CFS3149 RFQ - OCFS Phase IV Fuel Ops Enhancement - Region A OMNTEC Replacements.pdf

NYS Office of Children and Family Services Capital Facilities Services Bureau

REQUEST FOR PRICE QUOTATION

PROJECT TITLE: OCFS REF No.

PROJECT LOCATION:

OCFS Capital Facilities Services Bureau | 52 Washington Street, Suite 106-S, Rensselaer, NY 12144 │ Tel: (518) 473 – 0487 │ Page 1 of 7

TO: FROM: NYS Office of Children and Family Services

Capital Facilities Services Bureau

52 Washington Street, Suite 106-S

Rensselaer, NY 12144-2735

Attn: Alfred Yalaju, RA

FACILITY NAME & LOCATION:

A. GENERAL CONDITIONS

1. PRICE QUOTATION REQUEST

Written and sealed price quotation is herein requested by NYS Office of Children and Family Services (OCFS) for the performance of work-items in the above indicated project. For consideration, eligibility and award, provide written and sealed price quotation not later than _____________________ using the Vendor’s Price Quotation Response form appending this solicitation.

2. OCFS EVALUATION OF PRICE QUOTATION & CORRESPONDING AWARD

OCFS will review and evaluate price quotations from multiple vendors, and will notify each vendor of the results of the price quotation not later than _______________________. The successful bidder/vendor will mobilize his/her workforce and equipment to commence the work not later than ____ ( ____________ ) calendar days following the date indicated in OCFS Notice to Proceed with the work.

OCFS reserves the right to accept OR reject price quotations received for the project-work solicitation in entirety or for specific work items; and also, reserves the right to waive minor editorial irregularities in the price quotation with di minimis impact in the quoted price and work scope.

3. PRE-BID SITE VISIT & INSPECTION

Although it is not required, vendors are encouraged to visit the project site and inspect the work-items for familiarity with the work and understanding of the work-scope. Arrange, coordinate and visit site to inspect the existing conditions, associated work-items and the surrounding project facilities. For site visit arrangements and coordination contact: _______________________ , via

Telephone: ______________________ and/or _______________________________

4. TEMPORARY FACILITIES

Temporary Facilities: For access into the project site(s), coordinate with the designated OCFS designated Director’s

Representative for Gate Clearances, required protocols for entry and movement within the facilities and for personnel vehicle parking. For potable water and electrical power use provisions shall be made available at the project site by OCFS. Vendor shall provide cabling and necessary connections to power source as directed by the Director’s Representative. Vendor shall provide fluid pumping devices/equipment, and water-hoses as required to perform this work. Vendor shall provide disposal tanks or containers to remove and dispose of contaminated water, existing fuel, as well as the solution-mixture of waste water, cleaning agents and fuel. Disposal of these fluids shall be done off-site in compliance with applicable Federal, State and local laws as well as related regulations.

OCFS Capital Facilities Services Bureau | 52 Washington Street, Suite 106-S, Rensselaer, NY 12144 │ Tel: (518) 473 – 0487 │ Page 2 of 7

5. BACKGROUND INFORMATION ON FACILITY & WORK-ITEMS

Each project site is a residential center for youths in NYS care and set in controlled campus setting which may contain multiple buildings.

OCFS Capital Facilities Services Bureau | 52 Washington Street, Suite 106-S, Rensselaer, NY 12144 │ Tel: (518) 473 – 0487 │ Page 3 of 7

B. WORKS SCOPE

OCFS Capital Facilities Services Bureau | 52 Washington Street, Suite 106-S, Rensselaer, NY 12144 │ Tel: (518) 473 – 0487 │ Page 3 of 7

B. WORKS SCOPE

PROJECT FACILITY NAME:

OCFS Capital Facilities Services Bureau | 52 Washington Street, Suite 106-S, Rensselaer, NY 12144 │ Tel: (518) 473 – 0487 │ Page 4 of 6

C. VENDOR/CONTRACTOR PRICE QUOTATION RESPONSE

TO: NYS Office of Children and Family Services

Capital Facilities Services Bureau 52 Washington Street, Suite 106-S Rensselaer, NY 12144-2735

Attn: Alfred Yalaju, RA

FROM:

1. The vendor agrees to provide tools, instruments, equipment, technical and supervising personnel for the installation and work execution; and provide materials and devices in completing the solicited work/services indicated in item B of this solicitation for the following prices:

________________________________________________________________________00/100 Dollars.

(Indicate Price in words; Items iii plus vi)

PU4445

Rectangle

OCFS Capital Facilities Services Bureau | 52 Washington Street, Suite 106-S, Rensselaer, NY 12144 │ Tel: (518) 473 – 0487 │ Page 5 of 7

D. SUPPLEMENTARY CONDITIONS

In submitting the above Price Quotation, the Vendor/Bidder is entering an agreement with a NYS-OCFS when the Price Quotation Response is accepted by NYS-OCFS; and the agreement will be based on the following conditions:

1. Vendor will complete the deliverable work-items for the total lump sum price indicated above; and will reach FINAL COMPLETION of the entire project Work Scope (in Part B of the solicitation) within _______ CALENDAR DAYS from the date of OCFS Notice to Proceed issued to the Vendor.

2. That the Vendor shall comply and conform with the General and Supplementary Conditions indicated as part of this solicitation.

3. That the Vendor shall comply with federal, state and local laws and regulations applicable to work scope items, work performance and pertinent protections for personnel, property and the environment.

4. That there exist the understands that the words “Bidder”, “Vendor” and “Contractor” have been used interchangeably herein dependent on the stage to which this procurement has reached.

5. The selected Vendor/Bidder must certify that no other obligation or engagement, contractual or otherwise, will conflict with or in any way impact its ability to provide services required under this RFP.

6. The Vendor/Binder shall comply and conform with the General and Supplementary Conditions indicated as part of this solicitation.

7. The Vendor/Bidder shall comply with federal, state and local laws and regulations applicable to work scope items, work performance and pertinent protections for personnel, property and the environment. The Contractor shall use reasonable care to minimize the risk that its work poses to the environment, the customers, the public and the contractor’s employees.

8. The selected Vendor/Bidder must certify that no other obligation or engagement, contractual or otherwise, will conflict with or in any way impact its ability to provide services required under this RFP.

9. The Vendor/Bidder/Contractor certifies that it will indemnify and hold harmless the State of New York, its officers and employees from all claims, demands, damages, expenses, liability or obligation for damages, loss or injury to, or of, any person or property arising out of the acts of the Contractor, its agents, servants, employees and those acting for or on its behalf. Such indemnity shall not be limited by reasons of any insurance coverage provided.

10. Vendor/Contractor use of Field Order Contingency Allowance is limited to repair/replacement of existing items pertinent to the project work not anticipated and not detectable from reasonable visual inspection. The use of the allowance shall be done in writing and with written approval from OFS. The balance of the allowance not used at the completion of the project shall be credited back to OCFS.

11. All modifications proposed by Contractor, shall be submitted in writing; reviewed and evaluated by OCFS accordingly.

OCFS acceptance of the Contractor’s proposed modification to the Contract terms and conditions is subject to the sole discretion of OCFS.

12. Modifications proposed by OCFS, including updates and amendments, shall be submitted in writing, reviewed and processed by the Contractor. OCFS proposed modifications are subject to negotiations with the Contractor prior to the Contractor’s acceptance of the modification.

13. The Vendor/Bidder shall comply with federal, state and local laws and regulations applicable to work scope items, work performance and pertinent protections for personnel, property and the environment. The Contractor shall use reasonable care to minimize the risk that its work poses to the environment, the customers, the public and the contractor’s employees.

14. The selected Vendor/Bidder must certify that no other obligation or engagement, contractual or otherwise, will conflict with or in any way impact its ability to provide services required under this RFP.

OCFS Capital Facilities Services Bureau | 52 Washington Street, Suite 106-S, Rensselaer, NY 12144 │ Tel: (518) 473 – 0487 │ Page 6 of 7

15. The Vendor/Bidder/Contractor certifies that it will indemnify and hold harmless the State of New York, its officers and employees from all claims, demands, damages, expenses, liability or obligation for damages, loss or injury to, or of, any person or property arising out of the acts of the Contractor, its agents, servants, employees and those acting for or on its behalf. Such indemnity shall not be limited by reasons of any insurance coverage provided.

16. Vendor/Contractor use of Field Order Contingency Allowance is limited to repair/replacement of existing items pertinent to the project work not anticipated and not detectable from reasonable visual inspection. The use of the allowance shall be done in writing and with written approval from OFS. The balance of the allowance not used at the completion of the project shall be credited back to OCFS.

17. All modifications proposed by Contractor, shall be submitted in writing; reviewed and evaluated by OCFS accordingly.

OCFS acceptance of the Contractor’s proposed modification to the Contract terms and conditions is subject to the sole discretion of OCFS.

18. Modifications proposed by OCFS, including updates and amendments, shall be submitted in writing, reviewed and processed by the Contractor. OCFS proposed modifications are subject to negotiations with the Contractor prior to the Contractor’s acceptance of the modification.

19. This terms and conditions indicated herein, the referenced appendices and attachments constitute the entire agreement between the Parties thereto and no statement, promise, condition, understanding, inducement or representation, oral or written, expressed or implied, which is not contained herein shall be binding or valid and the Agreement/Contract shall not be changed, modified or altered in any manner except by an instrument in writing executed by OCFS and the Contractor, with all necessary approvals. Neither OCFS nor the Contract have the authority to modify the terms of the Agreement/Contract, except to reach mutually accepted conditions for better terms, better deliverable work item(s) and best value pricing accomplished through negotiations.

20. The Contractor shall immediately notify OCFS designated Representative in writing of any indication of underground leakages which may be resulting from leaky facility infrastructure and/or underground public utility.

21. The Contractor is under an affirmative duty to inform itself by personal examination of the physical conditions affecting the work performance, location of the proposed work and laws and regulations affecting the performance of the work; and it is encouraged that a pre-performance site visit be undertaken as one of several means it may select, to gain the required knowledge of applicable physical site conditions, character, quality, and extent of the work to be performed.

22. This Agreement/Contract shall be terminated with any of the following actions and/or events:

(I) The Contractor has completed the work in accordance the requirements of this Agreement/Contract in a manner and with deliverable work-items accepted by OCFS; and contract amounts owed to Contractor has been paid by OCFS; and with issuance of a completion notice.

(II) OCFS and the Contractor reach mutually agreed terms to terminate this Agreement/Contract.

(III) OCFS takes unilateral action to terminate the agreement upon OCFS determination that the Contractor has breached provisions of this Agreement/Contract. In such an event and prior to official termination, OCFS will issue a notice to Contractor to remedy OCFS cited cause for prospective termination; and require that the Contractor remedy the deficient performance and/or defective work with 30 calendars, without which termination of this Agreement/Contractor by OCFS shall become effective.

23. ☐

☐ If this box is checked, there are attachments to this solicitation; and may include plans, sketches, photographs, specifications, and/or scope of work.

24. The understanding that “NYS-OCFS” and “OCFS” have used interchangeably in the solicitation as acronyms for New York State Office of Children and Family Services. The word Owner also means New York State Office of Children and Family Services.

OCFS Capital Facilities Services Bureau | 52 Washington Street, Suite 106-S, Rensselaer, NY 12144 │ Tel: (518) 473 – 0487 │ Page 7 of 7

25. Prior to commencing the Work, the contractor shall provide the certificate(s) of insurance coverages for:

(I) General Liability Policy; Identifying the Project by Project Title and name of Facility (ies); and naming the NYS Office of Children and Family Services as "additionally insured"; and providing a minimum of 30 days’ advance notice for any changes in insurance coverage. The Contractor must maintain a general liability insurance policy for $1,000,000 coverage (each occurrence). Coverages shall include liability arising from premises operations, independent contractors, products-completed operations, broad form property damage, personal & advertising injury, cross liability coverage, liability assumed in a contract (including the tort liability of another assumed in a contract) and explosion, collapse & underground coverage. If such insurance contains an aggregate limit, it shall apply separately on a per location or per project basis.

(II) Worker's Compensation Insurance: Statutory Limits.

(III) Disability Insurance Coverage: Statutory Limits.

26. NYS Prevailing Wage Rates are applicable to the work subject to NYS Labor Law Article 8; whereby NYS Labor Department Wage Rate reference No. 1449090 and the Prevailing Rate Case Number (PCR#) for this project is

2018003256 ; and related access to the Wage Rate Schedule is through NYS Labor Department website:

https://applications.labor.ny.gov/wpp/publicViewProject.do?method=showIt&id=1449090

Vendor/Contractor personnel assigned to execute the work will be limited to the following:

Assigned Employees

Employee Name Employee Title Hourly Wage Rate

(I) __________________________ _________________________________ _______________

(II) __________________________ _________________________________ _______________

(III) __________________________ _________________________________ _______________

(IV) __________________________ _________________________________ _______________

27. OCFS will consider Vendor’s/Bidder’s responsiveness to this RFQ as complete with OCFS receipt of the documents listed in Exhibit A: Required Documents Submission for Project—provided with this solicitation.

28. The Vendor’s/Bidder’s submission of this response must be fully and properly executed by an authorized person/representative. By signing you certify your express authority to sign on behalf of yourself, your company, or other entity and full knowledge and acceptance of this Request for Price Quotation (including any reference law, regulations, appended exhibits and/or addendums), that all information provided is complete, true and accurate.

(Signature) (Date)

(Full Name) (Official Title)

(I) Legal Business Name of Company: ________________________________________________________

Check one of the following business types: Corporation; Partnership; Limited Liability Corporation

Sole Proprietor/Doing Business As (DBA)

(II) Federal Identification No. _____ - ____________________

(III) Official Business Location (full street address): _______________________________________________

NYS - OCFS Capital Facilities Services Bureau | 52 Washington Street, Suite 106-S, Rensselaer, NY 12144 │ Telephone: (518) 473 – 0487 │ Page 1 of 2

Capital Facilities Services Bureau 52 Washington Street, Suite 106-S

Rensselaer, NY 12144-2735 Tel: 518.473.0487 ANDREW M. CUOMO

Governor

SHEILA J. POOLE

Acting Commissioner

EXHIBIT A: REQUIRED DOCUMENTS SUBMISSION FOR PROJECT

PROJECT TITLE: Clean & Refurbish Fuel Tanks for Recommissioning OCFS REF No. CFS1920

PROJECT FACILITY NAME & LOCATION: OCFS Harriet Tubman Residential Center; 6706 Pine Ridge Road, Auburn, NY 10302

CHECKLIST OF COMPLETED DOCUMENTS SUBMISSION (Provide items with checkbox marked ☒

DOCUMENT TITLE OR DESCRIPTION SUBMISSION REQ. & SEQUENCE SIGNATURE &/or NOTARY ADDITIONAL ITEM

1. ☒

Vendor Response

Part ___ of this Solicitation

Required with submission of Proposal or Bid or Price Quotation

Signature: Required from Principal officer, &/or Owner

Notary

2. ☒

Non-Collusive Bidding Certification form

Required with submission of Proposal or Bid or Price Quotation

Signature: Required from Authorized Representative

3. ☒

MacBride Nondiscrimination Certification Form

Required with Proposal or Bid or Price Quotation

Signature required from Authorized Representative

4. ☒

Procurement Lobbying Act – Offerer Certification

Required with submission of Proposal or Bid or Price Quotation:

OCFS-4822 Procurement Lobbying Act – Offerer Certification Form

Signature required from Authorized Representative

5. ☒

Certificate of General Liability Insurance

Required within 5 days after OCFS Notice of Acceptance of Proposal/Bid/Quotation:

• ISO Occurrence form CG 00 01

OR

• ACORD Insurance Binder

Representative or Agent

Provide coverages for:

Each Occurrence

Damage to rented Premises

Medical Expenses (Any one person)

Personal & Adv Injury

☒ General Aggregate

☒ Products- Comp/Op Aggregate

☐ Additionally Insured: OCFS Staff & Property

6. ☒

Certificate of Automobile Insurance

(Vehicles Owned and Hired: Used on the project-site or for the project-work)

Information for this insurance coverage may be combined in the same binder with Certificate of General Liability

Required prior to commencing work:

• ISO Occurrence form CG 00 01

OR

• ACORD Insurance Binder

Provide coverages for:

☒ Combine Single Limit (Ea. Accident)

☒ Bodily Injuries (Per person)

Property Damage (Per Accident) ☐ Excess liability

☒ Additionally Insured: OCFS as Certificate Holders;

Staff & Property

EXHIBIT A: REQUIRED DOCUMENTS SUBMISSION FOR PROJECT

PROJECT TITLE: Clean & Refurbish Fuel Tanks for Recommissioning OCFS REF No. CFS1920

PROJECT FACILITY NAME & LOCATION: OCFS Harriet Tubman Residential Center; 6706 Pine Ridge Road, Auburn, NY 10302

NYS - OCFS Capital Facilities Services Bureau | 52 Washington Street, Suite 106-S, Rensselaer, NY 12144 │ Telephone: (518) 473 – 0487 │ Page 2 of 2

CHECKLIST OF COMPLETED DOCUMENTS SUBMISSION (Provide items with checkbox marked ☒

DOCUMENT TITLE OR DESCRIPTION SUBMISSION REQ. & SEQUENCE SIGNATURE &/or NOTARY ADDITIONAL ITEM

7. ☒

Certificate of Disability Benefit Insurance

OR

Certificate of Disability Benefits Self Insurance

OR

Certificate of Attestation of Exemption from NYS Workers’ Compensation and/or Disability Benefits Coverage

OR

Certificate of Attestation for NY Entities with No Employees and certain out-of-state Entities

Required prior to commencing work:

• Form DB-120.1

OR

• Form DB-155

OR

• Form CE-200

8. ☒

Certificate of Workers Compensation Insurance

OR

Certificate of Workers Compensation Self Insurance

OR

Certificate of Participation in Workers’ Compensation Group Self-Insurance

Required prior to commencing work

• Form C-105.2

OR

• Form U-26.3

OR

• Form SI-12

OR

• Form GSI-105.2

9. ☒

OCFS Policy Requirement for Business

Participation Opportunities for NYS

Certified Minority and/or Women-Owned

Business Enterprise (MWBEs)

Required with submission of Proposal, Bid &/or price quotation:

• OCFS-4629 Staffing Plan

• &/OR OCFS-4630 MWBE

Participation

OR

• OCFS-4442 MWBE Request for Waiver

Required during work performance:

• OCFS Form 4441

Representative

OCFS-4822 (9/2006)

NEW YORK STATE

OFFICE OF CHILDREN AND FAMILY SERVICES

PROCUREMENT LOBBYING ACT – OFFERER CERTIFICATION FORM

• Disclosure of Prior Non-Responsibility Determinations

• Affirmation of Understanding and Agreement

• Certification of Compliance

NAME OF INDIVIDUAL OR ENTITY SEEKING TO ENTER INTO THE PROCUREMENT CONTRACT:

ADDRESS:

CONTRACT PROCUREMENT NUMBER:

1. Has any Governmental Entity made a finding of non-responsibility pursuant to State Finance Law Section 163-(9)(f) regarding the individual or entity seeking to enter into the Procurement Contract in the previous four years?

Yes

No

If you answered Yes to question number 1, please answer questions 2 and 3. If not, skip to question 4.

2. Was the basis for the finding of non-responsibility due to a violation of State Finance Law

§139-j?

3. Was the basis for the finding of non-responsibility due to the intentional provision of false or incomplete information to a Governmental Entity?

4. Has any Governmental Entity or other Government agency terminated or withheld a Procurement Contract with the above-named individual or entity due to the intentional provision of false or incomplete information?

5. If you answered yes to any of the questions above, please provide the following details regarding the finding of non-responsibility, termination, or withholding of a contract.

Government Entity:

Date of Finding of Non-Responsibility, Termination or Withholding of Contract:

Basis of Finding of Non-Responsibility, Termination or Withholding of Contract (Add additional pages if/as necessary):

Offerer affirms that he/she understands and agrees to comply with the New York State procedures relative to permissible contacts as required by State Finance Law §139-j.

Offerer certifies that all information provided to the Governmental Entity with respect to State Finance Law §139-k is complete, true and accurate.

By:

Date:

(Signature)

PRINT NAME:

PRINT TITLE:

OCFS-4822 (9/2006)

IINNSSTTRRUUCCTTIIOONNSS

PPrrooccuurreemmeenntt LLoobbbbyyiinngg AAcctt CCeerrttiiffiiccaattiioonn FFoorrmm

Background

Offerer Disclosure of Prior Non-Responsibility Determinations

New York State Finance Law §139-k(2) obligates a Governmental Entity to obtain specific information regarding prior non-responsibility determinations with respect to State Finance Law §139-j. This information must be collected in addition to the information that is separately obtained pursuant to State Finance Law §163(9) which relates to vendor responsibility for a broader range of reasons. In accordance with State Finance Law §139-k, an offerer must be asked to disclose whether there has been a finding of non-responsibility made within the previous four (4) years by any governmental entity due to: (a) a violation of State Finance Law §139-j or (b) the intentional provision of false or incomplete information to a governmental entity. The terms “offerer” and “governmental entity” are defined in State Finance Law § 139-k(1). State Finance Law §139-j sets forth detailed requirements about the restrictions on contacts during the procurement process. A violation of State Finance Law §139-j includes, but is not limited to, an impermissible contact during the restricted period (for example, contacting a person or entity other than the designated contact person, when such contact does not fall within one of the exemptions).

As part of its responsibility determination, State Finance Law §139-k(3) mandates consideration of whether an offerer fails to timely disclose accurate or complete information regarding the above non-responsibility determination. In accordance with law, no procurement contract shall be awarded to any offerer that fails to timely disclose accurate or complete information under this section, unless a finding is made that the award of a procurement contract to the offerer is necessary to protect public property or public health safety, and that the offerer is the only source capable of supplying the required article of procurement within the necessary timeframe. See State Finance Law §§139-j(10)(b) and 139-k(3).

Offerer’s Certification and Affirmation of Understanding of and Agreement pursuant to State Finance Law Section 139-j and k:

State Finance Law §139-j(6)(b) provides that:

Every governmental entity shall seek written affirmations from all offerers as to the offerer’s understanding of and agreement to comply with the governmental entity’s procedures relating to permissible contacts during a governmental procurement pursuant to subdivision three of this section.

Offerer’s Certification of Compliance with State Finance Law §139-k(5):

New York State Finance Law §139-k(5) requires that:

Every procurement contract award subject to the provisions of State Finance Law §§139-k or 139-j shall contain a certification by the offerer that all information provided to the procuring governmental entity with respect to State Finance Law §139-k is complete, true and accurate.

January 2014

APPENDIX A

STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS

PLEASE RETAIN THIS DOCUMENT

FOR FUTURE REFERENCE.

STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A

Page 2 January 2014

TABLE OF CONTENTS

Page

1. Executory Clause 3

2. Non-Assignment Clause 3

3. Comptroller’s Approval 3

4. Workers’ Compensation Benefits 3

5. Non-Discrimination Requirements 3

6. Wage and Hours Provisions 3

7. Non-Collusive Bidding Certification 4

8. International Boycott Prohibition 4

9. Set-Off Rights 4

10. Records 4

11. Identifying Information and Privacy Notification 4

12. Equal Employment Opportunities For Minorities and Women 4-5

13. Conflicting Terms 5

14. Governing Law 5

15. Late Payment 5

16. No Arbitration 5

17. Service of Process 5

18. Prohibition on Purchase of Tropical Hardwoods 5-6

19. MacBride Fair Employment Principles 6

20. Omnibus Procurement Act of 1992 6

21. Reciprocity and Sanctions Provisions 6

22. Compliance with New York State Information Security Breach and Notification Act 6

23. Compliance with Consultant Disclosure Law 6

24. Procurement Lobbying 7

25. Certification of Registration to Collect Sales and Compensating Use Tax by Certain 7

State Contractors, Affiliates and Subcontractors

26. Iran Divestment Act 7

Page 3 January 2014

STANDARD CLAUSES FOR NYS CONTRACTS

The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which are hereby made a part of the contract (the word "Contractor" herein refers to any party other than the State, whether a contractor, licenser, licensee, lessor, lessee or any other party):

1. EXECUTORY CLAUSE. In accordance with Section 41 of the State Finance Law, the State shall have no liability under this contract to the Contractor or to anyone else beyond funds appropriated and available for this contract.

2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without the State’s previous written consent, and attempts to do so are null and void. Notwithstanding the foregoing, such prior written consent of an assignment of a contract let pursuant to Article XI of the State Finance Law may be waived at the discretion of the contracting agency and with the concurrence of the State Comptroller where the original contract was subject to the State Comptroller’s approval, where the assignment is due to a reorganization, merger or consolidation of the Contractor’s business entity or enterprise.

The State retains its right to approve an assignment and to require that any Contractor demonstrate its responsibility to do business with the State. The Contractor may, however, assign its right to receive payments without the State’s prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance Law.

3. COMPTROLLER'S APPROVAL. In accordance with Section 112 of the State Finance Law (or, if this contract is with the State University or City University of New York, Section 355 or Section 6218 of the Education Law), if this contract exceeds $50,000 (or the minimum thresholds agreed to by the Office of the State Comptroller for certain S.U.N.Y.

and C.U.N.Y. contracts), or if this is an amendment for any amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000, it shall not be valid, effective or binding upon the State until it has been approved by the State Comptroller and filed in his office. Comptroller's approval of contracts let by the Office of General Services is required when such contracts exceed $85,000 (State Finance Law Section 163.6-a).

However, such pre-approval shall not be required for any contract established as a centralized contract through the Office of General Services or for a purchase order or other transaction issued under such centralized contract.

4. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law.

5. NON-DISCRIMINATION REQUIREMENTS. To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex (including gender identity or expression), national origin, sexual orientation, military status, age, disability, predisposing genetic characteristics, marital status or domestic violence victim status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin:

(a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall by reason of race, creed, color, national origin, age, sex or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent violation.

6. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor Department in accordance with the Labor Law.

Additionally, effective April 28, 2008, if this is a public work contract covered by Article 8 of the Labor Law, the Contractor understands and agrees that the filing of payrolls in a manner consistent with Subdivision 3-a of Section 220 of the Labor Law shall be a condition precedent to payment by the State of

Page 4 January 2014 any State approved sums due and owing for work done upon the project.

7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor affirms, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Contractor further affirms that, at the time Contractor submitted its bid, an authorized and responsible person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf.

8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-f of the Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affiliates of Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the contract's execution, such contract, amendment or modification thereto shall be rendered forfeit and void. The Contractor shall so notify the State Comptroller within five (5) business days of such conviction, determination or disposition of appeal (2NYCRR 105.4).

9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory rights of set-off. These rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any other contract with any State department or agency, including any contract for a term commencing prior to the term of this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto. The State shall exercise its set-off rights in accordance with normal State practices including, in cases of set-off pursuant to an audit, the finalization of such audit by the State agency, its representatives, or the State Comptroller.

10. RECORDS. The Contractor shall establish and maintain complete and accurate books, records, documents, accounts and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the Records"). The Records must be kept for the balance of the calendar year in which they were made and for six (6) additional years thereafter. The State Comptroller, the Attorney General and any other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from public disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided that: (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's right to discovery in any pending or future litigation.

11. IDENTIFYING INFORMATION AND PRIVACY

NOTIFICATION. (a) Identification Number(s). Every invoice or New York State Claim for Payment submitted to a New York State agency by a payee, for payment for the sale of goods or services or for transactions (e.g., leases, easements, licenses, etc.) related to real or personal property must include the payee's identification number. The number is any or all of the following: (i) the payee’s Federal employer identification number, (ii) the payee’s Federal social security number, and/or

(iii) the payee’s Vendor Identification Number assigned by the Statewide Financial System. Failure to include such number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or Claim for Payment, must give the reason or reasons why the payee does not have such number or numbers.

(b) Privacy Notification. (1) The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5 of the State Tax Law. Disclosure of this information by the seller or lessor to the State is mandatory. The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the Commissioner of Taxation and Finance. The information will be used for tax administration purposes and for any other purpose authorized by law. (2) The personal information is requested by the purchasing unit of the agency contracting to purchase the goods or services or lease the real or personal property covered by this contract or lease.

The information is maintained in the Statewide Financial System by the Vendor Management Unit within the Bureau of State Expenditures, Office of the State Comptroller, 110 State Street, Albany, New York 12236.

12. EQUAL EMPLOYMENT OPPORTUNITIES FOR

MINORITIES AND WOMEN. In accordance with Section 312 of the Executive Law and 5 NYCRR 143, if this contract is: (i) a written agreement or purchase order instrument, providing for a total expenditure in excess of $25,000.00, Page 5 January 2014 whereby a contracting agency is committed to expend or does expend funds in return for labor, services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or (iii) a written agreement in excess of $100,000.00 whereby the owner of a State assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then the following shall apply and by signing this agreement the Contractor certifies and affirms that it is Contractor’s equal employment opportunity policy that:

(a) The Contractor will not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability or marital status, shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on State contracts and will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination. Affirmative action shall mean recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation;

(b) at the request of the contracting agency, the Contractor shall request each employment agency, labor union, or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, to furnish a written statement that such employment agency, labor union or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the Contractor's obligations herein; and

(c) the Contractor shall state, in all solicitations or advertisements for employees, that, in the performance of the State contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status.

Contractor will include the provisions of "a", "b", and "c" above, in every subcontract over $25,000.00 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work") except where the Work is for the beneficial use of the Contractor. Section 312 does not apply to: (i) work, goods or services unrelated to this contract;

or (ii) employment outside New York State. The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of this section. The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict.

Contractor will comply with all duly promulgated and lawful rules and regulations of the Department of Economic Development’s Division of Minority and Women's Business Development pertaining hereto.

13. CONFLICTING TERMS. In the event of a conflict between the terms of the contract (including any and all attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of this Appendix A shall control.

14. GOVERNING LAW. This contract shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise.

15. LATE PAYMENT. Timeliness of payment and any interest to be paid to Contractor for late payment shall be governed by Article 11-A of the State Finance Law to the extent required by law.

16. NO ARBITRATION. Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of competent jurisdiction of the State of New York.

17. SERVICE OF PROCESS. In addition to the methods of service allowed by the State Civil Practice Law & Rules ("CPLR"), Contractor hereby consents to service of process upon it by registered or certified mail, return receipt requested.

Service hereunder shall be complete upon Contractor's actual receipt of process or upon the State's receipt of the return thereof by the United States Postal Service as refused or undeliverable. Contractor must promptly notify the State, in writing, of each and every change of address to which service of process can be made. Service by the State to the last known address shall be sufficient. Contractor will have thirty (30) calendar days after service hereunder is complete in which to respond.

18. PROHIBITION ON PURCHASE OF TROPICAL

HARDWOODS. The Contractor certifies and warrants that all wood products to be used under this contract award will be in accordance with, but not limited to, the specifications and provisions of Section 165 of the State Finance Law, (Use of Tropical Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted, by the State or any governmental agency or political subdivision or public benefit corporation. Qualification for an exemption under this law will be the responsibility of the contractor to establish to meet with the approval of the State.

Page 6 January 2014

In addition, when any portion of this contract involving the use of woods, whether supply or installation, is to be performed by any subcontractor, the prime Contractor will indicate and certify in the submitted bid proposal that the subcontractor has been informed and is in compliance with specifications and provisions regarding use of tropical hardwoods as detailed in §165 State Finance Law. Any such use must meet with the approval of the State; otherwise, the bid may not be considered responsive. Under bidder certifications, proof of qualification for exemption will be the responsibility of the Contractor to meet with the approval of the State.

19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES.

In accordance with the MacBride Fair Employment Principles (Chapter 807 of the Laws of 1992), the Contractor hereby stipulates that the Contractor either (a) has no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Fair Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of compliance with such principles.

20. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts.

Information on the availability of New York State subcontractors and suppliers is available from:

NYS Department of Economic Development Division for Small Business Albany, New York 12245 Telephone: 518-292-5100 Fax: 518-292-5884 email: opa@esd.ny.gov

A directory of certified minority and women-owned business enterprises is available from:

NYS Department of Economic Development Division of Minority and Women's Business Development 633 Third Avenue New York, NY 10017 212-803-2414 email: mwbecertification@esd.ny.gov https://ny.newnycontracts.com/FrontEnd/VendorSearchPu blic.asp

The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that whenever the total bid amount is greater than $1 million:

(a) The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State;

(b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended;

(c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements. The Contractor agrees to document these efforts and to provide said documentation to the State upon request; and

(d) The Contractor acknowledges notice that the State may seek to obtain offset credits from foreign countries as a result of this contract and agrees to cooperate with the State in these efforts.

21. RECIPROCITY AND SANCTIONS PROVISIONS.

Bidders are hereby notified that if their principal place of business is located in a country, nation, province, state or political subdivision that penalizes New York State vendors, and if the goods or services they offer will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana and Hawaii. Contact NYS Department of Economic Development for a current list of jurisdictions subject to this provision.

22. COMPLIANCE WITH NEW YORK STATE

INFORMATION SECURITY BREACH AND

NOTIFICATION ACT. Contractor shall comply with the provisions of the New York State Information Security Breach and Notification Act (General Business Law Section 899-aa;

State Technology Law Section 208).

23. COMPLIANCE WITH CONSULTANT

DISCLOSURE LAW. If this is a contract for consulting services, defined for purposes of this requirement to include analysis, evaluation, research, training, data processing, computer programming, engineering, environmental, health, and mental health services, accounting, auditing, paralegal, legal or similar services, then, in accordance with Section 163 (4-g) of the State Finance Law (as amended by Chapter 10 of the Laws of 2006), the Contractor shall timely, accurately and properly comply with the requirement to submit an annual employment report for the contract to the agency that awarded mailto:opa@esd.ny.gov mailto:mwbecertification@esd.ny.gov https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp…