260074-Bid.pdf

NOTICE TO BIDDERS

NOTICE IS HEREBY GIVEN, that the Undersigned, on behalf of the Essex County Board of Supervisors, will accept sealed bids at the Office of the Purchasing Agent until 2:00 P.M. on Thursday August 27th, 2026 for RIVER ROAD (CR 18) OVER TRIBUTARY TO FRANKLIN FALLS

FLOW CULVERT REPLACEMENT PROJECT.

The bids shall be opened publicly and read aloud on Thursday August 27th, 2026 at 2:00 P.M. at the Office of the Purchasing Agent, 7551 Court Street, Elizabethtown, New York 12932.

Bids are available at: https://www.co.essex.ny.us/wp/bid. Bids may be mailed or delivered to:

Essex County Purchasing, PO Box 217, 7551 Court Street, Elizabethtown, New York 12932.

All bids submitted in response to this notice shall be marked "SEALED BID – RIVER ROAD

(CR 18) OVER TRIBUTARY TO FRANKLIN FALLS FLOW CULVERT

REPLACEMENT PROJECT" clearly on the outside of the envelope with the name and address of the bidder.

Please contact the Purchasing Office at (518) 873-3330 for additional information concerning the bidding. Specifications and standard proposals for the proposed work may be obtained at the above address.

In the event that the Essex County Purchasing Office is closed the day of the Bid Opening due to unforeseen circumstances, the bid(s) will be opened the next business day that the Essex County Purchasing Office is open. The Bid Submission time will remain the same.

Essex County affirmatively states that in regard to any contract entered into pursuant to these instructions, without regard to race, color, sex, religion, age, national origin, disability, sexual preference or Vietnam Era veteran status, disadvantaged and minority or women-owned business enterprises will be afforded equal opportunity to submit bids in response hereto.

Dated: July 30, 2026

Linda M. Wolf, CPA Purchasing Agent Essex County Government Center 7551 Court Street – PO Box 217 Elizabethtown, New York 12932 https://www.co.essex.ny.us/wp/bid

INSTRUCTIONS TO BIDDERS

Each proposal must be accompanied by either a Certified Check payable to Essex County Treasurer in the amount of five percent (5%) of amount of the bid or a Bid Bond, in a form acceptable to the Essex County Attorney.

A labor and material Payment Bond and a Performance Bond in the form contained in the Contract documents will be required of the successful Bidder.

Attention of the bidders is particularly called to the requirements as to the conditions of employment to be observed and minimum wage rates under the Contract.

Effective December 30, 2024, all contractors and subcontractors submitting bids or performing construction work on public work projects or private projects covered by Article 8 of the Labor Law are required to register with the New York State Department of Labor (NYSDOL) under Labor Law Section 220-i. Please visit:

https://dol.ny.gov/contractor-and-subcontractor-landing.

All bids shall be submitted on the bid sheets included in the package, and no other forms shall be accepted.

Award will be made to the lowest responsive and responsible bidder.

Hard Copy Bids can be submitted via USPS or delivery service or hand delivered to the Purchasing Office.

Essex County reserves the right to reject any and all bids not considered to be in the best interest of Essex County, and to waive any technical or formal defect in the bids which is considered by Essex County to be merely irregular, immaterial, or unsubstantial.

In addition to bid sheets, the bidder shall submit executed non-collusion bid certificates signed by the bidder or one of its officers as required by the General Municipal Law Sec. 103d. The bidder shall also submit an executed certificate of compliance with the Iran Divestment Act signed by the bidder or one of its officers as required by the General Municipal Law Sec. 103g.

A Contract awarded pursuant to this notice shall be subject to the provisions of Sections 103-1, 103-b, 103-d and 103-g of the General Municipal Law.

Questions will be received until six (6) days before the opening date. Please address all questions, in writing, to:

daniel.sadowski@essexcountyny.gov or linda.wolf@essexcountyny.gov.

Addenda will be posted on the Essex County Website, interested vendors are urged to check before submitting their bid.

Each bidder will need to complete, sign, have notarized and return the following documents with their Bid:

1) Vendor Responsibility Questionnaire

2) Federal Contract Clauses

3) Certification of Compliance With Iran Divestment Act

4) Non-Collusive Bidding Certification

Payment will be made within 30 days of receipt of invoice and certified payrolls.

mailto:daniel.sadowski@essexcountyny.gov mailto:linda.wolf@essexcountyny.gov

PROJECT SCHEDULE

CONTRACT DESCRIPTION: RIVER ROAD (CR 18) OVER TRIBUTARY TO FRANKLIN

FALLS FLOW CULVERT REPLACEMENT PROJECT

NOTICE TO BIDDERS: July 30th, 2026

BID OPENING DATE: Thursday August 27th at 2:00 pm

ESTIMATED START DATE: Immediately after award

SUBSTANTIAL COMPLETION: July 30th 2027

SPECIFICATIONS

RIVER ROAD (CR 18) OVER TRIBUTARY TO FRANKLIN FALLS FLOW CULVERT

REPLACEMENT PROJECT SCOPE:

It is the intent of these specifications to describe the RIVER ROAD (CR 18) OVER TRIBUTARY TO FRANKLIN FALLS FLOW CULVERT REPLACEMENT PROJECT in the Town of St.

Armond, County of Essex, State of New York.

All material, equipment and labor furnished under this contract shall conform to the following Technical Specification sheets; unless the same are modified by the Essex County Superintendent of Public Works or his authorized representative.

The acceptance of the said labor and materials by the Essex County Superintendent of Public Works or by his authorized representative does not prevent subsequent rejection should the materials and/or workmanship be determined to be defective or not in compliance with the specifications.

COMPLETION DATE: The project should be substantially completed by July 30th, 2027, time is of the essence.

GENERAL: The Bidder shall provide all labor and materials necessary to complete the project as detailed in the project plans titled:

The Bidder agrees to furnish the materials as specified on the above listed project drawings and plans without exception.

6/18/2026

INDEX TO

PROPOSAL

DESCRIPTION

Vendor Responsibility Questionnaire 4 pages

Certificate of Authority 1 page

Certification of Experience 1 page

Bid Security Form #1: Consent of Surety 1 page

Statement of Surety’s Intent 2 pages

Bidder’s Checklist 1 page

Proposal 2 pages

Certification of Compliance With Iran Divestment Act 1 page

Non-Collusive Bidding Certification 1 page

Contractor's Acknowledgement 1 page

Federal Contract Clauses 7 pages

W9 Form 4 pages

ESSEX COUNTY

VENDOR RESPONSIBILITY QUESTIONNAIRE

1. VENDOR IS:

PRIME CONTRACTOR

2. VENDOR’S LEGAL BUSINESS NAME 3. IDENTIFICATION NUMBERS

A) FEIN #

B) DUNS #

4. D/B/A – Doing Business As (if applicable) & COUNTY FIELD 5. WEBSITE ADDRESS (if applicable)

6. ADDRESS OF PRIMARY PLACE OF BUSINESS/EXECUTIVE OFFICE 7. TELEPHONE

NUMBER

8. FAX NUMBER

9. ADDRESS OF PRIMARY PLACE OF BUSINESS/EXECUTIVE OFFICE

IN NEW YORK STATE, if different from above

10. TELEPHONE

NUMBER

11. FAX NUMBER

12. AUTHORIZED CONTACT FOR THIS QUESTIONNAIRE

Name

Title

Telephone Number

Fax Number

Email

13. LIST ALL OF THE VENDOR’S PRINCIPAL OWNERS

A) NAME TITLE B) NAME TITLE

C) NAME TITLE D) NAME TITLE

A DETAILED EXPLANATION IS REQUIRED FOR EACH QUESTION ANSWERED WITH A “YES,” AND MUST BE PROVIDED AS AN ATTACHMENT TO THE COMPLETED QUESTIONNAIRE. YOU MUST PROVIDE ADEQUATE DETAILS OR DOCUMENTS TO AID THE COUNTY IN MAKE A DETERMINATION OF VENDOR RESPONSIBILITY. PLEASE NUMBER EACH RESPONSE TO MATCH THE

QUESTION NUMBER.

14. DOES THE VENDOR USE, OR HAS IT USED IN THE PAST FIVE (5) YEARS, ANY OTHER BUSINESS NAME, FEIN, or D/B/A OTHER THAN THOSE LISTED IN ITEMS 2-4 ABOVE? List all other business name(s), Federal Employer Identification Number(s) or any D/B/A names and the dates that these names or numbers were/are in use. Explain the relationship to the vendor

YES NO

15. ARE THERE ANY INDIVIDUALS NOW SERVING IN A MANAGERIAL OR CONSULTING CAPACITY TO THE VENDOR, INCLUDING PRINCIPAL OWNERS AND OFFICERS, WHO NOW SERVE OR IN THE PAST ONE (1)

YEARS HAVE SERVED AS:

a) An elected or appointed public official or officer?

List each individual’s name, business title, the name of the organization and position elected or appointed to, and dates of service

b) An officer of any political party organization in Essex County, whether paid or unpaid?

List each individuals name, business title or consulting capacity and the official political position held with applicable service dates.

16. WITHIN THE PAST (5) YEARS, HAS THE VENDOR, ANY INDIVIDUALS SERVING IN MANAGERIAL OR CONSULTING CAPACITY, PRINCIPAL, OWNERS, OFFICERS, MAJOR STOCKHOLDER(S) (10% OR MORE OF THE VOTING SHARES FOR PUBLICLY TRADED COMPANIES, 25% OR MORE OF THE SHARES FOR ALL

OTHER COMPANIES), AFFILIATE OR ANY PERSON INVOLVED IN THE BIDDING OR CONTRACTING

PROCESS:

a) 1. been suspended, debarred or terminated by a local, state or federal authority in connection with a contract or contracting process;

2. been disqualified for cause as a bidder on any permit, license, concession, franchise or lease;

3. entered into an agreement to a voluntary exclusion from bidding/contracting;

4. had a bid rejected on an Essex County contract for failure to comply with the MacBride Fair Employment Principles;

5. had a low bid rejected on a local, state or federal contract for failure to meet statutory affirmative action or M/WBE requirements on a previously held contract;

6. had a status as a Women’s Business Enterprise, Minority Business Enterprise or Disadvantaged Business Enterprise, de-certified, revoked or forfeited;

7. been subject to an administrative proceeding or civil action seeking specific performance or restitution in connection with any local, state or federal government contract;

8. been denied an award of a local, state or federal government contract, had a contract suspended or had a contract terminated for non-responsibility; or

9. had a local, state or federal government contract suspended or terminated for cause prior to the completion of the term of the contract.

b) been indicted, convicted, received a judgment against them or a grant of immunity for any business-related conduct constituting a crime under local, state or federal law including but not limited to, fraud, extortion, bribery, racketeering, price-fixing, bid collusion or any crime related to truthfulness and/or business conduct?

c) been issued a citation, notice, violation order, or are pending an administrative hearing or proceeding or determination of violations of:

1. federal, state or local health laws, rules or regulations

17. IN THE PAST THREE (3) YEARS, HAS THE VENDOR OR ITS AFFILIATES1 HAD ANY CLAIMS, JUDGMENTS, INJUNCTIONS, LIENS, FINES OR PENALTIES SECURED BY ANY GOVERNMENTAL AGENCY?

Indicate if this is applicable to the submitting vendor or affiliate. State whether the situation(s) was a claim, judgment, injunction, lien or other with an explanation. Provide the name(s) and address(es) of the agency, the amount of the original obligation and outstanding balance. If any of these items are open, unsatisfied, indicate the status of each items as “open” or “unsatisfied”.

18. DURING THE PAST THREE (3) YEARS, HAS THE VENDOR FAILED TO:

a) file returns or pay any applicable federal, state or city taxes?

Identify the taxing jurisdiction, type of tax, liability year(s), and tax liability amount the vendor failed to file/pay and the current status of the liability.

b) file returns or pay New York State unemployment insurance?

Indicate the years the vendor failed to file/pay the insurance and the current status of the liability.

c) Property Tax Indicate the years the vendor failed to file.

19. HAVE ANY BANKRUPTCY PROCEEDINGS BEEN INITIATED BY OR AGAINST THE VENDOR OR ITS AFFILIATES1 WITHIN THE PAST SEVEN (7) YEARS (WHETHER OR NOT CLOSED) OR IS ANY BANKRUPTCY PROCEEDING PENDING BY OR AGAINST THE VENDOR OR ITS AFFILIATES REGARDLESS OF THE DATE

OF FILING?

Indicate if this is applicable to the submitting vendor or affiliate. If it is an affiliate, include the affiliate’s name and FEIN. Provide the court name, address and docket number. Indicate if the proceedings have been initiated, remain pending or have been closed. If closed, provide the date closed.

20. IS THE VENDOR CURRENTLY INSOLVENT, OR DOES VENDOR CURRENTLY HAVE REASON TO

BELIEVE THAT AN INVOLUNTARY BANKRUPTCY PROCEEDING MAY BE BROUGHT AGAINST IT?

Provide financial information to support the vendor’s current position, for example, Current Ration, Debt Ration, Age of Accounts Payable, Cash Flow and any documents that will provide the agency with an understanding of the vendor’s situation.

21. IN THE PAST FIVE (5) YEARS, HAS THE VENDOR OR ANY AFFILIATES:

a) defaulted or been terminated on, or had its surety called upon to complete, any contract (public or private) awarded;

Indicate if this is applicable to the submitting vendor or affiliate. Detail the situation(s) that gave rise to the negative action, any corrective action taken by the vendor and the name of the contracting agency.

1 “Affiliate” meaning: (a) any entity in which the vendor owns more than 50% of the voting stock; (b) any individual, entity or group of principal owners or officers who own more than 50% of the voting stock of the vendor; or (c) any entity whose voting stock is more than 50% owned by the same individual, entity or group described in clause (b). In addition, if a vendor owns less than 50% of the voting stock of another entity, but directs or has the right to direct such entity’s daily operations, that entity will be an “affiliate” for purposes of this questionnaire.

VENDOR RESPONSIBILITY QUESTIONNAIRE

FEIN #

State of: ) ) ss:

County of: )

CERTIFICATION:

The undersigned: recognizes that this questionnaire is submitted for the express purpose of assisting the County of Essex in making a determination regarding an award of contract or approval of a subcontract;

acknowledges that the County may in its discretion, by means which it may choose, verify the truth and accuracy of all statements made herein; acknowledges that intentional submission of false or misleading information may constitute a felony under Penal Law Section 210.40 or a misdemeanor under Penal Law Section 210.35 or Section 210.45, and may also be punishable by a fine and/or imprisonment of up to five years under 18 USC Section 1001 and may result in contract termination; and states that the information submitted in this questionnaire and any attached pages is true, accurate and complete.

The undersigned certifies that he/she:

• Has not altered the content of the questions in the questionnaire in any manner;

• Has read and understands all of the items contained in the questionnaire and any pages attached by the submitting vendor;

• Has supplied full and complete responses to each item therein to the best of his/her knowledge, information and belief;

• Is knowledgeable about the submitting vendor’s business and operations;

• Understands that Essex County will rely on the information supplied in the questionnaire when entering into a contract with the vendor;

• Is under duty to notify the Essex County Purchasing Officer of any changes to the vendor’s responses.

Name of Business:

Signature of Owner:

Printed Name of Signatory:

Title:

Address: City, State, Zip:

Date:

Sworn before me this _ day of

, 20_

Notary Public

CERTIFICATE OF AUTHORITY

I, (Officer other than officer executing proposal documents) certify that I am the of the

(Title) (Name of Contractor) a corporation, duly organized and in good standing under the

(Law under which organized, e.g., the New York Business Corporation Law) named in the foregoing agreement; that (Person executing proposal documents) who signed said agreement on behalf of the Contractor was, at the time of execution, of the Contractor; that said agreement was duly signed for (Title of such person) and in behalf of said Contractor by authority of its Board of Directors, thereunto duly authorized, and that such authority is in full force and effect at the date hereof.

Signature Corporate Seal

STATE OF NEW YORK ) SS.:

COUNTY OF ESSEX )

On this day of , 20 , before me personally came to me known, and known to me to be the

(Title) of the corporation described in and which executed the above certificate, who being by me duly sworn did depose and say that he, the said resides at , and that he is of said corporation and knows the corporate seal of the said corporation; that the seal affixed to the above certificate is such corporate seal and that it was so affixed by order of the Board of

Directors of said corporation, and that he signed his name thereto by like order.

Notary Public County

CERTIFICATION OF EXPERIENCE

BIDDER:

I, HEREBY CERTIFY THAT (COMPANY

HAS PERFORMED THE FOLLOWING WORK WITHING THE LAST

THREE YEARS UNLESS SPECIFIED DIFFERENTLY IN THE SPECIFICATION:

NAMES OF BUSINESS: CONTACT NAME:

ADDRESS:

AMOUNT OF CONTRACT: TELEPHONE NO.:

TYPE OF WORK: FAX NO.:

NAMES OF BUSINESS: CONTACT NAME:

ADDRESS:

AMOUNT OF CONTRACT: TELEPHONE NO.:

TYPE OF WORK: FAX NO.:

NAMES OF BUSINESS: CONTACT NAME:

ADDRESS:

AMOUNT OF CONTRACT: TELEPHONE NO.:

TYPE OF WORK: FAX NO.:

NAMES OF BUSINESS: CONTACT NAME:

ADDRESS:

AMOUNT OF CONTRACT: TELEPHONE NO.:

TYPE OF WORK: FAX NO.:

NAMES OF BUSINESS: CONTACT NAME:

ADDRESS:

AMOUNT OF CONTRACT: TELEPHONE NO.:

TYPE OF WORK: FAX NO.:

NAMES OF BUSINESS: CONTACT NAME:

ADDRESS:

AMOUNT OF CONTRACT: TELEPHONE NO.:

TYPE OF WORK: FAX NO.:

NOTE: THIS FORM MUST BE EXECUTED BY YOUR

SURETY AND SUBMITTED WITH YOUR BID.

BID SECURITY FORM #1

CONSENT OF SURETY

Issued to:

(Name of Bidder)

CONTRACT NUMBER

In consideration of the premises and of one dollar to it in hand paid by the County of Essex the receipt whereof is hereby acknowledged, the undersigned contents and agrees that if the contract, for which the preceding estimate and proposal is made, be awarded to the corporation, person or persons making the same, it will become bound as surety and guarantor for its faithful performance, and will execute it as party of the third part thereto when required to do so by the said County of Essex and if the said corporation, person or persons shall omit or refuse to execute such contract if so awarded, it will pay, on demand, to the said County of Essex , any difference between the sum bid by the corporation, person or persons and the sum which the said County may be obliged to pay the corporation, person or person to whom the contract may be afterwards awarded, the amount in each case to be determined by the bids for said contract.

In witness whereof, said Surety has set its seal and caused these presents to be signed by its duly authorized officers, this day of ,20

(SEAL)

BY:

TITLE:

NOTE: Attach necessary Power of Attorney, Notarial Acknowledgement of Signature and Surety's Financial Statement.

STATEMENT OF SURETY’S INTENT

To:

We have reviewed the Bid of (Contractor) of (Address) for

(Project)

Bids for which will be received on (Bid Opening Date) and wish to advise that should this Bid of the Contractor be accepted and the Contract awarded to him, it is our present intention to become surety on the Performance Bond and Labor and Materials Payment Bond required by this Contract.

Any arrangement for the bonds required by the Contract is a matter between the Contractor and ourselves, and we assume no liability to you or third parties if for any reason we do not execute the requisite bonds.

We are duly authorized to transact business in the State of New York, and we appear on the U.S.

Treasury Department’s most current list (Circular 570 as amended).

Attest:

Surety’s Authorized Signature(s)

Attach Power of Attorney

(Corporate seal if any. If no seal, write “No Seal” across this place and sign.)

BID SECURITY

(ATTACHED HERE – CERTIFIED CHECK, CASH OR BID BOND)

BIDDER’S CHECKLIST

Each of the following forms must be executed and notarized if applicable:

VENDOR RESPONSIBILITY QUESTIONNAIRE [HAVE NOTARIZED]

CERTIFICATE OF AUTHORITY

CERTIFICATION OF EXPERIENCE

BID SECURITY FORM # 1

STATEMENT OF SURETY’S INTENT

CERTIFICATION OF COMPLIANCE

WITH IRAN DIVESTMENT ACT [HAVE NOTARIZED]

NON-COLLUSIVE BIDDING CERTIFICATION [HAVE NOTARIZED]

FEDERAL CONTRACT CLAUSES [HAVE NOTARIZED]

W9 FORM ___

DATE: _______________________

Proposal of __________________________________________________________________________ to furnish and deliver all labor, supervision, materials, and equipment and perform all work in accordance with the Specifications for RIVER ROAD (CR 18) OVER TRIBUTARY TO FRANKLIN _FALLS FLOW CULVERT REPLACEMENT PROJECT for the following lump sum cost.

The owner, Essex County, is tax-exempt. Do not include sales tax in Bid amounts.

The undersigned bidder has carefully examined the contract documents, site of the work, is familiar with existing conditions, and will provide all necessary insurance, bonds, machinery, tools, apparatus, false work and other means of construction, and do all the work and furnish all the materials called for by said contract according to the following bid, including all labor, supplies and equipment, permits, fees, overhead and profit for the following Lump Sum price. The Lump Sum price is to be shown in both words and figures. In the event of discrepancies, the amount shown in words shall govern. All items are to be furnished, installed in place, and complete.

BASE BID

(Amount in Words)

(Amount in Figures)

ALLOWANCE - $ 20,000

TOTAL BASE BID + ALLOWANCE

(Amount in Words)

(Amount in Figures)

The undersigned further understands that the contract will be awarded to the competent, qualified bidder submitting the lowest bid for the Total Bid.

ADDENDA ACKNOLEDGEMENT

Addendum No. Date Received

The undersigned agrees as follows:

1. The total contract price bid shall be accepted as full compensation for the complete work subject to additions or deductions in quantity of work performed or changes agreed upon.

2. Within twenty (20) days from the date of “Notice of Acceptance” of the Proposal, to execute the contract and to furnish a satisfactory labor, material and performance bond in the amount of 100% of the contract price.

3. To execute the work as specified herein as soon as possible after notice of award.

4. To comply with requirements as to the conditions of employment, wage rates and hours set forth in the bidding documents.

5. Progress Payments will be made on a percentage of completion basis monthly.

6. 5% Retainage will be withheld until final approval of project(s).

BIDDER: __________________________________________________________________________

BY: __________________________________________________________________________

TITLE: __________________________________________________________________________

ADDRESS: __________________________________________________________________________

DATED: __________________________________________________________________________

TELEPHONE: __________________________________________________________________________

FAX: __________________________________________________________________________

SOCIAL SECURITY / FEDERIAL ID NO: ___________________________________________________

EMAIL: __________________________________________________________________________

CERTIFICATION OF COMPLIANCE WITH THE IRAN DIVESTMENT ACT

As a result of the Iran Divestment Act of 2012 (the “Act”), Chapter 1 of the 2012 Laws of New York, a new provision has been added to State Finance Law (SFL) § 165-a and New York General Municipal Law § 103-g, both effective April 12, 2012. Under the Act, the Commissioner of the Office of General Services (OGS) will be developing a list of “persons” who are engaged in “investment activities in Iran” (both are defined terms in the law) (the “Prohibited Entities List”). Pursuant to SFL § 165-a(3)(b), the initial list is expected to be issued no later than 120 days after the Act’s effective date at which time it will be posted on the OGS website.

By submitting a bid in response to this solicitation or by assuming the responsibility of a Contract awarded hereunder, each Bidder/Contractor, any person signing on behalf of any Bidder/Contractor and any assignee or subcontractor and, in the case of a joint bid, each party thereto, certifies, under penalty of perjury, that once the Prohibited Entities List is posted on the OGS website, that to the best of its knowledge and belief, that each Bidder/Contractor and any subcontractor or assignee is not identified on the Prohibited Entities List created pursuant to SFL § 165-a(3)(b).

Additionally, Bidder/Contractor is advised that once the Prohibited Entities List is posted on the OGS Website, any Bidder/Contractor seeking to renew or extend a Contract or assume the responsibility of a Contract awarded in response to this solicitation must certify at the time the Contract is renewed, extended or assigned that it is not included on the Prohibited Entities List.

During the term of the Contract, should the County receive information that a Bidder/Contractor is in violation of the above-referenced certification, the County will offer the person or entity an opportunity to respond. If the person or entity fails to demonstrate that he/she/it has ceased engagement in the investment which is in violation of the Act within 90 days after the determination of such violation, then the County shall take such action as may be appropriate including, but not limited to, imposing sanctions, seeking compliance, recovering damages or declaring the Bidder/Contractor in default.

The County 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.

I, , being duly sworn, deposes and says that he/she is the of the Corporation and that neither the Bidder/Contractor nor any proposed subcontractor is identified on the Prohibited Entities List.

SIGNED

SWORN to before me this day of , 20

NON-COLLUSIVE BIDDING CERTIFICATION

1. By submission of this bid, the undersigned bidder and each person signing on behalf of such 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 the undersigned’s knowledge and belief:

(a) 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;

(b) 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

(c) 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. The undersigned acknowledges and agrees that a bid shall not be considered for award nor shall any award be made where any of the 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 therefor. Where one or more of the above has/have not been complied with, the bid shall not be considered for award nor shall any award be made unless the political subdivision, public department, agency or official thereof to which the bid is made, or his designee, determines that such disclosure was not made for the purpose of restricting competition.

3. The undersigned also acknowledges and agrees that 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 paragraph 1 above.

4. The undersigned further acknowledges and agrees that any bid hereafter made to any political subdivision of the state or any public department, agency or official thereof by a bidder which is a corporation or a limited liability company for work or services performed or to be performed or goods sold or to be sold, where competitive bidding is required by statute, rule, regulation, or local law, and where such bid contains the certification referred to in paragraph 1 of this certificate, 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 or limited liability company.

Name of Bidder:

(print full legal name)

Date Signed: Signature:

Name of Person Signing Certificate:

(print full legal name of signer)

Bidder is (check one): □ an individual, □ a limited liability partnership, □ a limited liability company,

□ other entity (specify):

STATE OF NEW YORK) SS:

COUNTY OF ESSEX)

CONTRACTOR’S ACKNOWLEDGEMENT

(If Corporation)

On this day of 20 , before me personally came to me known, and known to me to be the of the Corporation described in and which executed the within instrument, who being duly sworn did depose and say that he, the said reside at and that he is of said corporation and knows the corporate seal of the said corporation; that the seal affixed to the within instrument is such corporate seal and that it was so affixed by order of the Board of Directors of said corporation, and that he signed his name thereto by like order.

(If Individual) to me known, and known to me to be the same person described in and who executed the within instrument and he duly acknowledged to me that he executed the same for the purpose herein mentioned and, if operating under and trade name, that the certificate required by the New York State Penal Law, Sections 440 and 440-b has been filed with the County Clerk of Essex County.

(If Co-Partnership) to me known, and known to me to be a member of the firm of and the person described in, and who executed the within instrument in behalf of said firm for the purposes herein mentioned and that the certificate required by the New York State Penal Law, Sections 440 and 440-b has been filed with the County Clerk of Essex County.

PAGE: 1

ESSEX COUNTY - PURCHASING

7551 Court Street, PO Box 217, Elizabethtown, NY 12932

TELEPHONE: 518-873-3330 / TELEFAX: 518-873-3339

TITLE: BID NUMBER:

REQUIRED CONTRACT PROVISIONS FOR NON-FEDERAL ENTITY

CONTRACTS UNDER FEDERAL AWARDS – APPENDIX II TO 2 CFR PART 200

Instructions:

1. All clauses must be initialed.

2. A notary is only required for one page.

Vendor agrees to comply with all federal, state, and local laws, rules, regulations and ordinances, as applicable.

It is further acknowledged that vendor certifies compliance with all provisions, laws, acts, regulations, etc. as specifically noted and agreed to on the following pages.

Vendor’s Name / Company Name: ___________________________________________________________

Address, City, State, and Zip Code: ___________________________________________________________

Phone Number: ____________________________ Fax Number: ______________________________

Printed Name and Title of Authorized Representative:

Email Address: ___________________________________________________________________________

Signature of Authorized Representative: ________________________________________________________

Date: _________________________________

Federal Tax ID #: _______________________

SWORN to before me this ______________ day of

___________________________, 20___

*Note: ALL Sections on the following pages must be initialed and this Statement must be signed before a Notary

PAGE: 2

7551 Court Street, PO Box 217, Elizabethtown, NY 12932

TELEPHONE: 518-873-3330 / TELEFAX: 518-873-3339

TITLE: BID NUMBER:

The following provisions are required and apply when federal funds are expended by ESSEX COUNTY for any contract resulting from this procurement process.

(A) Contracts for more than the simplified acquisition threshold currently set at $250,000, which is the inflation adjusted amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulations Council (Councils) as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate.

Pursuant to Federal Rule (A) above, when federal funds are expended by ESSEX COUNTY, the County reserves all rights and privileges under the applicable laws and regulations with respect to this procurement in the event of breach of contract by either party.

Does vendor agree? YES ____ Initials of Authorized Representative of vendor

(B) Termination for cause and for convenience by the grantee or subgrantee including the manner by which it will be effected and the basis for settlement. (All contracts in excess of $10,000)

Pursuant to Federal Rule (B) above, when federal funds are expended by ESSEX COUNTY, ESSEX COUNTY reserves the right to immediately terminate any agreement in excess of $10,000 resulting from this procurement process in the event of a breach or default of the agreement by Vendor, in the event vendor fails to:

(1) meet schedules, deadlines, and/or delivery dates within the time specified in the procurement solicitation, contract, and/or a purchase order;

(2) make any payments owed; or

(3) otherwise perform in accordance with the contract and/or the procurement solicitation. ESSEX COUNTY also reserves the right to terminate the contract immediately, with written notice to vendor, for convenience, if ESSEX COUNTY believes, in its sole discretion that it is in the best interest of ESSEX COUNTY to do so. The vendor will be compensated for work performed and accepted and goods accepted by ESSEX COUNTY as of the termination date if the contract is terminated for convenience of ESSEX COUNTY. Any award under this procurement process is not exclusive and ESSEX COUNTY reserves the right to purchase goods and services from other vendors when it is in the best interest of

ESSEX COUNTY.

Does vendor agree? YES ____ Initials of Authorized Representative of vendor

(C) Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all contracts that meet the definition of “federally assisted construction contract” in 41 CFR Part 60-1.3 must include the equal opportunity clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, “Equal Employment Opportunity” (30 FR 12319, 12935, 3 CFR Part, 1964-1965 Comp., p. 339), as amended by Executive Order 11375, “Amending Executive Order 11246 Relating to Equal Employment Opportunity,” and implementing regulations at 41 CFR part 60, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor.”

Pursuant to Federal Rule (C) above, when federal funds are expended by ESSEX COUNTY on any federally assisted construction contract, the equal opportunity clause is incorporated by reference herein.

(D) Davis-Bacon Act, as amended (40 U.S.C. 3141-3148). When required by Federal program legislation, all prime construction contracts in excess of $2,000 awarded by non-Federal entities must include a provision for compliance with the Davis-Bacon Act (40 U.S.C. 3141-3144, and 3146- 3148) as supplemented by Department

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7551 Court Street, PO Box 217, Elizabethtown, NY 12932

TELEPHONE: 518-873-3330 / TELEFAX: 518-873-3339

TITLE: BID NUMBER:

of Labor regulations (29 CFR Part 5, “Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction”). In accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once a week. The non- Federal entity must place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non-Federal entity must report all suspected or reported violations to the Federal awarding agency. The contracts must also include a provision for compliance with the Copeland “Anti-Kickback” Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, “Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States”). The Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The non-Federal entity must report all suspected or reported violations to the Federal awarding agency.

Pursuant to Federal Rule (D) above, when federal funds are expended by ESSEX COUNTY, during the term of an award for all contracts and subgrants for construction or repair, the vendor will be in compliance with all applicable Davis-Bacon Act provisions.

(E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708). Where applicable, all contracts awarded by the non-Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence.

Pursuant to Federal Rule (E) above, when federal funds are expended by ESSEX COUNTY, the vendor certifies that during the term of an award for all contracts by ESSEX COUNTY resulting from this procurement process, the vendor will be in compliance with all applicable provisions of the Contract Work Hours and Safety Standards Act.

(F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of “funding agreement” under 37 CFR §401.2 (a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that “funding agreement,” the recipient or subrecipient must comply with the requirements of 37 CFR Part 401, “Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,” and any implementing regulations issued by the awarding agency.

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7551 Court Street, PO Box 217, Elizabethtown, NY 12932

TELEPHONE: 518-873-3330 / TELEFAX: 518-873-3339

TITLE: BID NUMBER:

Pursuant to Federal Rule (F) above, when federal funds are expended by ESSEX COUNTY, the vendor certifies that during the term of an award for all contracts by ESSEX COUNTY resulting from this procurement process, the vendor agrees to comply with all applicable requirements as referenced in Federal Rule (F) above.

(G) Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251-1387), as amended—Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the non-Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C.

1251- 1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA).

Pursuant to Federal Rule (G) above, when federal funds are expended by ESSEX COUNTY, the vendor certifies that during the term of an award for all contracts by ESSEX COUNTY resulting from this procurement process, the vendor agrees to comply with all applicable requirements as referenced in Federal Rule (G) above.

Debarment and Suspension (Executive Orders 12549 and 12689)—A contract award (see 2 CFR 180.220) must not be made to parties listed on the governmentwide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), “Debarment and Suspension.” SAM Exclusions contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549.

Pursuant to Federal Rule (H) above, when federal funds are expended by ESSEX COUNTY, the vendor certifies that during the term of an award for all contracts by ESSEX COUNTY resulting from this procurement process, the vendor certifies that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation by any federal department or agency or by the State of Texas. Vendor shall immediately provide written notice to ESSEX COUNTY if at any time the vendor learns that this certification was erroneous when submitted or has become erroneous by reason of changed circumstances. ESSEX COUNTY may rely upon a certification of a vendor that the vendor is not debarred, suspended, ineligible, or voluntarily excluded from the covered contract, unless ESSEX COUNTY knows the certification is erroneous.

(I) Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)—Contractors that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the non- Federal award.

Pursuant to Federal Rule (I) above, when federal funds are expended by ESSEX COUNTY, the vendor certifies

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7551 Court Street, PO Box 217, Elizabethtown, NY 12932

TELEPHONE: 518-873-3330 / TELEFAX: 518-873-3339

TITLE: BID NUMBER:

that during the term and after the awarded term of an award for all contracts by ESSEX COUNTY resulting from this procurement process, the vendor certifies that it is in compliance with all applicable provisions of the

Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). The undersigned further certifies that:

(1) No Federal appropriated funds have been paid or will be paid by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of a Federal contract, the making of a Federal grant, the making of a Federal loan, the entering into a cooperative agreement, and the extension, continuation, renewal, amendment, or modification of a Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying”, in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certificate is a prerequisite for making or entering into this transaction imposed by Section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

(J) Procurement of Recovered Materials – When federal funds are expended by ESSEX COUNTY, ESSEX COUNTY and its contractors must comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include: (1) procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; (2) procuring solid waste management services in a manner that maximizes energy and resource recovery; and (3) establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines.

Pursuant to Federal Rule (J) above, when federal funds are expended ESSEX COUNTY, as required by the Resource Conservation and Recovery Act of 1976 (42 U.S.C. § 6962(c)(3)(A)(i)), the vendor certifies, by signing this document, that the percentage of recovered materials content for EPA-designated items to be delivered or used in the performance of the contract will be at least the amount required by the applicable contract specifications or other contractual requirements.

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7551 Court Street, PO Box 217, Elizabethtown, NY 12932

TELEPHONE: 518-873-3330 / TELEFAX: 518-873-3339

TITLE: BID NUMBER:

(K) Required Affirmative Steps for Small, Minority, And Women-Owned Firms for Contracts Paid for with Federal Funds – 2 CFR § 200.321 – When federal funds are expended by ESSEX COUNTY, Vendor is required to take all affirmative steps set forth in 2 CFR 200.321 to solicit and reach out to small, minority and women owned firms for any subcontracting opportunities on the project, including: 1) Placing qualified small and minority businesses and women's business enterprises on solicitation lists; 2) Assuring that small and minority businesses, and women's business enterprises are solicited whenever they are potential sources; 3) Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority businesses, and women's business enterprises; 4) Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority businesses, and women's business enterprises; and 5) Using the services and assistance, as appropriate, of such organizations as the Small Business Administration and the Minority Business Development Agency of the Department of Commerce.

RECORD RETENTION REQUIREMENTS FOR CONTRACTS PAID FOR WITH FEDERAL

FUNDS – 2 CFR § 200.333

When federal funds are expended by ESSEX COUNTY for any contract resulting from this procurement process, the vendor certifies that it will comply with the record retention requirements detailed in 2 CFR §

200.333. The vendor further certifies that vendor will retain all records as required by 2 CFR § 200.333 for a period of three years after grantees or subgrantees submit final expenditure reports or quarterly or annual financial reports, as applicable, and all other pending matters are closed.

CERTIFICATION OF COMPLIANCE WITH EPA REGULATIONS

APPLICABLE TO GRANTS, SUBGRANTS, COOPERATIVE AGREEMENTS, AND

CONTRACTS IN EXCESS OF $100,000 OF FEDERAL FUNDS

process in excess of $100,000, the vendor certifies that the vendor is in compliance with all applicable standards, orders, regulations, and/or requirements issued pursuant to the Clean Air Act of 1970, as amended (42 U.S.C.

1857(h)), Section 508 of the Clean Water Act, as amended (33 U.S.C. 1368), Executive Order 117389 and Environmental Protection Agency Regulation, 40 CFR Part 15.

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7551 Court Street, PO Box 217, Elizabethtown, NY 12932

TELEPHONE: 518-873-3330 / TELEFAX: 518-873-3339

TITLE: BID NUMBER:

CERTIFICATION OF COMPLIANCE WITH THE ENERGY POLICY AND

CONSERVATION ACT

process, the vendor certifies that the vendor will be in compliance with mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163, 89 Stat. 871).

CERTIFICATION OF COMPLIANCE…