21009 Bid Set - Project Manual.pdf

City of Rochester, New York

Contract Proposal Book for

Hemlock Filtration Plant HVAC Upgrades

Project No. 21009 Building No. 8.51

CONTRACT A – General Construction CONTRACT B – Mechanical Construction CONTRACT C – Electrical Construction

Department of Environmental Services Bureau of Architecture and Engineering Services

Holly E. Barrett, P.E., City Engineer

Issued: March 10, 2025

THIS CONTRACT CONTAINS AN INCENTIVE PROGRAM FOR EMPLOYING

QUALIFIED CITY RESIDENTS, APPRENTICESHIP PROGRAM AND WAIVER REQUIREMENTS;

MWBE GOALS AND WAIVER REQUIREMENTS; AND WORKFORCE GOALS REQUIREMENTS

THIS CONTRACT CONTAINS NEW REQUIREMENTS FOR NY STATE WICKS LAW

PROJECT SUMMARY

PROJECT TITLE

Project Name: Hemlock Filtration Plant HVAC Upgrades Project Number: 21009 Building Address: 7412 Rix Hill Road, Hemlock, NY 14466 Building Number: 8.51

PROJECT DESCRIPTION

The scope of work will upgrade the HVAC equipment serving the lab space on the second floor of the Hemlock filtration plant. This is inclusive, but not limited to, the roof-mounted chiller, replacing fume hoods within the lab, replacement of fan coil units above the lab ceiling, replacement of exhaust fans, replacement of the roof-mounted make-up air unit. The lighting fixtures within the lab space will also be replaced with LED fixtures.

City Project Manager: Kevin Howell, Kevin.Howell@CityofRochester.gov, (585)428-9796 Consultant’s Name: Bruce Wallmann, PE Company Name: Erdman, Anthony and Associates, Inc.

Consultant Address: 145 Culver Road, Suite 200, Rochester, NY 14620 Phone (585) 427-8888 ext. 1060 / Fax (866) 847-0884 Email: WallmannBR@erdmananthony.com

CONTRACT TYPE

This Project will proceed under three (3) LUMP SUM Contracts as follows: General Construction, Mechanical Contractor, and Electrical Contractor

CONTRACT DOCUMENTS

A. City of Rochester Standard Construction Contract Documents, November 1, 1991 Edition

B. NYSDOT Standard Specifications (US Customary Units) latest edition – specifications as referenced

C. Contract Proposal Book for Hemlock Filtration Plant HVAC Upgrades

D. Contract Proposal Forms for Hemlock Filtration Plant HVAC Upgrades

E. Contract Drawings (T-000) thru (E-700)

WORK BY OTHERS

The intent of the “WORK BY OTHERS” portion of the Project Summary section is to advise the prospective Bidder of any anticipated work to be done by others for informational and coordination purposes. The information is furnished solely for the convenience of the Contractor, without any warranty expressed or implied as to its accuracy or completeness.

No other work is anticipated at this time.

TABLE OF CONTENTS

PAGE

SUPPLEMENTARY INSTRUCTIONS TO BIDDERS .................................................. SIB-1 thru SIB-09

PROPOSAL ...................................................................................................................... P-1 thru P-24

AGREEMENT BONDS AND INSURANCE FORMS ......................................................... A-1 thru A-12

SUPPLEMENTARY LAWS AND REGULATIONS ................................................... SLR-1 thru SLR-24

SUPPLEMENTARY TERMS AND CONDITIONS .................................................... STC-1 thru STC-10

SPECIAL NOTES .......................................................................................................... SN-1 thru SN-3

SUPPLEMENTARY SPECIFICATIONS...................................................................... SS-1 thru SS-574

SUPPLEMENTARY

INSTRUCTIONS TO BIDDERS

A.Recent Changes to the Contract Documents ............................................................................. SIB-1

B. PROJECT SPECIFIC INFORMATION ................................................................................... SIB-2

1. Pre-Bid Conference............................................................................................................. SIB-2

2. Time and Location of Bid Opening ...................................................................................... SIB-2

3. Apprenticeship and Subcontractor Data, M/WBE Form P.1, Certification of Workforce Goals .................................................................................. SIB-2

4. Incentive Program for Employing Qualified City Residents .................................................. SIB-2

5. Start and Completion of the Work ....................................................................................... SIB-2

C. MODIFICATIONS TO THE INSTRUCTIONS TO BIDDERS ................................................... SIB-3

SIB-1. Charge or Deposit Required ........................................................................................ SIB-3

SIB 2. Qualifications of Bidders .............................................................................................. SIB-3

SIB 3. Inspections and Review of Contract Documents before Submitting Bid ..................... SIB-4

SIB 5 Requirements for Bid Deposit ...................................................................................... SIB-5

SIB 6. Subcontractors and Assignments ................................................................................ SIB-5

SIB 9. Requirements for Preparation and Submission of Bids ................................................ SIB-5

SIB 11. Owner’s Discretion to Accept, Reject, or Waive Bid ..................................................... SIB-7

SIB 12. Basis of Award ............................................................................................................ SIB-7

SIB 14. Excution of the agreement ........................................................................................... SIB-7

SIB 15. Incentive Program for Public Works Contracts ............................................................ SIB-8

SIB 16. Iran Divestment Act ..................................................................................................... SIB-8

SIB 17. NYS Freedom of Information Law (FOIL) .................................................................... SIB-9

SIB 18. New Requirements for NY State Wicks Law ................................................................ SIB-9

Page SIB-1

SUPPLEMENTARY INSTRUCTIONS TO BIDDERS

These Supplementary Instructions to Bidders amend or supplement the Instructions to Bidders of the City of Rochester Standard Construction Contract Documents and other provisions of the City’s Contract Documents as are indicated below. All provisions which are not so amended remain in full force and effect.

A. RECENT CHANGES TO THE CONTRACT DOCUMENTS

The following is a brief recap of the major changes that have been made to the Contract Documents:

• Revised Subsection SIB 6 Contractors and Assignments, Bid Proposal Submissions Checklist and Proposal section to delete the Contract Work Certification requirement that a minimum of twenty percent (20%) of the contract work must be done by the Bidder’s own organization (3/18/2024).

• Revised Subsections SIB 9 Requirements for Preparation and Submission of Bids, Bid Proposal Submissions Checklist in the Proposal Section, Apprenticeship Training Program for Construction Contracts in the Proposal Section, and subsection SLR 17 Apprenticeship Training Program For Construction Contracts to delete Form AP1 Schedule of Subcontracts and Apprenticeship Agreements and replace with forms AP1.1 Apprenticeship Training in Construction Contracts, and AP1.2 Apprenticeship Waiver Request Form (3/18/2024).

• Revised Subsections SIB 9 Requirements for Preparation and Submission of Bids, subsection SIB 11, Bid Proposal Submissions Checklist in the Proposal Section, MWBE Participation Plan Enforcement in the Proposal Section, and SLR 19 Minority and Women Business Enterprise (M/WBE) Requirements to delete Form P MWBE Participation Plan and replace with forms P.1 MWBE Participation Plan and P.2 MWBE Waiver Request Form (3/18/2024).

• Revised contact phone number for MWBE officer under Subsections SLR-19 Minority and Women Business Enterprise (MWBE) Requirements and SLR-20 Workforce Goals and Requirements of the Supplementary Laws and Regulations Section (9/15/2023).

• Added Subsection 10.5 Value Engineering to Article 10 of the General Terms and Conditions Section (9/15/2023).

• Revised B.1 Pre-Bid Conference and B.2 Time and Location of Bid Opening of the Supplementary Instructions to Bidders Section to Return to in-person meetings (12/5/2022).

• Revised City of Rochester Certificate of Insurance form of the Agreement, Bonds and Insurance Forms Section and Subsection 4.2C Builders Risk Insurance of the General Terms and Conditions Section to clarify when Builders Risk Insurance is required. (5/10/2022).

An incomplete bid package that is missing the required forms, including supporting documentation, will be declared informal and will not be considered for award.

The Bidder should familiarize themselves not only with these major changes, but also should thoroughly review all of the Contract Documents as other minor changes may also have been made that are not specifically noted herein. The Bidder is to comply not only with these new requirements, but with all of the other requirements that are listed within the Contract Documents.

Page SIB-2

B. PROJECT SPECIFIC INFORMATION

1. Pre-Bid Conference

A pre-bid conference will be held on March 25, 2025, at 10:00 AM local time, in the conference room at 7412 Rix Hill Road, Hemlock, NY 14466.

All Bidders are urged to attend so that their bid is not rejected due to lack of adequate documentation.

Any statements made at the pre-bid meeting do not constitute changes in the Contract Documents.

Amendments to the Contract Documents can only be accomplished by means of addenda issued by the City Engineer.

2. Time and Location of Bid Opening

Sealed Proposals for the following improvement:

Project Name: Hemlock Filtration Plant HVAC Upgrades Project No.: 21009 endorsed with the name of the Bidder and stating the Bidder’s address must be received by the Office of the Purchasing Agent, City Hall Room 105-A, 30 Church Street, Rochester, NY 14614 prior to the Bid opening. The Bid opening is scheduled at 2:00 PM local time on April 14, 2025 at City Hall, 30 Church Street, Rochester, NY, at which time and place all Bids will be publicly opened, read and recorded. When the Bidder submits their Bid, the Purchasing Office will inform the Bidder of the room location where the Bids will be opened.

3. Apprenticeship and Subcontractor Data, M/WBE Forms, Certification of Workforce Goals

a. Submit Apprenticeship Agreements, Subcontractor Data and applicable forms, with supporting documentation, as required by SIB-9 and SLR-17.

b. Submit MWBE Plan and applicable forms, with supporting documentation, as required by SIB-9 and SLR-19.

c. Verify intent to meet the Workforce Goals as required by SIB-9 and SLR-20 by checking the box in the Bid Proposal Submission Checklist form provided in the Proposal Section.

d. Complete and sign the Bid Proposal Submission Checklist form provided in the Proposal Section and submit all required documents.

An incomplete bid package that is missing the required forms, including supporting documentation, will be declared informal and will not be considered for award.

4. Incentive Program for Employing Qualified City Residents

Indicate on the form “Compliance with City of Rochester Specifications” of the Proposal if you expect to submit an application for the incentive program payment after the project is completed. Checking the box (indicating yes) on the form does not obligate the Bidder to submit an application for payment, but will be used by the City to budget for this additional cost.

5. Start and Completion of the Work

The Contractor will start the work within ten (10) days of receipt of the written Notice to Proceed as issued by the City Engineer.

The Contractor shall complete the work within Four Hundred and Fifty (450) calendar days from the date the Notice to Proceed was issued less the number of days by which one (1) or more of the following

Page SIB-3 submittals are overdue: Completed MWBE forms and Workforce Goals forms required by Subsection SLR 19 and SLR 20 of the Supplementary Laws and Regulations; performance and payment bonds required Article 4.1.2 of the General Terms and Conditions; and certificates of insurance required by Article 4.2 of the General Terms and Conditions, and Section 13.3 of the Supplementary Terms and Conditions.

C. MODIFICATIONS TO THE INSTRUCTIONS TO BIDDERS

SIB-1. Charge or Deposit Required

Delete the first sentence of Subsection 1 Charge or Deposit Required in its entirety, and Replace with the following:

A charge of sixty dollars ($60.00) shall be made to the Bidder for each hard copy set of the Drawings and the Contract Proposal Book obtained from the City for this Project. Copies of the Drawings and the Contract Proposal Book may also be obtained from BidNet at https://www.bidnetdirect.com/new-york/city-of-rochester/.

No charge will be required for Bid documents that are downloaded through the City’s electronic bid service – BidNet - Empire State Purchasing Group – City of Rochester.

SIB 2. Qualifications of Bidders

Add the following at the end of Subsection 2 Qualifications of Bidders:

Upon request by the City of Rochester (City Engineer or Purchasing Agent), Bidders will be required to fill out a Confidential Questionnaire - Statement of Bidder’s Qualifications. The Confidential Questionnaire is not attached to the Proposal as stated on Page IB-1, Subsection 2. Qualifications of Bidders of the Instruction to Bidders in the City of Rochester Standard Construction Contract Documents, November 1, 1991, Edition.

In the event that the City shall require certified supporting data regarding the qualifications of the Bidder in order to determine whether the Bidder is a responsible Bidder, the Bidder will be required to complete and furnish a Confidential Questionnaire within forty-eight (48) hours of the request by the City Engineer or Purchasing Agent. On the Confidential Questionnaire the Bidder will be required to list:

a. The Bidder’s performance record;

b. The address and description of the Bidder’s plant and place of business, principals of the firm and detailed account of work committed;

c. An itemized list of equipment in inventory. Such list shall include the age and condition of the equipment;

d. Dollar value of the largest contract that the Bidder has been awarded and completed within the last 5 years;

e. Description of other contract work the Bidder is engaged in at present time;

f. Manner in which the Bidder inspected this Project;

g. Names and experience of personnel responsible for field work on this Project;

h. Description and dollar value of work to be performed on site with the Bidder’s forces;

i. Number of the Bidder’s workers to be assigned to this Project;

j. Name of the Bidder’s bonding company;

k. Description and dollar value of work to be sublet;

l. A description of any similar projects which the Bidder has constructed in a satisfactory manner and other pertinent information;

m. Type of equipment to be rented for this Project https://www.bidnetdirect.com/new-york/city-of-rochester/ https://www.bidnetdirect.com/new-york/city-of-rochester/

Page SIB-4

The City Engineer or Purchasing Agent may also request the Bidder to furnish within forty-eight (48) hours a certified or authenticated financial statement, dated within thirty (30) days prior to the opening of bids. The City may require that any items be further verified. The Bidder agrees to permit the City to verify the line of credit extended to the Bidder by banks or other financial institutions. The City mayalso use the services of a national mercantile agency such as Dunn & Bradstreet, Inc, in checking financial responsibility. The Bidder agrees further that the City will incur no liability as a result of this procedure.

A copy of the Confidential Questionnaire is available in the City of Rochester Purchasing Office, City Hall.

SIB 3. Inspections and Review of Contract Documents before Submitting Bid

Add the following at the end of Subsection 3 Inspections and Review of Contract Documents Before Submitting Bid:

The following Contract Documents shall be components of the Agreement between the City of Rochester and the Contractor:

A. Supplemental Information Available to Bidders:

1. There is no supplemental information available in conjunction with this project.

B. The City of Rochester Standard Construction Contract Documents, November 1, 1991, Edition:

https://www.cityofrochester.gov/Specifications/

1. Instructions on the Use of the Standard Construction Contract Documents (pages IN-1 thru

IN-3)

2. Instructions to Bidders (pages IB-1 thru IB-6)

3. Bonds and Insurance Forms (pages BI-1 thru BI-10)

4. Laws and Regulations (pages LR-1 thru LR-7)

5. General Terms and Conditions (pages GC-1 thru GC-55)

6. Specifications (pages S-1 thru S-266)

7. Details (No.R206-1 thru R917-3)

C. NYSDOT Standard Specifications (US Customary Units) latest edition, specifications as referenced.

D. Notice to Bidders (Advertisement)

E. The Contract Proposal Book:

1. Project Summary

2. Supplementary Instructions to Bidders (Page SIB-1 thru SIB-09)

3. Proposal (pages P-1 thru P-24)

4. Agreement, Bonds and Insurance Forms (pages A-1 thru A-12)

5. Supplementary Laws and Regulations (pages SLR-1 thru SLR-24)

6. Supplementary Terms and Conditions (pages STC-1 thru STC-10)

7. Special Notes (pages SN-1 thru SN-03)

8. Supplementary Specifications (pages SS-1 thru SS-574)

F. Additional Contract Documents:

1. Drawings (number T-000 thru E-700)

2. Addenda (as issued) https://www.cityofrochester.gov/Specifications/

Page SIB-5

3. Field Change Drawings Issued after execution of the Agreement that may or may not be issued as a part of a Change Order

4. Any Change Orders Issued after execution of the Agreement

The City of Rochester Standard Construction Contract Documents, November 1, 1991, Edition is issued separately in a bound volume. Copies of this book can be purchased from the City of Rochester Purchasing Office, City Hall, for $25.00 or may be obtained (free download) from the City web site at http://www.cityofrochester.gov/Specifications/.

Certain Supplementary Specifications may make reference to NYSDOT Standard Specifications (US Customary Units) latest edition. The NYSDOT standard specifications can be found on the New York State website at https://www.dot.ny.gov/main/business-center/engineering/specifications/updated-standard-specifications-us.

The Water Bureau maintains a list of pre-approved materials for use on all construction projects. It is recommended that the Bidder obtain a copy of this list before preparing and submitting a bid. Copies of this list may be obtained either by calling the Water Bureau, at (585) 428-7567, or on the City of Rochester’s website at http://www.cityofrochester.gov/waterdocuments.

Any conflicts or questions between these documents are to be identified by the Bidder at the pre-bid meeting, and in accordance with section IB 4 Communications and Interpretations Given Prior to Opening of Bids of the Instructions to Bidders Section.

SIB 5. Requirements for Bid Deposit

Add the following after the first paragraph of Subsection 5 Requirements for Bid Deposit:

A Bid Deposit will not be required for bids less than $100,000 unless specified in the bid documents.

SIB 6. Subcontractors and Assignments

Add the following after the first paragraph of Subsection 6 Subcontractors and Assignments:

The Contractor shall be responsible for the performance of all work included in the total contract bid price, including work performed by subcontract.

SIB 9. Requirements for Preparation and Submission of Bids

Delete the fourth paragraph of Subsection 9 Requirements for Preparation and Submission of Bids in its entirety, and Replace with the following:

Bid proposals for this bid Project must be submitted in a marked sealed envelope, with the name and address of the Bidder, the Project name and number, and the opening date and time marked on the face of the envelope. The sealed envelope is to include a signed original hard copy of the complete Proposal, required bid bond, addenda, any support documentation required, and all other required forms as listed on the Bid Proposal Submissions Checklist. Bid proposals must be delivered to and received by the Purchasing Agent at the Bureau of Purchasing, Room 105-A, City Hall, Rochester, New York 14614 by the closing date and time specified in the Invitation to Bid, or as established by any addenda.

Electronic bids submitted through BidNet or any other form of bid other than a hard copy of the City provided forms, will not be accepted.

http://www.cityofrochester.gov/Specifications/ http://www.cityofrochester.gov/waterdocuments

Page SIB-6

Add the following after the fifth paragraph of Subsection 9 Requirements for Preparation and Submission of Bids:

Submit with the Proposal, copies of the appropriate apprenticeship agreements for the Bidder and appropriate Subcontractor apprenticeship agreements as required by the Rules and Regulations for the “Apprenticeship Training Program for Construction Projects”, if:

1. This contract involves work described in the Rules and Regulations for the “Apprenticeship Training Program for Construction Projects”; and

2. The amount of the contract to be awarded is in excess of $250,000. If any add/deduct alternates alone or in combination with the base bid could result in a contract amount award that exceeds $250,000, regardless of the base bid amount, submit the apprenticeship documentation.

A Contractor who submits a bid for such a City contract shall include with its bid package the following complete apprenticeship documents which meet the requirements of these Rules and Regulations:

1. Bidder’s Form AT-10 or, if not self-sponsoring the apprenticeship program, Form AP3 and the associated Form AT-10.

2. Bidder’s Form AP1.1.

3. Bidder’s Form AP1.2 if required.

Submit with the Proposal the complete Subcontractor apprenticeship documents:

1. Subcontractor’s Form AT-10 or, if not self-sponsoring the apprenticeship program, Form AP3 and the associated Form AT-10.

If no such subcontracts are proposed which exceed $100,000 in value, submit the completed City Form AP1.1 with the word “NONE” inserted under “Subcontract Scope of Work or Work Items” column for subcontractors.

Submit with the Proposal form AP1.2, Apprenticeship Waiver Request Form, complete with supporting documentation if the bid does not meet the requirements for apprenticeship agreements. Submission of waiver request(s) using form AP1.2 does not guarantee acceptance of waivers.

The apprenticeship agreement requirement also applies to subcontracts proposed following contract award; see the Rules and Regulations for the “Apprenticeship Training Program for Construction Projects” for details.

The Rules and Regulations for the “Apprenticeship Training Program for Construction Projects” are included in the Supplementary Laws and Regulations section. An Excel spreadsheet version of City Form AP1.1 is available on request.

Submit with the Proposal, MWBE Form P.1 pages 1 and 2, and Form P.2, if required. Submission of waiver request(s) using form P.2 does not guarantee acceptance of waivers.

Check the box to verify acceptance of the Workforce Goals on Bid Proposal Submission Checklist form provided in the Proposal Section.

An incomplete bid package that is missing the required forms, including supporting documentation, will be declared informal and will not be considered for award.

Add the following after the fifth paragraph of Subsection 9 Requirements for Preparation and Submission of Bids:

Page SIB-7

No Bidder will be allowed to price unit items in increments less than one hundredths of a dollar ($0.01).

Bidders must assign unit prices to the nearest penny. Submission of unit prices in increments of less than one hundredths of a dollar ($0.01) will result in those increments being dropped from the unit prices and the total cost for that unit item recalculated, and the subtotal and total base bids adjusted accordingly. Figures will not be rounded up or down. For example, a unit price submission of $1.759 will be considered a bid of $1.75.

SIB 11. Owner’s Discretion to Accept, Reject, or Waive Bid

Add the following under paragraph 3 of Subsection 11 Owner’s Discretion to Accept, Reject, or Waive Bid:

J. Failure to submit Apprenticeship Agreements in accordance with the Rules and Regulations for the “Apprenticeship Training Program for Construction Projects”, per Subsection SLR 17 Apprenticeship Training Program for Construction Contracts of the Supplementary Laws and Regulations.

K. Failure to submit MWBE Form P.1 pages 1 and 2, and Form P.2 if required.

L. Failure to check the box on the Bid Proposal Submissions Checklist of the Proposal Section to verify acceptance of the Workforce Goals.

SIB 12. Basis of Award

Delete Subsection 12 Basis of Award in its entirety, and Replace with the following:

The contract will be awarded to the lowest responsible Bidder complying with all of the provisions of the Instructions to Bidders and the Supplementary Instructions to Bidders.

The City of Rochester requires any Contractor, prior to entering into a construction contract with the City of Rochester, to have an M/WBE Utilization Plan submitted to and approved by the City.

The City of Rochester requires any Contractor, prior to entering into a construction contract with the City of Rochester, to have apprenticeship agreements, appropriate for the type and scope of work to be performed, which have been registered with and approved by the New York State Commissioner of Labor in accordance with Article 23 of the New York State Labor Law. The Bidder must submit complete and appropriate apprenticeship documentation with the Bid proposal.

For purposes of this article, Contractor shall mean an entity which directly employs labor under a construction contract. A construction contract shall mean a City of Rochester public works contract for an amount in excess of $250,000 for construction, reconstruction, or improvement of any building, facility or physical structure of any kind, or any subcontract thereto which exceeds $100,000 in value.

The Rules and Regulations for the “Apprenticeship Utilization Requirement” are included under Subsection SLR 17 Apprenticeship Training Program for Construction Contracts of the Supplementary Laws and Regulations.

The City may conduct such investigations as it may deem necessary to assist in the evaluation of any bid and to establish the responsibility, qualifications and financial ability of the Bidders, in accordance with the Contract Documents to the City’s satisfaction within the prescribed time.

Add the following new subsections after Subsection 13 Notice of Award:

SIB 14. Execution of the Agreement

Page SIB-8

The successful Bidder shall be required to execute an agreement upon award of the contract. This agreement provides specific information and highlights contract requirements in the General Terms and Conditions of the City of Rochester Standard Construction Contract Documents, November 1, 1991, Edition. The following articles are included in this agreement:

• Article 1. Scope of Work

• Article 2. City Engineer, Design Professional, Project Manager (responsibilities of in accordance with Article 9)Article 3. Contract Time

• Article 4. Liquidated Damages (in accordance with Article 10.4)

• Article 5. Contract Price

• Article 6. Payment Procedures (in accordance with Article 13)

• Article 7. Final Payment (in accordance with Article 14)

• Article 8. Availability of Funds (in accordance with Article 15)

• Article 9. Contractor’s Representations (in accordance with Article 9)

• Article 10. Accounting Records (the Contractor shall maintain accounting records in accordance with Article 6.10)

• Article 11. Contract Documents (the Contract Documents that comprise the Agreement shall be the same as those stated under SIB 3.d and SIB 3.e with addenda as issued)

• Article 12. Miscellaneous (terms used in this agreement shall have the meaning as defined in Article 1.1)

A Performance Bond and Payment Bond shall be submitted in accordance with Article 4 Bonds and Insurance of the General Terms and Conditions, and as revised under the Supplementary Terms and Conditions section. Samples of the City forms are available in the City of Rochester Standard Construction Contract Documents, November 1, 1991, Edition. Performance and Payment bonds will not be required for contracts less than $100,000 unless specified in the bid documents.

A Certificate of Insurance shall be submitted in accordance with Article 4 Bonds and Insurance of the General Terms and Conditions, and as revised under the Supplementary Terms and Conditions section.

A sample of the Certificate of Insurance Form is in the City of Rochester Standard Construction Contract Documents, November 1, 1991, Edition.

The approved MWBE Utilization Plan, Workforce Staffing Plan and Apprenticeship agreements submitted and accepted by the City shall be incorporated into this agreement, along with any amendments to the MWBE Utilization Plan, Workforce Staffing Plan and Apprenticeship agreements approved during the period of this agreement.

SIB 15. Incentive Program for Public Works Contracts

The City of Rochester provides an Incentive Program for hiring qualified City residents for public works contracts for which the final contract price is for an amount of $50,000 or more. The Contractor may apply for a monetary incentive payment of twenty percent (20%) of the gross payroll paid to qualified City residents, provided that that ten percent (10%) or more of the gross payroll for the Project was paid to qualified City residents. Qualified City residents are those who live in certain ZIP codes. Prime Contractors and first tier Subcontractors may apply for the incentive payments. The Incentive Program is described in detail under Subsection SLR 18 Incentive Program for Public Works Contracts of the Supplementary Laws and Regulations.

SIB 16. Iran Divestment Act

The Iran Divestment Act of 2012 was signed into law on January 13, 2012 and is codified at State Finance Law (SFL) Section 165-a and General Municipal Law (GML) Section 103-G. On July 17, 2012, Chapter 106 of the laws of 2012 was signed into law, extending the Iran Divestment Act to State and local public authorities.

Page SIB-9

The Iran Divestment Act, with certain exceptions, prohibits the City from entering into contracts with persons or entities engaged in investment activities in the energy sector of Iran. To implement the law, each Bidder is required to certify at the time it submits its bid that it is not on the list of entities engaged in investment activities in Iran (Prohibited Entities List). The list of entities determined to be non-responsive Bidders is maintained by the Commissioner of the NYS Office of General Services pursuant to State Finance Law. If a Bidder is on the Prohibited Entities List, the City will be able to award the contract to that Bidder only in situations where the Bidder is taking steps to cease its investments in Iran or where the Bidder is a necessary sole source.

SIB 17. NYS Freedom of Information Law (FOIL)

Bids and all materials submitted with the bid shall become the property of the City and shall be subject to the NYS Freedom of Information Law. If any proprietary information is submitted with the bid, it must be clearly identified and a request to keep such information confidential and the justification for doing so must be submitted with the bid. The City reserves the right to determine whether or not to honor that request in whole or in part based upon requirements of the law.

SIB 18. New Requirements for NY State Wicks Law

Pursuant to General Municipal Law 101, subd. 5, all bidders shall submit, with their bids, a separate sealed list that names each subcontractor that the bidder will use to perform work on the contract, and the agreed-upon amount to be paid to each, for: (A) plumbing and gas fitting, (B) steam heating, hot water heating, ventilating and air conditioning apparatus and (C) electric wiring and standard illuminating fixtures. Upon identification of the apparent low bidder, the sealed list of subcontractors shall be opened and the names of the subcontractors announced. Any subsequent change to the subcontractor list or amounts to be paid to each subcontractor shall require the approval of the City, upon a showing of a “legitimate construction need” for the change, as such term is described in the statute. The unopened sealed lists of subcontractors will be returned to the other bidders, after the contract award.

PROPOSAL

Project Hemlock Filtration Plant HVAC Upgrades

Project No. 21009

Building No. 8.51

CONTRACT A – General Construction CONTRACT B – Mechanical Contract CONTRACT C – Electrical Contract

ISSUED: March 10, 2025

SUBMIT WITH THE BID PROPOSAL COPIES OF:

MWBE FORM P.1 MWBE PARTICIPATION PLAN PAGES 1 AND 2, AND FORM P.2 IF

NECESSARY, AS REQUIRED BY THE “MINORITY AND WOMEN BUSINESS ENTERPRISE

(MWBE) REQUIREMENTS”; AND

APPRENTICESHIP AGREEMENTS AND SUBCONTRACTOR DATA REQUIRED BY RULES; AND

REGULATIONS FOR THE “APPRENTICESHIP TRAINING PROGRAM FOR CONSTRUCTION

PROJECTS”; AND

SEPARATE SEALED ENVELOPE AS REQUIRED BY NYS WICKS LAW

Page P-1

PROPOSAL TO

THE CITY OF ROCHESTER

CITY HALL, 30 CHURCH STREET

ROCHESTER, NEW YORK l4614

For Construction of: Hemlock Filtration Plant HVAC Upgrades Project Number: 21009 Building Address: 7412 Rix Hill Road, Hemlock, NY 14466 Building Number: 8.51

To the Purchasing Agent of the City of Rochester:

The Bidder affirms and declares:

1. The Bidder is the only one interested in this bid; and no person, firm, or corporation other than herein named has any interest in this bid, or in the Agreement proposed to be taken.

2. This bid is made without any connection with any other person, firm or corporation making a bid for the same work, and is in all respects fair, and without collusion or fraud.

3. No officer or employee or person whose salary is payable in whole or in part from the City of

Rochester’s treasury is directly or indirectly interested in this bid, or in the supplies, materials, equipment, work or labor to which it relates, or in any of the profits thereof.

4. The Bidder is not in arrears to the City of Rochester, New York, or any other public agency upon any debt or contract, and is not defaulter, as Surety or otherwise, upon any obligation to the City of

Rochester, New York, or any other public agency.

5. The Bidder has visited and examined the site of the work and has carefully examined the Contract

Documents and is satisfied as to all the quantities and conditions and understands that in signing this

Proposal the Bidder waives all rights to pleading any misunderstanding regarding the same.

6. The Bidder will provide, furnish and deliver all work, materials, supplies, tools, equipment, transportation necessary or required for this Project, all in strict conformity with the Contract Documents and in accordance with the prices entered by the Bidder on the attached Proposal form.

7. In a unit price Agreement, the Bidder will accept the unit bid prices in compensation for any additions or deductions caused by variations in quantities due to more accurate measurement or by any change or alterations in the Contract Documents.

8. The Bidder is aware that all interpretations of the Contract Documents are made by means of written addenda. Any objection arising out of an addendum subsequent to the opening of bids will not be considered. Failure of any Bidder to receive any addenda or to attend the reading of the bids will not relieve such Bidder from any obligation under the bid as submitted, including such addenda.

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9. The Bidder will execute the Agreement and furnish the necessary bonds and insurance certificates within ten (10) days after written notice of the award of the contract, or forfeit the bid deposit in partial satisfaction of damages.

10. The Bidder will complete the work within the number of calendar days or by the date specified in the Supplementary Instructions to Bidders.

11. The Bidder will comply with all local, state or federal laws, ordinances, rules or regulations controlling or limiting in any way its actions during the submission of bids and performance of the work including the following:

CERTIFICATION OF COMPLIANCE WITH THE IRAN DIVESTMENT ACT

A. The contract resulting from this bid shall be subject to the requirements of the Iran Divestment Act of 2012 (the “Act”), Chapter 1 of the 2012 Laws of New York, State Finance Law (SFL) Section 165-a and New York General Municipal Law Section 103-g both effective April 12, 2012. Under the Act, the

Commissioner of the Office of General Services (OGS) is responsible for developing a list of

“persons” who are engaged in “investment activities in Iran” (both are defined terms in the law) (the

“Prohibited Entities List”). The Prohibited Entities List as required by SFL Section 165-a (3) (b) is found on the OGS web site at: http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf.

B. CERTIFICATION. “By submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the case of a joint bid each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief that each bidder is not on the list created pursuant to paragraph (b) of Subdivision 3 of Section 165-a of the State Finance Law.”

C. Any bidder/contractor seeking to renew or extend this contract or assume the responsibility of the contract awarded in response to this bid solicitation must certify at the time the contract is renewed, extended or assigned that it is not included on the Prohibited Entities List.

D. During the term of the contract or any extension, should the City receive information that the contractor is in violation of the above referenced certification, the City will offer the person or entity an opportunity to respond. If the person or entity fails to demonstrate that the person or entity has ceased engagement in the investment which is in violation of the Act within 90 days after the determination of such violation, then the City shall take such action as may be appropriate including, but not limited to, imposing sanctions, seeking compliance, recovering damages or declaring the contractor in default.

E. The City reserves the right to reject any bid or request for assignment for a bidder/contractor that appears on the Prohibited Entities List prior to the award of a contract and to pursue a responsibility review with respect to any bidder/contractor that is awarded a contract and subsequently appears on the Prohibited Entities List.

http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf

Page P-3

NON-COLLUSIVE BIDDING CERTIFICATION

A. Every bid herein made to the City of Rochester, or official thereof, where competitive bidding is required by statute, rule or regulation, for work or services performed, or to be performed or goods sold or to be sold, shall contain the following statement subscribed by the Bidder and affirmed by such Bidder as true under the penalties or perjury: Non-collusive Bidding Certification.

(1) By submission of this bid, each Bidder and each person signing on behalf of the Bidder certifies, and in the case of a joint bid each party thereto certifies, as to its own organization, under penalty of perjury, that to the best of their knowledge and belief:

(i) The prices in this bid have been arrived at independently without collusion, consultation, communication, or agreement, for the purpose of restricting competition, as to any matter relating to such prices with any other Bidder or with any competitor;

(ii) Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the Bidder, and will not knowingly be disclosed by the Bidder prior to opening, directly or indirectly, to any other Bidder or to any competitor; and

(iii) No attempt has been made or will be made by the Bidder to induce any other person, partnership or corporation, to submit or not to submit a bid for the purpose of restricting competition.

(2) A bid shall not be considered for award nor shall any award be made where (1) (i) (ii) and (iii) above have not been complied with; provided however, that if in any case the Bidder cannot make the foregoing certification, the Bidder shall so state and shall furnish with the bid a signed statement which sets forth in detail the reasons therefore.

Where (1) (i) (ii) and (iii) above have not been complied with, the bid shall not be considered for award nor shall any award be made unless the head of the purchasing unit of the City of Rochester to which the bid is made, or the designee, determines that such disclosure was not made for the purpose of restricting competition.

The fact that a Bidder: (a) has published price lists, rates, or tariffs covering items being procured; (b) has informed prospective customers of proposed or pending publication of new or revised price lists for such items; or (c) has sold the same items to other customers at the same prices being bid, does not constitute, without more, a disclosure within the meaning of subparagraph A (1).

B. Any bid hereafter made to the City of Rochester, or official thereof, by a corporate Bidder for work or services performed or to be performed, or goods sold or to be sold, where competitive bidding is required by statute, rule or regulation, and where such bid contains the certification referred to herein, shall be deemed to have been authorized by the Board of Directors of the Bidder and such authorization shall be deemed to include the signing and submission of the bid, and the inclusion therein of the certificate as to non-collusion as the act and deed of the corporation.

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Page P-5A

BID PROPOSAL SUBMISSIONS CHECKLIST

Complete and sign this checklist to verify that all required submissions are attached to the Bid.

An incomplete bid package that is missing the required forms will be declared informal and will not be considered for award.

No required apprenticeship material will be accepted after Bids have been opened.

Included Item Notes

_____ Bid Proposal

_____ Addenda issued for the Bid Sign and date each addendum issued for this Bid

OR

Bidder’s Apprenticeship Agreement(s)

Bid plus add alternates does not exceed $250,000

OR (multiple may be checked)

Bid plus add alternates exceeds $250,000

_____ AT-10 form(s) of Bidder attached

_____ AP3 form(s) of Bidder attached, if needed

_____ AP1.1 form

_____ Subcontractor AT-10 and AP3, if needed, for Subcontractors proposed for each subcontract that exceeds $100,000

AP1.2 Apprenticeship Waiver Request Form and supporting documentation submitted with bid.

_____ Write “NONE” in Subcontractor data area if no subcontract greater than $100,000 is proposed; and Submit Form

Required if Bid is greater than $250,000 See Special Instructions for Bidders SIB 9 and SLR 17 for details

New York State Department of Labor Form AT-10 for program sponsor

City of Rochester Form AP3 if Bidder is not the program sponsor

New York State Department of Labor Form AT-10 for program sponsor and City of Rochester Form AP3 if Subcontractors are not the program sponsor

City of Rochester Form AP1.2 required for Apprenticeship Agreement waiver(s) to be considered.

Subcontractor AT-10 and AP3 Forms are only required with this proposal if the Bid plus add alternates exceeds $250,000

_____ Workforce Goals Certification

The Bidder certifies understanding of and commitment to meet the 20% M and 6.9% W workforce goals incorporated in this contract per SIB 9 and SLR 20

(Checklist Page 1 of 2)

Page P-5B

Checklist (Page 2 of 2)

_____ Incentive Program Payment The Bidder expects to apply for the Incentive Program Payments upon completion of the project per SIB 15 and SLR 18 (check if Yes)

_____ Bid Bond Submit Bid Bond - not required for bids less than $100,000 (page P-8)

Apprenticeship Forms AP1.1, AP1.2 if required and AP3

Complete forms, sign and date (pages P-11 thru P-16)

_____ MWBE Form P.1 and P.2, if required Submit MWBE PARTICIPATION PLAN per SIB 9 and SLR 19 (pages P-18 thru P-22)

_____ Consultant/Contractor Information Form Complete form (pages P-23 thru P-24)

“Subcontractor Data” Sealed Envelope A separate sealed envelope with a list of subcontractors and contract amount(s) (GC, M, E, and/or P as applicable) for NY State Wicks Law.

Refer to Section SIB 16 for details).

I am an authorized representative for the Bidder named below. The Bidder understands that its Bid may be deemed informal and not considered for contract award by the City if the information required above is not submitted with the Bid.

Signature: ____________________________________________ Corporate Seal:

Signed By (print): ______________________________________

Title: ________________________________ Date: __________

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The undersigned proposes to complete:

PROJECT TITLE: Hemlock Filtration Plant HVAC Upgrades

PROJECT NO. 21009

[LUMP SUM CONTRACT]

in accordance with the City of Rochester Standard Construction Contract Documents, November 1, 1991 Edition and the Contract Proposal Book for this Project for the LUMP SUM price shown in this Proposal.

WRITTEN FIGURES

TOTAL BASE BID

I, the undersigned Bidder, acknowledge and accept that this contract contains MWBE and/or DBE Goals in the amounts specified in these Contract Documents. In particular I, the undersigned Bidder, affirm that I have read and understand the MWBE and/or DBE requirements contained in the Contract Documents, and agree to meet these requirements.

LEGAL NAME OF PERSON, FIRM OR CORPORATION

SIGNED BY:

TITLE:

WITNESSED BY:

P. O. ADDRESS OF BIDDER: CORPORATE SEAL

________________________________________ STREET

________________________________________ CITY AND STATE

________________________________________ TELEPHONE NUMBER

________________________________________ PROJECT MANAGER

________________________________________ E-MAIL ADDRESS

Page P-6B

Page P-A

CITY OF ROCHESTER, NEW YORK

DEPARTMENT OF ENVIRONMENTAL SERVICES

CONTINGENT ITEMS

SEE THE CITY OF ROCHESTER’S WEBSITE AT

https://www.cityofrochester.gov/article.aspx?id=8589949007

September 15, 2023

No contingent items are anticipated on this project.

https://www.cityofrochester.gov/article.aspx?id=8589949007

Page P-8

BID BOND

Bond Number ____________________

KNOW ALL PERSONS BY THESE PRESENTS:

That ________________________________________ of

___________________________________ _________________________ as Principal, and

__________________________________________ a corporation organized and existing under the laws of ______________________________________ and authorized to do business in the State of

New York, as Surety, are held and firmly bound unto

________________________________________________________ as Obligee, in the full and just sum of _____________________________________________________________________ Dollars

( $ ______________________________ ), lawfully money of the United States, for the payment of which sum, well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these present.

WHEREAS, the said Principal is herewith submitting its Proposal.

THE CONDITION OF THIS OBLIGATION is such that if the aforesaid Principal shall be awarded the contract the said Principal will, within the time required, enter into a formal contract and give a good and sufficient bond to secure the performance of the terms and conditions of the contract, then this obligation to be void; otherwise the Principal and Surety will pay unto the Obligee the difference in money between the amount of the bid of the said Principal and the amount for which the Obligee legally contracts with another party to perform the work if the latter amount be in excess of the former, but in no event shall liability hereunder exceed the penal sum hereof.

Signed, sealed and delivered ________________________________________ date

(Seal)

Attorney-in Fact

Page P-9

Apprenticeship Training Program for Construction Contracts

1. Policy and Regulations.

By Ordinance 2003-347 of the City Council, as amended by Ordinance 2009-76, the City of Rochester established a policy to promote apprenticeship training programs, as authorized by Section 816-b of the New York State Labor Law. This policy applies to any City construction contract for an amount in excess of $250,000, or if any add/deduct alternates alone or in combination could result in a contract amount award that exceeds $250,000, regardless of the base bid amount, for construction, reconstruction, or improvement of any building, facility, or physical structure of any kind, and any subcontract thereto in excess of $100,000. Regulations for the implementation and enforcement of the apprenticeship policy follow.

2. Requirement for Contractors and Subcontractors.

For any bids subject to the apprenticeship requirements as defined in Section 1, the City of Rochester requires the Contractor, prior to entering into the construction contract, and any Subcontractor proposed to perform a subcontract thereto in excess of $100,000, to have apprenticeship agreements, appropriate for the type and scope of work to be performed and which have been registered with and approved by the New York State Commissioner of Labor in accordance with Article 23 of the New York Labor Law.

3. Submittals with Bid Proposal.

The Bidder shall submit for itself and for any Subcontractor(s) whom the Bidder proposes at the time of the bid to perform a subcontract in excess of $100,000 in value, copies of the following documents with the bid Proposal for each apprenticeship training program, approved by the New York State Department of Labor, or waiver request, which the Bidder or Subcontractor(s) will need to satisfy the requirements of the Apprenticeship Training Program requirement:

1. If the Bidder is sponsor of an apprenticeship training program, a copy of the Form AT-10, “New York State Department of Labor Apprenticeship Training Program Registration Agreement”, issued to the Bidder in approval of that apprenticeship training program.

2. If…