City of Cortland RFP Roundhouse Mill PM Services RFP.docx

CITY OF CORTLAND

NOTICE TO BIDDERS

City of Cortland Roundhouse Mill Demolition Project- Asbestos Project Manager Services Request for Proposals The City of Cortland is seeking written proposals from qualified firms to provide Asbestos Project Manager (PM) services during demolition and site restoration at an industrial building known as the Roundhouse Mill located at 41 Elm Street, Cortland NY 13045.

This Request for Proposals (RFP) has been designed to ensure that these services are procured pursuant to a fair, competitive selection process based on demonstrated competence and the professional qualifications necessary for the satisfactory performance of the services required.

An electronic copy of the complete RFP document, support reference documents, and any potential issued RFP addenda can be obtained via download from the City of Cortland ’s website:

https://www.cortlandny.gov/ Bidders are encouraged to attend a scheduled site visit to verify existing site conditions for the project. The site visit will take place on Friday, April 17, 2026, between 2:00 PM and 3:00 PM.

M/WBE and Section 3 firms are strongly encouraged to submit proposals.

Questions regarding any part of the RFP must be submitted in writing via e-mail to Randi Mowry, Purchasing Manager; rmowry@cortlandny.gov. All written requests for RFP clarifications or questions must be received in writing no later than noon on April 20th, 2026.

All proposals should be clearly marked "RFP- City of Cortland Roundhouse Mill Project Manager Services" on the outside. Submission of one (1) hard copy is required and may be delivered by mail or in person and must accompany an electronic, searchable PDF Format on a USB flash drive. Electronic copies alone will not be accepted.

Submissions should be sent to the Cortland City Any proposal received later than, noon on May 1, 2026, whether delivered in person or postal mail shall be disqualified.

The City of Cortland reserves the right to reject any or all proposals submitted.

Submit Proposals to: City Clerk’s Office, City Hall, 25 Court St. Cortland, NY 13045

For Questions Contact: Randi Mowry Purchasing Manager rmowry@cortlandny.gov

Overview/Scope of Work

The City of Cortland is seeking proposals from qualified, New York State-licensed Asbestos Project Managers to provide comprehensive oversight, coordination with the Demolition Contractor, and execution of air monitoring in strict accordance with the approved Variance for controlled demolition of an industrial building known as the Roundhouse Mill located at 41 Elm Street, Cortland, NY 13045.

The City of Cortland will be awarding a single contract to a Demolition Contractor under a separate RFP. As part of the Demolition Work the City of Cortland will engage the services of an independent qualified Asbestos Project Manager (PM) to oversee compliance with air testing and monitoring requirements for asbestos handling. The City has received a Variance from the New York State Department of Labor to demolish the structures as controlled demolition with non-friable Asbestos Containing Material (ACM) in place. Demolition and disposal must be made in accordance with the approved “Petition for Asbestos Variance SH-67M3E Controlled Demolition with Non-Friable Asbestos in Place” (the Variance) dated December 5, 2025 by the NYS Department of Labor. The Demolition Contractor working on the site will be required to be licensed by New York State for asbestos handling. This RFP and subsequent contract is to provide for the Asbestos Project Manager services as outlined in the Variance which is attached to this RFP. Work will include coordination with the Demolition Contractor and air monitoring. The Asbestos Project Manager (PM) must be licensed to provide such services with New York State Department of Labor.

Proposals must be inclusive of all costs including labor, equipment, lab testing, and materials necessary to provide a for complete managing services throughout the project. The PM shall be responsible for filing of all required testing results and coordination with the Demolition Contractor to ensure compliance with all aspects of the Variance providing copies of all documentation to the City of Cortland, hereinafter also referred to as Owner.

Coordinating Demolition RFP is available for review and is located on the City website; https://cortlandny.gov/ and NYS Contract Reporter.

The Demolition Contractor will be allowed forty-five (45) days from the date a contract is executed to complete all work required thereunder.

Asbestos Project Manager Qualifications

PM must be licensed by NYS Department of Labor for Asbestos monitoring and air testing and any other licensing necessary to meet DOL Variance requirements. PM proposers to provide copy of licensing with the Proposal.

Technical Specifications –

1. Project Monitor

1.1. NYSDOL licensed Project Monitoring Firm (PM) is to oversee the performance of asbestos compliance on the Project and provide direction throughout the work as needed.

1.2. The Demolition Contractor will be required to ensure cooperation of its personnel with the Project Monitor for the air sampling and other Project Managing functions.

1.3. The PM shall provide directions to the Demolition Contractor as required during the course of the Project to ensure compliance with the Variance and State and Federal laws regarding asbestos.

1.4. The PM shall be on-site at all times the Demolition Contractor is on-site until the completion of the work. or until the PM has determined that the site no longer contains Asbestos Containing Material (ACM).

1.5. The PM shall have the authority to direct the actions of the Demolition Contractor verbally and in writing to ensure compliance with the Variance and all regulations regarding asbestos handling

1.6. The PM shall have the authority to Stop Work when Demolition Contractor Work deficiencies or unsafe practices are observed associated with asbestos handling . Such Stop Work order shall be effective immediately and remain in effect until corrective measures have been taken by the Demolition Contractor.

1.7. The PM will provide any and all services as required by the Variance for the PM if not specifically stated here.

2. Contractor’s Asbestos Supervisor will be required to accompany PM on all inspections per the Variance and adhere to the PM’s recommendations.

3. PM Payment Procedures:

3.1. PM to prepare a schedule of values with the proposal.

3.2. Arrange the schedule of values in tabular form, with separate lines for each item listed.

3.3. Provide a breakdown in enough detail to facilitate evaluation of Applications for Payment Include costs associated with air monitoring and testing.

3.4. Submit Application for Payment to Owner by the last day of the month. The period covered by each Application for Payment is one month, ending on the last day of the month unless all work will be completed in a shorter time frame. Notarize and execute by a person authorized to sign legal documents on behalf of PM. Owner will return incomplete applications without action. Entries shall match data on the schedule of values.

Insurance The contractor shall maintain such insurance as will protect it from the claims set forth below, which may arise out of results from its operations under this contracted work:

(1) Workers’ Compensation Insurance: A policy covering the obligations of the Contractor in accordance with the provisions of Chapter 41 of the Laws of 1914, as amended, known as the Workers’ Compensation Law, covering all operations under the Agreement, whether performed by the contractor or by his sub-contractors. The Contractor shall keep insured during the life of this Agreement such employees in compliance with the provisions of Workers’ Compensation Law (State Finance Law, Section 142).

(2) Liability Insurance: Policy or policies naming the Contractor as the insured, except as otherwise provided below, shall be furnished as follows:

Each Accident $1,000,000 Aggregate $3,000,000

Insurance insuring Contractor

Contractor (*See Below)

Insuring Contractor (*See Below)

Contractor

Insuring “The City of Cortland” for all coverage and all operations under this Agreement. (***See Below)

* The Contractor shall indemnify the City of Cortland against liability for claims, demands, loss, payments, suits, actions, recoveries, and judgments of every nature and description brought or recovered against it by reason of any omission or act of the Contractor, his agents or employees, all subcontractors, his or their agents or employees, including also any omission or supervisory act of the City of Cortland in the performance of this Agreement, and shall hold the City of Cortland harmless there from.

** Such coverage shall remain in effect until all of the work covered under the project contract is completed.

Prevailing Wage All work included in this project is subject to the New York State Department of Labor Prevailing Wage Law. Prevailing Rate Case Number (PRC# 2026009275 - Roundhouse Mill Demolition ) has been assigned to the project. The Contractor shall comply with the wage rates and supplements contained in the issued schedule.

Proposal Submission The procurement schedule is tentatively planned for the following dates:

City of Cortland reserves the right to change this schedule as needed.

Any Proposals received prior to the date and time specified above for the “RFP Submittal Deadline” may be withdrawn or modified by written request of the proposer. To be considered, however, the modified Proposal must be received by the time and date specified “RFP Submittal Deadline” above.

Submission Requirements ☐ List of (3) references.

☐ Proof of New York State Department of Labor Asbestos Licensing and Certifications for all projected personnel assigned to the project.

☐ Proof of Insurance ☐ Exhibit A: Non Collusive Bidding Certificate ☐ Exhibit B: Acknowledgement and Agreement to Comply with Standard Clauses for New York State Contracts (Appendix A) ☐ Exhibit C: Conflict of Interest Disclosure ☐ Exhibit D: Addenda Acknowledgement ☐ Exhibit F: Key Project Contacts

Cancellation of RFP The City of Cortland reserves the right to cancel the RFP at any time without prior notice and to adjust the RFP schedule at any time without prior notice. The City of Cortland bears no responsibility and no liability for costs incurred by respondents prior to issuance of a contract. Any costs incurred in the preparation of the proposal, presentations, or travel in conjunction with such presentations shall be the responsibility of the respondent.

Evaluation & Selection Process Pass / No Pass Review:

Proposals will first be reviewed using Pass/No Pass criteria to determine compliance with the requirements of this solicitation. Proposals that contain exceptions to the agreement, fail to follow the required proposal format, omit required information, or otherwise do not meet the mandatory submission requirements, may be rejected at the City’s discretion. Cost proposals will also be reviewed for completeness and responsiveness as part of this stage. Only those proposals that meet all Pass/No Pass requirements will advance to the Technical Criteria evaluation. Proposals not meeting these requirements will not be considered further.

Technical Criteria Evaluation:

Proposals that pass the Pass/No Pass review will be evaluated based on the technical criteria listed below, as well as cost, and any additional factors the City determines to be relevant in fairly and objectively assessing the qualifications, experience, and overall value offered by each firm. The City reserves the right to consider all information submitted in determining the proposal that is in the best interest of the City.

Proposals shall be evaluated by City staff under a single-step process. The selection process will consist of the following:

1. An evaluation committee (comprised of 3-5 individuals employed by the City of Cortland) will review and evaluate the submitted proposals and develop a shortlist of finalists. The evaluation will consider clarity, accuracy, and completeness of technical proposal requirements and criteria.

2. During the evaluation process, the evaluation committee reserves the right, where it may serve the City’s best interests, to request additional information or clarification from proposers. The City reserves the right to determine the most qualified Consultant(s) based solely on the Proposals reviewed, however, staff may determine that a subsequent interview process may be necessary.

3. The evaluation committee shall rank the technical proposals and attempt to negotiate a mutually satisfactory agreement with the top-ranked consultant. If a mutually satisfactory agreement cannot be negotiated, the evaluation committee will attempt to negotiate an agreement with the consultant which submitted the next second highest ranked proposal, and so forth.

4. The evaluation committee will forward its recommendation for the contract award to the Cortland City Council. After review and consideration of this recommendation, the City Council has the discretion to 1) award the contract based upon the staff recommendation, or 2) reject all proposals.

5. City Council reserves the right to determine the most qualified consultant based solely on the Proposals reviewed, but staff may determine that a subsequent interview process may be necessary. Upon decision, the unsuccessful proposers will be notified of the City’s intent to award the contract to the successful proposer.

Intent to Award Once the evaluation committee has successfully negotiated a proposal with a Consultant, City staff will send the successful proposer a notice of intent to award and three (3) original Professional Services Agreements. Upon receiving these documents, the successful proposer shall sign all three (3) Agreements and return them to the City within 5 business days. All insurance documentation is to accompany the agreements. Contract award is not a binding obligation until signed by all parties and all submission requirements are met.

EXHIBIT A - NON COLLUSIVE BIDDING CERTIFICATE REQUIRED BY

SECTION 139-D OF THE STATE FINANCE LAW

Section 139D, Statement of Non-Collusion in bids to the State:

By submission of this bid, bidder and each person signing on behalf of bidder certifies, and in the case of joint bid, each party thereto certifies as its own organization, under penalty of perjury, that to the best of his/her knowledge, and belief:

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

2) 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

3) 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 completion.

A Bid shall not be considered for award nor shall any award be made where 1, 2, 3 above have not been complied with; provided however, that if in any case, the bidder(s) cannot make the foregoing certification, the bidder shall so state and shall furnish below a signed statement which sets forth in detail the reasons therefore:

(Affix addendum to this page if space is required for statement.)

Subscribed to me under penalty of perjury under the laws of the State of New York, this ______________ day of _________________, 20_____ as the act and deed of said corporation of partnership or sole proprietor.

If Bidders are a Partnership, complete the Following:

If Bidders are a corporation, complete the following:

President Vice President Secretary Treasurer

Identifying Data:

Potential Contractor: ______________________________________________________ Address: _______________________________________________________________ Telephone #: _______________________________ Title: ____________________ E-Mail Address: _________________________________________________________

If applicable, Responsible Corporate Officer Name: ____________________________________ Title: _____________________

Signature: _________________________________

Joint or combined bids by companies or firms must be certified by each participant.

EXHIBIT B – ACKNOWLEDGEMENT AND AGREEMENT TO COMPLY WITH STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS (APPENDIX A)

I hereby acknowledge that I have read, understand and agree to comply with the terms as outlined in Appendix A – Standard Clauses for New York State Contracts. Failure to comply may result in immediate termination of this agreement with potential legal recourse by the County.

Signed: ___________________________________ Date: ________________

Title: _____________________________________

EXHIBIT C - CONFLICT OF INTEREST DISCLOSURE

Conflict of Interest Disclosure Form

Note: A potential or actual conflict of interest exists when commitments and obligations are likely to be compromised by the nominator(s)’other material interests, or relationships (especially economic), particularly if those interests or commitments are not disclosed.

This Conflict of Interest Form should indicate whether the nominator(s) has an economic interest in, or acts as an officer or a director of, any outside entity whose financial interests would reasonably appear to be affected by the contract. The nominator(s) should also disclose any personal, business, or volunteer affiliations that may give rise to a real or apparent conflict of interest. Relevant Federally and organizationally established regulations and guidelines in financial conflicts must be abided by. Individuals with a conflict of interest should refrain from bidding and/or contracting.

Date: _____________________________________________________________

Name: ____________________________________________________________

Position: __________________________________________________________

Please describe below any relationships, transactions, positions you hold (volunteer or otherwise), or circumstances that you believe could contribute to a conflict of interest:

______ I have no conflict of interest to report.

______ I have the following conflict of interest to report (please specify other nonprofit and for-profit boards you (and your spouse) sit on, any for-profit businesses for which you or an immediate family member are an officer or director, or a majority shareholder, and the name of your employer and any businesses you or a family member own):

1. ________________________________________________________________

2. ________________________________________________________________

3. ________________________________________________________________

I hereby certify that the information set forth above is true and complete to the best of my knowledge.

Signature: ______________________________________________

Company: _____________________________________________

Date: _________________________________________________

EXHIBIT D – ADDENDA ACKNOWLEDGEMENT

Addenda Acknowledgement

As required by this solicitation, the undersigned Offeror hereby acknowledges receipt of any/all Addenda including:

Addendum Number Dated: Signature:

☐ No addenda were issued

All issued addenda will be available on the City of Cortland’s website: https://cortlandny.gov/

EXHIBIT E -PRIVACY AND SECURITY (HIPAA)

The purpose of this clause is to set forth the requirements for privacy and security of protected health information (“PHI”) mandated by 45 CFR Part 164 as they apply to the services provided by CONTRACTOR on behalf of CITY.

(A) CONTRACTOR understands the importance of the privacy of a patient’s PHI, and agrees to protect that right to the extent necessary under this Agreement and under current federal, state, and local regulations and laws. All PHI will be handled in a private and/or confidential manner. For purposes of this Agreement, PHI is any data or other information as defined by the Department of Health and Human Services in the Code of Federal Regulations, 45 CFR §164.501.

(B) Further, CONTRACTOR understands that CITY’S patients are intended third-party beneficiaries of this Agreement, and have all the rights and privileges of any third-party beneficiary under current law.

(C) Uses and disclosures of PHI that are permitted are those necessary in order for CONTRACTOR to:

1. Properly manage and administer its functions.

2. Meet its legal responsibilities.

3. Provide data aggregation services relating to the health care operations of the CITY.

4. Make those disclosures required by law such as in situations of abuse, neglect, or domestic violence. The uses and disclosures permitted are limited to the PHI necessary to meet the requirements of the law that compels the use or disclosure.

5. Make disclosures in response to a judicial or administrative proceeding through a lawful process such as a subpoena or discovery request.

(D) The uses and disclosures of PHI that are required are those disclosures necessary:

1. For patients to review their PHI.

2. To provide an accounting of disclosures in accordance with 45 CFR §164.528.

3. To allow the Secretary of Health and Human Services to determine CITY’S compliance with 45 CFR §164.504.

(E) CONTRACTOR shall make the following assurances to CITY:

1. CONTRACTOR agrees that it shall not use or disclose any patient’s PHI for any purpose not expressly stated in this Agreement. Further, CONTRACTOR shall not use or disclose PHI in any manner or context prohibited by the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”) and subsequent federal, state, and local regulations. If CONTRACTOR does use or disclose PHI for a purpose not expressly stated in this Agreement, it shall immediately cease the unauthorized use or disclosure, and shall notify CITY in writing of such use or disclosure. CONTRACTOR agrees to mitigate, to the extent practicable, any harmful effect known to it of a use or disclosure of PHI not allowed under this Agreement.

2. CONTRACTOR further agrees that any sub-contractors or other persons or entities not directly employed by CONTRACTOR who use or disclose PHI obtained from CITY, shall abide by terms of this clause of this Agreement. Any sub-contractor or other person or entity not directly employed by CONTRACTOR that has used or disclosed PHI without proper authorization (as defined in HIPAA and subsequent federal, state, and local regulations) shall be considered to have acted as an agent of CONTRACTOR, and have violated the terms of this Agreement. CITY may consider this use or disclosure a material breach of this Agreement.

3. By signing this Agreement, CONTRACTOR is assuring CITY it has met the minimum safeguards necessary to protect unauthorized use or disclosure of PHI to any person or entity not party to this Agreement. Such safeguards shall include the security safeguards outlined by the 1996 Health Insurance Portability and Accountability Act and subsequent federal regulation, including: physical access to PHI, technical access to PHI, and administrative policies and procedures addressing security of PHI.

4. Provider shall report to CITY any instance or circumstance in which PHI has been used or disclosed by an unauthorized person or entity, including accidental disclosure by CONTRACTOR. CONTRACTOR shall notify CITY in writing of any steps or procedural changes made to address the unauthorized use or disclosure.

5. Should CITY find PHI used or disclosed to CONTRACTOR to be inaccurate or incomplete, CONTRACTOR shall incorporate any amendments or corrections to the PHI at CITY’s request.

6. CONTRACTOR will make PHI available to the individual who is the subject of the PHI for amendment. Such requests by the individual for their PHI from CONTRACTOR will be made through County. CONTRACTOR will incorporate any amendments to PHI that have been made by CITY by virtue of the individual’s request for amendment.

7. CONTRACTOR will provide a timely accounting to the individual or to CITY, if requested by either, of the disclosures of an individual’s PHI.

8. Should CONTRACTOR make any material alterations to the PHI while the PHI is in its possession, CONTRACTOR shall notify CITY of such alterations so that CITY may inform the patient who is the subject of the PHI.

9. At the termination of this Agreement, CONTRACTOR shall return or destroy to the satisfaction of CITY any PHI held or maintained by CONTRACTOR and retain no copies of such information. If CITY and CONTRACTOR mutually agree that returning or destroying the PHI is not feasible or permitted under law, the PHI will remain protected after this agreement ends for as long as CONTRACTOR maintains the information. Further uses or disclosures of the PHI will be limited to those purposes that make the return or destruction infeasible.

(F) If CITY determines CONTRACTOR has violated any of the above assurances, covenants or terms, the CONTRACTOR has committed a material breach of this Agreement. CITY may then provide CONTRACTOR with an opportunity to cure the breach or may terminate this Agreement and may report the violations to the Department of Health and Human Services (“HHS”) or other federal or state entity for possible prosecution or sanctions.

(G) Both parties to this agreement agree that they will protect the integrity and confidentiality of any PHI being shared electronically.

(H) CONTRACTOR hereby gives CITY and the Department of Health and Human Services (or an agent acting on behalf of HHS) the express right to inspect any and all internal practices, books, and records relating to the use or disclosure of PHI by CONTRACTOR. If HHS suspects an unauthorized use or disclosure of PHI by CONTRACTOR, HHS is authorized to pursue an investigation into CONTRACTOR’s activities for the purposes of determining whether an unauthorized use or disclosure of PHI has taken place.

(I) CONTRACTOR may have policies and procedures relating to privacy and security in place prior to the commencement of this Agreement. If, after reasonable investigation, CITY concludes CONTRACTOR’s policies and procedures to be “adequate” protection of a patient’s privacy rights relating to PHI, CONTRATOR may elect to continue to use its own policies and procedures. The term “adequate” in this clause means CONTRACTOR’s policies and procedures meet the minimum privacy and security standards as set forth in CITY’S privacy and security policies and procedures.

(J) CITY, through the appropriate Department will:

1. Provide CONTRACTOR with its Privacy Notice;

2. Provide CONTRACTOR with any changes in, or revocation of, permission by a patient to use or disclose PHI, if such changes affect CONTRACTOR’s permitted or required uses or disclosures; and

3. Notify CONTRACTOR of any restriction to the use or disclosure of PHI to which the CITY has agreed.

(K) Implement administrative, physical, and technical safeguards that reasonably and appropriately protect the confidentiality, integrity, and availability of the electronic protected health information (ePHI) that it creates, receives, maintains, or transmits on behalf of the CITY.

(L) Ensure that any agent, including a subcontractor, to whom CONTRACTOR provides ePHI agrees to implement reasonable and appropriate safeguards to protect this information.

(M) Report to Security Officer of the CITY any security incidents of which it becomes aware. (A security incident is defined as the attempted or successful unauthorized access, use, disclosure, modification, or destruction of information or interference with system operations in an information system.)

EXHIBIT F – KEY PROJECT CONTACTS

Project: City of Cortland Roundhouse Mill Demolition Project

PROJECT MANAGEMENT

PRIMARY CONTACT:

ON-SITE PROJECT MANAGER(S)

SECONDARY CONTACT:

PHONE

EMERGENCY CONTACT (24/7):

PHONE

Certification Firm Name: ____________________________________________________________ Authorized Representative: ________________________________________________ Signature: _______________________________ Date: __________________________

APPENDIX A

STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS

TABLE OF CONTENTS

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 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, 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.