0108-0196 RFP.pdf

QUINEBAUG RIVER TRAIL

REQUEST FOR PROPOSALS (RFP)

INSTRUCTIONS FOR PROPOSERS

SEPTEMBER 9, 2026 PLAINFIELD, CONNECTICUT

DESIGN-BUILD PROCUREMENT

STATE PROJECT NO. 0108-0196

Connecticut Department of Transportation September 9, 2026

Request for Proposals (RFP) Instructions for Proposers

Project No. 0108-0196 1

TABLE OF CONTENTS

GLOSSARY 4

SECTION 1 – PROJECT OVERVIEW AND PROJECT GOALS 5

Section 1.1 Project Overview 5

Section 1.2 Project Goals 5

SECTION 2 – REQUEST FOR PROPOSAL AND CLARIFICATIONS 7

Section 2.1 Request for Proposal (RFP) to Proposers, Examination of Site, and Requests for Clarifications of

RFP 7

Section 2.2 Contact Information for Confidential Communications during the Procurement Process 8

SECTION 3 – DESIGN-BUILD PROJECT AND PROCESS OVERVIEW 9

Section 3.1 General Description of the Design-Build Contracting Process 9

Section 3.2 Summary of the Design-Build Proposal Process 9

Section 3.3 Prequalification Requirements 11

Section 3.4 Disadvantaged Business Enterprise (DBE) Set-Aside 12

Section 3.5 Insurance Requirements 13

Section 3.6 State Campaign Contribution Solicitation Limitations 13

Section 3.7 Affirmative Action, Corporate Registration 13

Section 3.8 OPM Forms 14

Section 3.9 Prevailing Wage Rates 14

Section 3.10 Selection Process 14

Section 3.11 DOT Committees 14

Section 3.12 Pre-Proposal Briefing 14

Section 3.13 Proposed Procurement Schedule 15

Section 3.14 Reference Documents and Standards Applicable to Design of the Project 15

Section 3.15 CTDOT's Rights Regarding Content of the RFP, Administration of the Procurement process, and

Award of the Contract 15

Section 3.16 Property of CTDOT 16

Section 3.17 Conflict of Interest and Unfair Competitive Advantage 16

SECTION 4 – BASE TECHNICAL CONCEPT 20

Section 4.1 General Description of Base Technical Concept 20

Section 4.2 Confidentiality of ATCs 20

Section 4.3 Pre-determined ATC Conditions 20

Section 4.4 Submission of Potential ATCs 20

Section 4.5 Potential ATC Meeting 20

Section 4.6 Semi-Final ATC Meeting 20

Section 4.7 ATC Meeting Guidelines 20

Section 4.8 Final ATC Submissions 20

Section 4.9 Final Determinations Regarding Proposed ATCs 20

Section 4.10 Incorporation of Approved ATCs into the Proposer's Technical Proposal 20

SECTION 5 – SUBMISSION AND TREATMENT OF PROPOSALS (TRANSMITTAL LETTER,

TECHNICAL AND PRICE PROPOSALS) 21

Section 5.1 General Format of Proposals 21

Section 5.2 Time, Place, and Method of Proposal Submissions 22

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Section 5.3 Confidentiality of Proposals; Legal Disclosure Requirements 23

Section 5.4 Compensation (Stipends) for Proposal Preparation 23

Section 5.5 Withdrawal of Proposals 24

Section 5.6 Transmittal Letter Contents 24

SECTION 6 – FORM AND CONTENT OF TECHNICAL PROPOSALS 25

Section 6.1 Technical Proposal Contents 25

Section 6.2 Physical Format of Technical Proposal 25

Section 6.3 Executive Summary 25

Section 6.4 Qualifications 26

Section 6.5 Technical Approach 30

Section 6.6 Preliminary Project Schedule 31

Section 6.7 Project Management Overview 33

Section 6.8 Conflict of Interest and Unfair Competitive Advantage Certification 35

SECTION 7 – FORM AND CONTENT OF PRICE PROPOSALS 36

Section 7.1 Forms that Must Accompany the Price Proposal 36

Section 7.2 Certificate of Authority 36

Section 7.3 Conflict of Interest and Unfair Competitive Advantage Certification 36

Section 7.4 Bid Bond 36

Section 7.5 Prevailing Wage Rates 36

Section 7.6 Payment Schedule 36

Section 7.7 Vacant 37

Section 7.8 DBE Letter of Intent 37

Section 7.9 Price Proposal Form Contents 37

SECTION 8 - SELECTION PROCESS AND EVALUATION CRITERIA 40

Section 8.1 Weighted Criteria Algorithm 40

Section 8.2 Submission of Proposals to the Selection Panel 40

Section 8.3 Vacant 40

Section 8.4 Numerical Scoring of the Technical Proposals by Designated Categories 41

Section 8.5 Vacant 42

Section 8.6 Oral Presentations 42

Section 8.7 Selection Criteria 42

Section 8.8 Determination of Overall Technical Score 42

Section 8.9 Price Proposal Opening 43

Section 8.10 Best and Final Offer 43

Section 8.11 Review Meeting with Unsuccessful Proposers 44

SECTION 9 – PRE AND POST SELECTION REQUIREMENTS 45

Section 9.1 Schedule of Submissions 45

Section 9.2 Post-Award Project Schedule Requirements: 45

Section 9.3 Review of Price Proposals and Award of Contracts 45

Section 9.4 Rules for Award of Contracts if the Aggregate Amounts of the Bids for Which a Given Proposer

Is the Apparent Best Value Selection on a Given Day Would Place That Proposer over Its Bidding Capacity 46

Section 9.5 Non-Collusion Affidavits 46

Section 9.6 Statement of Work under Contract 47

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Section 9.7 Bonding 47

Section 9.8 Rejection of Proposals or Proposers 48

Section 9.9 OPM Form 1 Campaign Contribution Certification & OPM Form 2 Consulting Agreement

Representation 50

Section 9.10 (RESERVED) 50

Section 9.11 State Campaign Contribution Solicitation Limitations 50

SECTION 10 – ESCROWED PROPOSAL DOCUMENTS 51

Section 10.1 Purpose and Scope of Escrowed Proposal Documents 51

Section 10.2 Format and Content of Escrowed Proposal Documents 51

Section 10.3 Submission by Proposer of Proposal Documents for Escrow 52

Section 10.4 Confidentiality of Escrowed Proposal Documents 52

Section 10.5 Payment of Costs for Gathering and Preparation of Proposal Documents for Escrow 52

Section 10.6 Period for Which Documents Will Remain in Escrow 53

Section 10.7 Restrictions on Examination and Copying of Escrowed Proposal Documents 53

Section 10.8 Termination of Escrow and Final Disposition of Escrowed Proposal Documents 53

SECTION 11 – REQUIREMENTS FOR EXECUTION, WITHDRAWAL OR PROTEST OF THE

CONTRACT 55

Section 11.1 Payment and Performance Bonds 55

Section 11.2 Failure to Execute Contract 55

Section 11.3 Withdrawals of Contracts or Projects 55

Section 11.4 Submission and Review of Complaints Regarding Bidding or Awards 56

APPENDIX A.00: SUBMISSION FORMS 58

APPENDIX B.00: Project Scope Codes 59

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GLOSSARY

For defined terms, see the Contract General Provisions.

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SECTION 1 – PROJECT OVERVIEW AND PROJECT GOALS

Section 1.1 Project Overview

This project is located in the Town of Plainfield and proposes to design, permit, and construct a 1-mile long, 10-ft wide segment of multi-use trail intended to connect Trout Hatchery Road to South Walnut Street.

The trail will begin at an existing pull-off area and continue for approximately 0.3 miles along Trout Hatchery Road, then utilize an abandoned trolley corridor through a wooded area for approximately 0.7 miles, terminating at South Walnut Street. Completion of this segment of proposed muti-use trail will improve recreational opportunities and enhance non-motorized mobility and quality of life for both local and regional residents.

The scope of Work under this project will be as outlined below and will require close coordination with the property owner, Connecticut Department of Energy and Environmental Protection (CTDEEP). Major project elements include, but are not limited to the Final Design, construction, and related Work for the following:

• Construction of multi-use trail with a granular pavement surface

• Drainage and cross culvert investigation and associated improvements

• Installation of signage

• Environmental and water resources permitting

• Contractor Quality Control

Drainage, Cross Culvert Investigation and Associated Improvements:

The BTC will require the Contractor to clean, inspect, evaluate and produce a drainage report for all existing storm drainage pipes and related structures within the project limits in accordance with the criteria of the Contract Technical Provisions.

Environmental and Water Resources Permitting:

CTDOT is in the process of completing a Categorical Exclusion determination for this Project. It is anticipated that conditional approval to proceed with Final Design will be issued by FHWA prior to award of the Contract. A conditional approval to proceed with construction issued by FHWA will be required prior to the start of any construction. Any environmental commitments resulting from the NEPA process will be added to the project by addendum or change order as required.

The Contractor shall develop all materials necessary for the required registration(s) under the January

01, 2026, CTDEEP General Permit for the Discharge of Stormwater and Dewatering Wastewater from Construction Activities prior to the initiation of ground disturbing activities. A CTDEEP Land & Water Resources Division Inland Wetland Permit for Water Resource Construction Activities may be required for the Project if temporary and/or permanent impacts to regulated resources cannot be avoided. If the Contractor’s Final Design proposes work that does not adhere to the applicable requirements of the Contract Technical Provisions, the Contractor shall immediately contact the CTDOT regarding any necessary additional permitting and/or coordination that shall be required. All Work related to the preparation of any permits outside of those identified in this Section shall be the responsibility of the Contractor.

Section 1.2 Project Goals

CTDOT has developed the following goals for this Program. The Proposer should consider these goals when formulating its team and preparing their Proposal.

Project No. 0108-0196 6

• Avoid/minimize impacts to regulated areas.

• Avoid/minimize impacts to natural resources both during construction and in the final condition.

• Completion of a project that ensures end user safety meets current CTDOT standards and follows CTDOT, federal and East Coast Greenway guidelines.

• Ensure effective coordination with the property owner (CTDEEP).

• Ensure effective coordination with the neighboring community.

• Proactively identify and manage risks.

• Implement a Design and Construction Quality Control program that reduces the excessive reliance on CTDOT for oversight and that avoids non-compliance issues, rework, and delays.

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SECTION 2 – REQUEST FOR PROPOSAL AND CLARIFICATIONS

Section 2.1 Request for Proposal (RFP) to Proposers, Examination of Site, and Requests for Clarifications of RFP

CTDOT has provided an electronic copy of the Request for Proposal (RFP) and Contract Provisions.

Proposers shall be responsible for diligently examining the RFP and Contract Provisions, including any addenda issued by CTDOT in connection with it, and for informing themselves about any conditions that may affect the Proposer's creation of its Technical Proposal, or Price Proposal, or its performance of Contract obligations (if it should obtain the Contract). CTDOT shall not be liable for any consequences of a Proposer's failing to fulfill these responsibilities.

The Proposer is required to examine carefully the Project Site (the “Site”), the RFP, the Contract

General Provisions, the Contract Technical Provisions, the proposal form, plans, BTC, special provisions, specifications, supplemental specifications, addenda, and other contract documents for the Project, as well as any permits or permit applications that are likely to affect or be necessary for the Contract work. The Contractor, prior to submitting a proposal, as a Proposer must judge for itself and satisfy itself as to the conditions to be encountered; the character, quality and quantities of the work to be performed; the materials to be furnished; and any other general requirements of the Project.

In doing so, Proposers are encouraged to visit the Site in order to ascertain by inspection any conditions of the Site or adjacent properties that may be pertinent to the Project, such as the location, accessibility, traffic conditions, and general character of the Site, the nature of any ongoing activities at or adjacent to the Site, the character and condition of existing structures or other objects within or adjacent to the Site, and the natural conditions in the area of the Site. No information about the Project itself, however, may be sought from CTDEEP during such Site visits. Should a Proposer decide to visit the Site, CTDEEP at the Quinebaug Valley Trout Hatchery (Hatchery) and CTDOT Alternative Contracting Section shall be notified at least 48 hours in advance at the following contacts:

• Quinebaug Valley Trout Hatchery: Bryan Decker at (860) 564-7542 or

Bryan.Decker@ct.gov

• CTDOT: CTDOT.Design.Build@ct.gov.

CTDOT reserves the right to revise the RFP or the Contract Provisions at any time before the Proposal deadline by providing copies of the Addenda to the Proposers. The attached Contract General Provisions reflect CTDOT's current requirements for the Project and shall be used by Proposers in preparing their Proposals and are subject to change in CTDOT's discretion. If any Addendum significantly affects the requirements of the Proposal or Project, as determined by CTDOT, CTDOT may adjust the Procurement process or schedule as it deems appropriate. If CTDOT makes such a schedule adjustment, it will announce it in an Addendum.

Proposers are also responsible for asking CTDOT as soon as possible for any clarification or interpretation that the Proposer needs regarding any material discrepancy, deficiency, ambiguity, error or omission that the Proposer thinks is contained in the RFP, or regarding any provision that the Proposer does not understand.

The Proposer must submit non-confidential Request for Information (RFIs), via the Bid Express® service at www.bidexpress.com. If the Proposer deems an RFI to be confidential, they shall submit the question in accordance with Section 2.2 of this RFP. Questions and responses will only be published on Bid Express® if CTDOT determines the question is non-confidential. Confidential question and answers will be transmitted in accordance with Section 2.2 of this RFP. Confidential and non-confidential RFIs must be submitted during the Proposal preparation period, up to the “Last Date to Submit Questions on the RFP” mailto:Bryan.Decker@ct.gov mailto:CTDOT.Design.Build@ct.gov mailto:Richard.Prescott@ct.gov http://www.bidexpress.com/

Project No. 0108-0196 8 in accordance with Section 3.13. CTDOT cannot ensure a response to any such inquiry that it receives.

CTDOT at its discretion may not accept or respond to telephone inquiries or requests regarding such matters.

If CTDOT determines that a requested interpretation or clarification requires a change in the RFP or

Contract Provisions, CTDOT will prepare and issue an addendum (Addendum) providing the same.

CTDOT will not be bound by, and Proposers shall not rely on, any oral communication regarding the RFP.

Proposers may not rely on any communication regarding these matters except written communications from CTDOT of the kinds authorized in this RFP. If a Proposer has meetings or discussions with other agencies or entities during the Procurement process, the Proposer shall be responsible for verifying with CTDOT in writing the accuracy of any information received from such non-CTDOT sources. (The Proposer is cautioned to bear in mind the constraints on such communications set forth in later Sections of this text.)

CTDOT may publish periodic clarification notices, listing questions received from Proposers in accordance with this RFP (although not identifying the submitting Proposer) and providing the answers given by CTDOT to the questions. Proposers are responsible for ensuring that they are aware of all clarification notices and Addenda. CTDOT will communicate to Proposers via Bid Express® service at www.bidexpress.com for non-confidential communications. CTDOT will communicate to Proposers privately via email for confidential correspondence.

Section 2.2 Contact Information for Confidential Communications during the Procurement Process

Each Proposer seeking award of the Contract shall designate one addressee (the "Contact Person") for email deliveries to which CTDOT may send any confidential correspondences to the Proposer pertaining to any stage or aspect of the Procurement Process.

The Proposers must send the contact information to the CTDOT’s Design-Build mailbox at:

CTDOT.Design.Build@ct.gov.

Failure by the Proposer to send the identity and addresses of the Contact Person may result in the Proposer's failing to receive any confidential correspondences from CTDOT. CTDOT will not be liable for any damage to the Proposer's interests that might occur as a result of the Proposer's failure to receive such information as a consequence of such an omission.

The Contact Person may make a request to CTDOT that a second person be designated as an alternate to be Carbon Copied (CC) transmissions from CTDOT to the Proposer. The Proposer's designated alternate may also communicate confidential correspondence to CTDOT and said correspondence will be considered an official submission from the Proposer. The Proposer's alternate must CC the Proposer's designated Contact Person on all correspondence forwarded to CTDOT.

The designated Contact Person and the alternate are the representatives of the Proposer that shall communicate with CTDOT during the procurement process. The Proposer must also indicate the confidentiality status of any correspondence within the transmission.

Section 2.2.1 Confidential Email Subject line

Confidential RFIs Proposers must use the subject line below for Confidential RFIs:

{Project number} {Date} {Proposer name} {RFI {No.} - {Subject}} - CONFIDENTIAL mailto:CTDOT.Design.Build@ct.gov

Project No. 0108-0196 9

SECTION 3 – DESIGN-BUILD PROJECT AND PROCESS OVERVIEW

Section 3.1 General Description of the Design-Build Contracting Process

The State of Connecticut Department of Transportation (CTDOT) invites Proposers to seek the award of the contract (Contract) for the Quinebaug River Trail project (the Project).

The award of the Contract will be made, and the performance of the Contract carried out in accordance with what is commonly known as the Design-Build (D-B) method of contracting, pursuant to Connecticut General Statutes § 13a-95b.

In order to seek award of the Contract, the Proposer will be required to submit (1) its own Technical

Proposal complying with the requirements detailed in the RFP, Technical Provisions (TP), and General Provisions (GP) for the Project; and (2) a Price Proposal for the Project. In addition, the award is based on the Commissioner's evaluation of which Proposer’s Qualifications, Technical and Price Proposals together offer the best value to CTDOT and the public. The requirements and evaluation criteria for these documents are set forth in this RFP.

Section 3.2 Summary of the Design-Build Proposal Process

The Design-Build Proposal process being used is a single phase, Best Value Design-Build Procurement

Process. The RFP is being made available to any interested Proposer, soliciting them to participate in the proposal process which involves the submission of a Technical Proposal, a Price Proposal, and other related information. The Proposer that presents the best value to CTDOT through its qualifications and Proposal, in the judgment of the Commissioner of Transportation, in light of the guidelines of the RFP, and that meets other requirements for contracting with the State of Connecticut, will be invited to enter into a contract with CTDOT for completion of all Work of the Project.

It is strongly recommended that each Proposer reads and ensures that it understands the definitions in the Glossaries found in this document and in the Contract General Provisions, because the use of terms such as Contractor and Proposer have specific meanings in this RFP, meanings that they will also have in the eventual Contract.

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Proposers must comply with the following, as well as the other requirements in this RFP:

1. Contractors, from at least the time that they submit a required Technical Proposal in response to the RFP until Project completion, must be or contain a principal party that is a construction contractor prequalified by CTDOT's Office of Contract Administration (the "Contracts Office") to obtain CTDOT construction contracts for construction of the kind and dollar value involved in the Project. The requirements and rules pertinent to the construction contractor’s prequalification are contained in CTDOT's Construction Contract Bidding & Award Manual ("Bid Manual"), which is available from CTDOT's website under "Publications." The Contractor’s Designer, however, does not need to be prequalified by the Consultant Selection Office for this Project. Nonetheless, the proposed Designer’s credentials and qualifications will be evaluated as part of the RFP process. Also, as stated in the RFP, the substitution or replacement of certain designated individuals within a submitting contractor is restricted for the duration of the Project unless approved by CTDOT. For a Proposer to be eligible for the Contract award, its prequalification must include a determination by the Contracts Office that its bid capacity meets scope code “F”.

2. In its Proposal, each Proposer identifies Key Personnel that it has assigned or will assign to the Project, stating the specific role that each person would play in Project work. Those identifications will be deemed a binding commitment that if the Proposer should receive the Contract, those identified "team members" will, in fact, play the designated roles in Project Work. Proposers are precluded from substituting, replacing, or removing any of the Key Personnel without the written consent of CTDOT to do so. If a Proposer believes that a substitution for any identified Key Personnel is warranted at any time (due to an intervening event), the Proposer shall so notify CTDOT in writing, providing details of the proposed change and the reasons for it. CTDOT shall not withhold such consent unreasonably. Proposed substitutions for such identified Personnel shall have equal or better credentials than the Personnel that they would be replacing. Should the substituted Personnel, in the opinion of CTDOT, prove to not meet or exceed the experience and training that the original team member possessed, the Evaluation Committee may reevaluate the Proposer's Technical score accordingly, if the substitution is proposed before award of the Contract.

3. Proposers will be required to submit a price (and a schedule of values) for completion of the scope of the Project ("Price Proposal"), and the selected Proposer must place in escrow, as prescribed in Section 10 of this RFP, all of the documents ("Price Documents") that it used or consulted in the process of pricing the scope of the Project for purposes of making its Price Proposal.

4. Within the time frame dictated by this RFP, the Proposer must submit a detailed Technical Proposal, as prescribed herein, as to its qualifications and plans to perform the Work in accordance with the Technical Provisions and required by the Contract Provisions of the Project, and at the same time, a Price Proposal for the same Work. Each must be submitted using the Bid Express® service, as more fully described elsewhere in this RFP. CTDOT will establish a Selection Panel that will evaluate and score the Technical Proposals according to a predetermined set of weighted criteria set forth in this RFP. The Price Proposals will be kept sealed until after the evaluation and scoring of the Technical Proposals. Then the Price Proposals will be opened and read aloud publicly at a time and place to be announced in advance of the opening.

5. The scoring of the Technical Proposals and Price Proposals according to the criteria set forth in this RFP will be provided to the Commissioner, who will decide which Proposer's

Project No. 0108-0196 11 combination of Technical Proposal and Price Proposal offers the best value to CTDOT and the public and will award the Contract to that Proposer.

6. Meetings related to this procurement will be conducted in-person or if necessary, virtually.

Meetings held virtually must be facilitated using web-based meeting solutions. The Proposer may agree to: conduct the meetings electronically, in which case the CTDOT will host the meetings using Cisco WebEx, Microsoft Teams, or other web-based meeting solution; or the Proposer may choose to forgo the meetings and submit written and/or other material in response to the RFP. A representative of CTDOT will contact the Proposer to coordinate. If the web-based meeting is agreed to, the CTDOT will also coordinate details of the meeting with the Proposer, including but not limited to, supply of email addresses, meeting attendee names, and documentation of the Proposer’s agreement to conduct the meeting electronically.

Section 3.3 Prequalification Requirements

CTDOT has established prequalification requirements for the construction firms and design firms. The following sections contain specific requirements for the project.

Section 3.3.1 Prequalification of Designers

The current CTDOT prequalification requirements for consulting engineers are hereby waived for this project. The Prime Designer (including prime design firm and all sub-consultant designers) shall demonstrate through the response to this solicitation, and response to any further information requested by CTDOT, that they possess the qualifications to complete the design of the project with a high degree of technical competence.

The Engineer of Record that will be responsible for the certification of the portion(s) of the plans for which they are responsible shall be a Professional Engineer actively registered in the State of Connecticut. The prime design firm shall also have a corporate Professional Engineering registration in the State of Connecticut. The information necessary to demonstrate compliance with the registration requirements shall be included in the submitted documents as described below. If the individuals or firms do not currently have the required registrations, they must obtain the registrations prior to submission of the Technical Proposal and Price Proposal.

Section 3.3.2 Prequalification of Construction Contractors

Proposers must be a “Construction Contractor” who is the principal party for the construction of the project and who is prequalified with CTDOT in the Contractor Prequalification Work No.

5B (Parking Lots and Paved Trails) to the scope code indicated below. CTDOT has estimated the Project Scope Code for this project as Code “F” (see attached Project Scope Code values in Appendix B.00).

The Construction Contractor must obtain prequalification by the Office of Contracts, in the categories and for the scope code specified above, prior to the “Prequalification Deadline” identified in the procurement schedule.

Construction Contractors, if not prequalified in the Work Category and Project Scope Code identified above with CTDOT must submit a sworn and fully complete Contractor’s Prequalification Statement (CON 16) with all necessary information, signatures and notarizations to CTDOT’s Office of Contracts at least 30 calendar days prior to the date identified in the procurement schedule for, “Prequalification Deadline” in order to ensure there is adequate time to obtain prequalification. Construction Contractors that are currently prequalified, but not in the work

Project No. 0108-0196 12 category or to the scope indicated, or for any questions related to contractor prequalification should contact CTDOT’s Office of Contracts, contact person, for information. Construction Contractors seeking prequalification specifically for this Project shall include in this submission, a cover letter directed to the Manager of Contracts stating the following: “Prequalification submission for the Design-Build Project No. 0108-0196.” Construction Contractors should also be aware that the prequalification process will establish their current bid capacity as a Proposer. If the amount of a Proposer's Price Proposal for the Project should exceed their bid capacity, the Proposer will not receive an award of the Contract.

The requirements for obtaining such prequalification and the rules applicable to such prequalification are set forth in detail in CTDOT's Construction Contract Bidding & Award Manual (Bid and Award Manual), which is available on CTDOT's website. Contractors should note that only corporations and not, for instance, sole proprietorships or partnerships or individuals, may become prequalified.

If information that the Office of Contracts obtains in the course of the prequalification process raises serious questions about a Construction Contractor's responsibility, as that term is understood in the context of traditional CTDOT contracting, the Contracts Office will call that fact to the attention of the Commissioner. Typical matters that may call into question a Construction Contractor's responsibility are identified (though not exhaustively) in Section XI (G)(2) of CTDOT’s Bid and Award Manual. If, in CTDOT's opinion, a particular Proposer should not be deemed responsible as a potential recipient of the Contract, CTDOT may at any stage of the BVDB selection process inform that Proposer of such.

Section 3.3.3 Joint Ventures

Formation of Joint Ventures will be allowed for this project between construction companies to satisfy the requirements of the Proposer. Joint Ventures between a design firm and a construction contractor will not be allowed.

If a Proposer consists of a joint venture, the lead Contractor must be pre-qualified in the

Contractor Category stated above. Each Joint Venture partner must be pre-qualified for the scope of the work that the individual company will perform. Joint Venture partners who have previously obtained prequalification from the Office of Contracts can combine their individual pre-qualifications to satisfy project scope requirements.

Additional requirements for bidding (Proposing) as Joint Ventures are set forth in detail in

CTDOT's Construction Contract Bidding & Award Manual ("Bid and Award Manual"), which is available on CTDOT's website. In the event of conflicts between the provisions of this RFP and the Bid and Award Manual, these provisions shall take precedence.

Section 3.4 Disadvantaged Business Enterprise (DBE) Set-Aside

Please be advised that the DBE goal assigned for this project is 0% (zero percent). This is an aggregate number that pertains to the Contract as a whole (engineering and construction). The Contract goal for DBE participation is a percent of the total Contract value. Compliance with this provision may be fulfilled when an approved DBE or any combination of approved DBEs perform work under the Contract in accordance with Contract Specifications and the Connecticut General Statutes as revised.

CTDOT hereby notifies all proposers that it will affirmatively ensure that in any contract entered into pursuant to this advertisement, qualified DBEs will be afforded full opportunity to submit bids in response to this solicitation and that they will not be discriminated against on the grounds of race, color, national

Project No. 0108-0196 13 origin, sex, sexual orientation, mental retardation or physical disability including but not limited to blindness, in consideration for an award of contract.

Section 3.5 Insurance Requirements

The Contractor will be required to secure and maintain, at no direct cost to the State, a Professional

Liability Insurance policy, with a company authorized to do business in the State of Connecticut, for errors and omissions, in the minimum amount of four million dollars ($4,000,000) per occurrence. The Contractor shall obtain the appropriate, proper and effective endorsement of its Professional Liability Policy to cover the Indemnification clause in this Contract as the same relates to negligent acts, errors or omissions in connection with the Contractor's Project work. The Contractor may obtain, at their election, a policy containing a maximum five hundred thousand dollars ($500,000.00) deductible clause, but if they should obtain a policy containing such a clause, the Contractor shall be liable, as stated above herein, to the extent of the deductible amount. The Contractor shall maintain this Professional Liability Insurance coverage for a period of at least three (3) years from the date of CTDOT's acceptance of the completed Project, subject to the continued commercial availability of such insurance.

It is understood that the above insurance may not include standard liability coverage for pollution or environmental impairment. The Contractor agrees, however, to acquire and maintain pollution and environmental impairment coverage as part of this Professional Liability Insurance, if such insurance is applicable to the Contractor's project work.

Failure of the Contractor to maintain the insurance coverage required by this Contract, subject to the continued commercial availability of such insurance, shall constitute a material breach of the Contract and may result in the CTDOT issuing a suspension of work and/or taking other administrative actions until all insurance coverage required by this Contract is in place, all of which would be deemed due to cause of the Contractor.

The Contractor shall also require subcontractors and any other firm providing professional services related to this Project to acquire and maintain the insurances outlined in the Contract, by making it a requirement of the subcontracts and other project agreements.

Other insurance requirements, which must be satisfied prior to the award of the Contract will be detailed in the Contract General Provisions.

Section 3.6 State Campaign Contribution Solicitation Limitations

For all State contracts, as defined in CGS § 9-612(g)(l) having a value in a calendar year of $50,000 or more or a combination or series of such agreements or contracts having a value of $100,000 or more, the authorized signatory to this submission in response to the State's solicitation expressly acknowledges receipt of the State Elections Enforcement Commission's Notice titled "Notice to Executive Branch State Contractors and Prospective State Contractors of Campaign Contribution and Solicitation Limitations" (Notice) advising state contractors of State campaign contribution and solicitation prohibitions, and will inform its principals of the contents of the Notice. The State Elections Enforcement Commission’s Notice can be found online at www.ct.gov/SEEC by clicking on the Forms link and then the Contractor Reporting Forms link. The Notice is hereby made a part of this RFP.

Section 3.7 Affirmative Action, Corporate Registration

CTDOT requires the selected Proposer and firms with contracts of $10,000.00 or more or with fifty

(50) or more employees who are awarded a contract, to comply with all federal and state affirmative action and nondiscrimination requirements.

http://www.ct.gov/SEEC

Project No. 0108-0196 14

Section 3.8 OPM Forms

The successful Proposer shall complete and submit OPM Form 1 Campaign Contribution Certification.

The following link will guide you to the revised OPM Form and the successful Proposer is responsible for following the guidelines on the following website:

https://portal.ct.gov/OPM/Fin-PSA/Forms/Ethics-Forms

The Form will be filed once per year, with any updates required upon changes to information. Updates are required within 30 days of any change.

Section 3.9 Prevailing Wage Rates

The minimum rates to be paid for labor of the various classifications shall be in accordance with current schedule of wages established by the State Labor Commissioner, including required annual adjustments as provided in the General Statutes of Connecticut and by the United States Secretary of Labor as required by the Davis Bacon and Related Acts. If a conflict exists between the Federal and State wage rates, the higher rate shall govern. The Contract Wage Certification Form is to be submitted to the Labor Commissioner before the award of the contract.

Prevailing wage rates also apply to the work of any subcontractor or other party that performs work on the project site. The Contractor shall be responsible for ensuring that each such party meets said requirements.

Section 3.10 Selection Process

CTDOT will select the Proposer who provides the “best value” to CTDOT and the State. This determination will be based on an assessment of a combination of factors including, but not limited to technical approach, qualifications, key personnel, schedule, and pricing factors that are expected to meet or exceed CTDOT requirements identified in the RFP.

The process involves the solicitation of Technical Proposals and Price Proposals from Proposers, review of Technical Proposals and the determination of the “best value” proposal.

Two separate committees will be used for the selection process. The following sections contain a description of each committee and the anticipated tasks for each committee.

Section 3.11 DOT Committees

Selection Panel Technical Proposals will be evaluated by a “Selection Panel”. The Selection Panel is responsible for, but not limited to, review of Technical Proposals from prospective Proposers.

Technical Support Committee

A Technical Support Committee will assist the Selection Panel during the RFP process.

Section 3.12 Pre-Proposal Briefing

A voluntary briefing of interested parties is planned as part of the RFP process. It is anticipated that further information will be posted through the State Contracting Portal within two (2) business days of issuance of the RFP. Each Proposer should have a member review this information.

https://portal.ct.gov/OPM/Fin-PSA/Forms/Ethics-Forms

Project No. 0108-0196 15

Anticipated information to be provided is related to the RFP process and relevant information.

Section 3.13 Proposed Procurement Schedule

The current anticipated procurement schedule is:

RFP release September 9, 2026

Prequalification Deadline October 7, 2026

Last Date to Submit Questions on the RFP October 7, 2026

Technical Proposal Deadline October 28, 2026

Oral Presentations December 10 - 11, 2026

Price Proposal Deadline January 13, 2027

Public Bid Opening & Selection of Apparent Best Value

Proposer January 20, 2027

Estimated Award March 5, 2027

All Deadlines above are due at 2:00 pm Eastern Time.

Section 3.14 Reference Documents and Standards Applicable to Design of the Project

CTDOT will electronically provide to each Proposer that requests them Project related reference documents if they sign an acknowledgement that the Project-related reference documents will be for the Proposers' reference use only. All Proposers will be deemed to acknowledge by their receiving of such reference documents that they understand that while those plans have been advanced to the level of detail shown, the selected Proposer will be required to develop and provide a final, complete Project design based on the BTC, other Contract requirements and its Technical Proposal that has been stamped and sealed by its own designer of record, after review and approval by CTDOT and possibly by third parties. The Proposer must understand it will have to make revisions of or additions to the proposed design in accordance with any comments received during the ongoing plan reviews from CTDOT.

CTDOT makes no representations as to the accuracy or completeness of information contained in any documents not obtained from CTDOT, and it will not be responsible in any way for a Proposer’s reliance on or use of the contents of such documents.

Published standards of AASHTO and CTDOT, including but not limited to those standards set forth in the Contract Provisions, will apply to the final design to be developed by the successful Proposer. CTDOT documents are available on CTDOT's web site.

Section 3.15 CTDOT's Rights Regarding Content of the RFP, Administration of the Procurement process, and Award of the Contract

CTDOT may investigate the qualifications of any Proposers as long as its Proposal is under consideration, may require related confirmation of information from a Proposer, and may require the Proposer to produce additional evidence regarding its qualifications to perform the tasks required by the RFP. The Commissioner may exercise, in its sole discretion, any of the following rights:

1. reject any or all Proposals at any time prior to execution of the Contract;

2. consider any relevant information from any source in making evaluations within the Procurement process;

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3. omit any planned evaluation step in the Procurement process if, in the Commissioner's opinion, the step is not needed in the particular circumstances;

4. issue a new RFP and / or Contract Provisions;

5. amend, modify, or cancel and withdraw the RFP and / or Contract Provisions;

6. modify the RFP process, which shall include the right to extend submission deadlines as it deems appropriate (and it will be the responsibility of each Proposer to consult the Bid Express® site (www.bidexpress.com)) of the project solicitation for alterations of RFP deadlines or other dates;

7. appoint and assign a Selection Panel to evaluate Proposals, and appoint and assign a Technical Support Committee, each of which may seek the assistance of legal or technical advisors in making their evaluations;

8. approve or disapprove changes in a Proposal;

9. waive minor irregularities in Proposals; and,

10. In connection with in-person presentations, request supplements to the Proposal.

The RFP does not commit CTDOT to enter into the Contract, even after notice of award of the Contract, nor does it obligate CTDOT to reimburse a Proposer for any costs incurred in preparation and submission of a Proposal or in anticipation of an award or execution of the Contract. By submitting a Proposal, a Proposer disclaims any right to be paid by CTDOT, unless and until CTDOT executes a Contract with the Proposer, other than the payment of a stipend pursuant to the terms and provisions set forth in Section 5.4 of this RFP.

Section 3.16 Property of CTDOT

All physical materials and/or electronic submissions submitted by a Proposer to CTDOT in response to this RFP shall become the property of CTDOT and shall not be returned to the Proposer. CTDOT's potential use of the concepts contained in those materials is treated elsewhere in this RFP.

Section 3.17 Conflict of Interest and Unfair Competitive Advantage

The work related to the Project may, at any time, raise questions about real or perceived conflicts of interest because of Proposer’s or prospective Team Member’s relationship to other entities or individuals.

The Proposer’s attention is directed to 23 CFR Part 636 Subpart A and Connecticut General Statutes 1-

101nn which set forth the federal and State law, respectively, regarding conflicts of interest and unfair competitive advantages (collectively called Conflict Situations).

Conflict of Interest

The Proposer’s attention is directed to 23 CFR Section 636.116 regarding organizational conflicts of interest and to Section 636.103 which defines “organizational conflict of interest” under federal law as follows:

Organizational conflict of interest means that because of other activities or relationships with other persons, a person is unable or potentially unable to render impartial assistance or advice to the owner, or the person’s objectivity in performing the contract work is or might be otherwise impaired, or a person has an unfair advantage.

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With regard to Connecticut General Statutes §1-101nn, CTDOT issued a guidance document on March

2, 2006 to all prequalified consultants and contractors. That guidance letter and the frequently asked questions attached to it (together “guidance document”) remain in full force and effect, and are posted on

CTDOT’s website at:

https://portal.ct.gov/-/media/dot/consultant-selection/consulltr2pdf.pdf

In addition to the foregoing, CTDOT has identified other situations and occurrences which will be considered a conflict of interest for Proposers on the Project, including without limitation:

1. consultants and/or sub-consultants who assisted CTDOT in the preparation of the RFP instructions or criteria, or Contract Provisions documents (including specifications and preliminary design) will not be allowed to participate as a Proposer or join a team submitting a Proposal in response to the RFP;

2. firms under contract with CTDOT for the construction of a project elsewhere in the State of

Connecticut, and firms under contract with CTDOT for the construction oversight ("CE&I") on the same project, are excluded from participating on the same design-build team (this exclusion does not apply to subcontractors and sub consultants); and

3. firms or individuals employed by owners of properties or businesses that abut or may be affected by the Project will not be allowed to participate as a Proposer or join a team submitting a Proposal in response to the RFP, unless a mitigation measure acceptable to CTDOT is proposed in accordance with the requirements of this Section.

Barring any other conflict resulting from state or federal law or CTDOT’s March 2, 2006 guidance document, firms and individuals not subject to items (1) through (3) above may work for the Design-Build

Contractor and its subcontractors, or CTDOT and its consultants, but may not work for both simultaneously.

Proposers and lead design firms should consider that conflicts may arise during and after the BVDB procurement that may preclude firms from pursuing CTDOT work on which other participants in the

Design-Build Proposal are already under contract with CTDOT.

Unfair Competitive Advantage

The BVDB procurement will be conducted using a fair and impartial procurement process. It is essential that a level playing field be maintained during the procurement phase. The Proposers are advised that the following prohibitions, restrictions, and requirements will apply to this BVDB procurement:

1. firms and individuals may not materially participate (defined as holding a financial interest, assisting in the preparation of a Proposal, or providing one or more of the Key Personnel described in the RFP) in more than one Proposal in response to this RFP;

2. firms and individuals may not solicit, review, or receive BVDB criteria weighting or evaluation materials prepared by CTDOT or its consultants during the procurement phase, either directly or through an intermediary;

https://portal.ct.gov/-/media/dot/consultant-selection/consulltr2pdf.pdf

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3. Proposers (including subcontractors, employees, or representatives) shall not communicate with or attempt to influence the Selection Panel, or other CTDOT representatives involved in the BVDB selection process, except as allowed by the RFP;

4. Proposers may not engage or employ current or former employees of CTDOT or its consultants involved in preparing the RFP for the project.

An Unfair Competitive Advantage may exist if a Proposer is not in full compliance with Nos. (1) through (4) above.

Conflict of Interest and Unfair Competitive Advantage Certification

Proposers shall evaluate for itself, and the Proposer’s Key Personnel, subcontractors and any other individuals associated with their Proposal should evaluate for themselves whether they have a Conflict

Situation. Thereafter, the Proposer shall complete and submit a Conflict of Interest and Unfair Competitive

Advantage Certification (Certification Form) for itself, and a separate set of forms for each of its Key

Personnel. These forms shall be updated and resubmitted any time a change to their status occurs. Any other individuals or subcontractors participating in the Proposer’s team, who are aware of an existing or potential Conflict Situation, shall make a disclosure on the Certification Form and forward it to the Proposer for submittal to CTDOT. Failure of the Proposer, Key Personnel, or those with known Conflict Situations to submit the Certification Form(s) may result in the disqualification of the Proposer.

Whenever a Proposer, its Key Personnel, any subcontractor, or any individual associated with a

Proposer is found to have a Conflict Situation, it shall be disclosed on the Certification Form and the attachments. CTDOT will review the Proposer’s suggested actions to be taken to avoid, neutralize, or mitigate such Conflict Situation, and if found acceptable to CTDOT, the matter will be consider resolved and the Proposer will be permitted to continue in the BVDB procurement process with the suggested actions implemented. If CTDOT does not find the Proposer’s suggested actions acceptable or sufficient to avoid, neutralize or mitigate a Conflict Situation, then CTDOT will communicate to the Proposer that an unresolved Conflict Situation may or does exist in the opinion of CTDOT. If the CTDOT does not respond to the suggested actions, the Proposer shall consider the suggested actions not acceptable to the CTDOT.

The Proposer may offer additional measures to resolve the matter, or it may appeal the decision in accordance with the Appeal Procedure described in this Section. Proposers unable to resolve a Conflict

Situation finding will not be permitted to continue in the BVDB procurement.

It is the responsibility of each Proposer to police itself related to Conflict Situations. The Proposer agrees that if, at any time during the procurement process, or even after award of the Contract, an individual or organizational Conflict Situation develops or is discovered, the Proposer shall make an immediate and full disclosure to CTDOT using the prescribed form. Such disclosure shall include a description of the action that the Proposer has taken or proposes to take to avoid or mitigate the conflict or potential conflict.

Violation of Disclosure Requirements

CTDOT, in its sole discretion, reserves the right to make a determination relative to real or potential

Conflict Situations and the Proposer’s ability to mitigate such situations. An organization or individual determined to have a Conflict Situation relative to this procurement or Project that cannot be mitigated, shall not be allowed to participate as part of the Proposer or Contractor for the Project. A conflict arising under Connecticut General Statute 1-101nn, as determined by the Office of State Ethics, cannot be mitigated.

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If a Conflict Situation is discovered during the procurement process or even during the performance of the Contract, CTDOT reserves the right to:

1.