's Monthly Report- August 2025 ITEM #:4.2 MEMORANDUM ATTACHMENTS: August 2025 Controller report.pdf 188 City of Ithaca – August Controller’s Report Prepared by: Wendy Cole, Deputy Controller Budget Development - Budget work is underway using the new OpenGov software. - Departments are actively submitting updated figures. - New Debt software being utilized this season cutting down on outdated spreadsheet calculation method Finance Department Highlights - 2021 Audit: Completed. - 2022 Audit: In progress. - Staffing: A temporary staff accountant has been hired to assist with workload and prepare for an upcoming retirement at the end of September. Debt Management - Completed the summer borrowing round, consisting solely of Bond Anticipation Notes (BANs). - Paid off one pre-COVID BAN totaling $84,560, opting not to bond. - This decision resulted in an estimated $30,000 savings in financing charges over the life of the bond. - Next round of debt payments is due August 15, 2025. Labor & Staffing – Year to Date Category % of Budget Used Notes Full-Time Staff 44.7% On track Seasonal Staff 73.71% On target due to summer hiring, including Y.E.S. 189