CLINTON COUNTY LF LEACHATE RFQ DOCS.pdf

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KRISTIN E. EILERS

PURCHASING AGENT

PHONE: 518-565-4607

FAX: 518-565-4616

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CLINTON COUNTY

GOVERNMENT CENTER

137 MARGARET STREET

PLATTSBURGH, NY 12901

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PURCHASING

DATE: JUNE 12, 2025

To Whom It May Concern:

Notice is hereby given that sealed proposals are sought and requested for the following:

RFQ OPENING INFORMATION

NAME: CLINTON COUNTY LANDFILL LEACHATE PRE-

TREATMENT PLANT PROFESSIONAL SERVICES

OPENING DATE: TUESDAY JULY 15, 2025

TIME: 2:30 P. M.

PLACE: Clinton County Purchasing Agent

137 Margaret Street, Suite 208 Plattsburgh, NY 12901

RFQ PROCEDURE INFORMATION

RFQs shall be submitted in sealed envelopes addressed to:

Clinton County Purchasing Agent Government Center, 2nd Floor 137 Margaret Street, Suite 208 Plattsburgh, NY 12901

On the face of said envelope the following information shall be included:

1) NAME AND ADDRESS OF COMPANY

"QUALIFICATIONS STATEMENT FOR CLINTON COUNTY LANDFILL

LEACHATE PRE-TREATMENT PLANT PROFESSIONAL SERVICES"

No contractor to whom a contract is let, granted or awarded, following selection from this statement of qualifications, shall assign, transfer, convey, sublet, or otherwise dispose of same, or of his right, title, and interest herein, including the performance of this contract or the right to receive monies due or to become due, or of his power to execute this without the prior written consent of the Clinton County Purchasing Agent.

In the event that the contractor shall without prior written consent assign, transfer, convey, sublet or otherwise dispose of this contract or of his right, title and interest herein, including the performance of this contract, or the right to receive monies due or to become due, or his power to execute such contract to any other person or corporations, or upon receipt by Clinton County of an attachment against the contractor, the County shall be relieved and discharged from any and alt liability and obligation growing out of such contract to such contractor, and the person or corporation to which such contract shall have been assigned, his assignees, transferees or sublease shall forfeit and lose all monies theretofore earned under this contract, except so much as may be required to pay his employees.

It is the contractor's responsibility to read the attached INFORMATION that outlines the rules of the Clinton County Purchasing Department.

Sincerely, )<Wl^- <0^"^ .

Kristin E. Filers

Purchasing Agent

KEE

Enc.

DATE: RFQ NAME: CLINTON COUNTY

LANDFILL LEACHATE PRE

TREATMENT PLANT

PROFESSIONAL SERVICES

RFQ NO: 1-2025

INFORMATION SHEET

NAME OF VENDOR:

ADDRESS:

TYPE OF ENTITY: Corp. Partnership Individual

If a non-publicly owned Corporation:

NAME OF CORPORATION:

List Principal Stockholders (holding over 5% of outstanding shares)

LIST OFFICERS:

LIST DIRECTORS:

DATE OF ORGANIZATION;

if a partnership:

PARTNERS:

NAME OF PARTNERSHIP:

DATE OF ORGANIZATION:

*If the business is conducted under an assumed name, a copy of the certificate required to be filed under the New York General Business Law must be attached.

REQUEST FOR QUALIFICATIONS FOR PROFESSIONAL SERVICES:

CUnton County Landfill Leachate Pre-Treatment Plant

Issue Date: June 12, 2025

Submittal Due Date: July 15, 2025

SECTION 1 - BACKGROUND AND PROJECT DESCRIPTION

Clinton County is the most northeastern county in New York State and is located approximately 145 miles to the north of Albany. Clinton County serves as the solid waste plannmg unit for all municipalities within the coimty. Clinton County owns one central landfill, referred to herein as the Clinton County Landfill, or the CCL. The Clinton County Landfill is operated by New England Waste Services ofN.Y., an affiliate ofCasella Waste Systems, Inc. (Casella).

The Clinton County Landfill is located at 286 Sand Road, in the hamlet ofMomsonville, in the Town of Schuyler Falls and is approximately 5 miles west of the City ofPlattsburgh. The CCL is an active municipal solid waste (MSW) landfill regulated under New York State Department of Environmental Conservation (NYSDEC) Part 360 regulations and accepts residential, institutional, and commercial waste, as well as construction & demolition debris. A land clearing debris (LCD) landfill is co-located on the same property. The landfill includes an older unlined area and a newer lined area. The landfill was originally constructed in 1977. The active MSW landfill began accepting waste in 1997 and the active LCD landfill began accepting waste in 2010. The property is approximately 440 acres with a majority of the property sitting north of Sand Road.

Emerging contaminants (EC), or contaminants of emerging concern, refer to different types of chemicals that are often detected m waterways and may have harmful effects on humans, aquatic life, or the environment. Per- and polyfluoroalkyl substances (PFAS) are examples of emerging contaminants. PFAS are a large class of man-made chemicals that have been manufactured and used in a variety of industries since the 1940's and can be found in everyday items that are disposed of in landfills, such as food packaging and non-stick, stain repellent, and waterproof products. PFAS can be present in the leachate generated from landfills. In partnership with Casella, Clinton County intends to consfa^ict a leachate pre-treatment plant at the Clinton County Landfill for the purpose of removing PFAS.

The 2021 Bipartisan Infrastmcture Law provides subsidies, through the Clean Water State Revolving Fund (CWSRF) program, for projects that address emerging contaminants. In New York State, the CWSRF program is administered by the New York State Environmental

Facilities Corporation (EFC). Clinton County has initiated the process of applying for an EC subsidy through the CWSRF program.

Clinton County is issuing this Request for Qualifications (RFQ) to solicit proposals from qualified engineering consulting firms to provide planning, design, engineering, permit acquisition, and constmction management services for a leachate pre-pretreatment plant at the Clinton County Landfill. This solicitation is being conducted through a public, qualifications-based process pursuant to the provisions of 40 U. S.C. 1101 et seq. to enable the rendered professional services to be eligible for repayment using EC subsidy funds.

SECTION 2 - SCOPE OF SERVICES

In brief, the selected engineering firm ("Engineer") will provide planning and funding support and all site investigation, design, engineering, permitting support, major equipment and constmction procurement support, constmction management and monitoring, constmction quality assurance and conta-ol, and project management services to deliver a completed leachate pre-fa-eatment plant for removal ofPFAS at the Clinton County Landfill (collectively, the "Services"). The Services must be performed under the direct supervision of, and engineering drawings must be stamped by, a Professional Engineer licensed to practice in New York State.

The Services are more particularly described below:

Initial Plamiin Document Review andFundin Su ort:

. Review of existing drawings, design documents, environmental pennits, and leachate generation data for the CCL.

. Review and evaluation of existing engineering report and cost estimate prepared for the EC subsidy application.

. Completion of environmental review (including State Environmental Quality Review full Environmental Assessment Form); State Historic Preservation Office consultation; cross cutter review of federal laws, regulations, and executive orders; and other evaluations in accordance with the requirements of the EFC and the CWSRF program.

. Assistance with the application for an EC subsidy under the CWSRF program, including preparation of checklists and other documentation.

. Preparation of a budgetary level cost estimate for planning, design, pennitting, equipment, and constmction of the project.

. Other planning and project administration support as required for the implementation of the project.

En ineerin Desi nandPermittin Su ort:

. Completion of all engineering and design activities and deliverables necessary and customary for the constmction of a leachate pre-treatment plant at an existing municipal solid waste landfill, including, without limitation, engineering calculations and analyses, drawings, diagrams, narrative documents, and reports. Engineering and design deliverables must be of a sufficient level of detail to be readily understood by permitting authorities and constmction contractors. Engineering and design deliverables must be submitted to client for review prior to finalization. A minimum review time of fifteen business days must be included in the Engineer's project schedule.

. Site visits, as necessary, to properly assess existing conditions and to conduct necessary site investigations.

. Identification of all permits and modifications to existing permits that may be necessary for constmction of the project; preparation of applications and required documentation for such permits.

. Revisions to documentation to address comments and feedback received from client and the permitting authorities.

E 111 ment Procurement Su ort:

Preparation of detailed written specifications for engineered equipment.

Identification and vetting of potential suppliers for owner-furnished equipment.

Preparation of bid documents for owner-fumished equipment. Bid documents to include, as applicable: drawings; specifications; scope of work; and statement of the requirements, responsibilities, and deliverables of the suppliers as it relates to performance, quality control, delivery, schedule, startup, and testing.

Participation in pre-bid meetings with equipment bidders.

Evaluation of bids received for owner-fumished equipment, including preparation of written bid evaluation documents and recommendation of supplier.

Identification, coordination, and oversight of any recommended bench testing or on-site pilot studies for engineered equipment.

Shop inspections and witnessing of shop tests, as necessary.

Review of invoices received from suppliers and confirmation that claimed milestone completions are accurate.

Construction Procurement Su uort:

. Preparation of budgetary cost estimates for equipment, material, and construction.

. Preparation of detailed written specifications for equipment, material, and constmction activities.

. Preparation of bid documents for constmction services. Bid documents to include, as applicable: drawings; specifications; scope of work; and statement of the requirements, responsibilities, and deliverables of the contractors as it relates to perfonnance, quality control, delivery, schedule, startup, and testing.

. Participation in on-site pre-bid meetings with construction bidders.

. Evaluation of bids received for constmction, including preparation of written bid evaluation documents and recommendation of contractor.

. Review of invoices received from confa-actors for confirmation that claimed milestone completions and activity percentage completions are accurate.

Constmction Administa-ation and Monitorin .

. Review of shop drawings, schedules, schedules of values, and other engineering and construction submittals from equipment vendors, material suppliers, and constmction contractors for conformance with specifications, technical requirements, and contract requirements, including preparation of written response documents.

. Review of Requests for Information (RFI), design change requests, and change order requests from equipment suppliers, material suppliers, and constmction contractors and preparation of written response documents.

. Participation in on-site construction progress review meetings.

Participation in on-site inspection of equipment and material when received at site.

Review of execution, test, and inspection plans prepared by the constmction contractors.

General oversight and inspection ofconstmction activities for compliance with engineering documents, permit requirements, constmction schedule, safety requirements, and generally accepted industry practices and standards.

. Preparation and maintenance of a record of names and contact infonnation of all contractors, subcontractors, and major suppliers of equipment and material.

. Completion, coordination, and oversight, as applicable, of quality control tests, inspections, and sampling activities.

. Coordination of special inspections required by building codes and inspections and approvals by authorities having jurisdiction.

. Preparation of daily field reports that describe prevailing weather conditions; general site conditions; site activities; equipment and material deliveries; constmction progress;

inspections and monitoring activities; defects, deficiencies, and non-conformances observed and corrective measures taken; and startup and testing activities.

. Participation in constmction completion walkdowns and inspections, preparation of punch lists, and verification of completion of punch list items.

. Deployment of field engineers) on site during the entire period of construction to adequately oversee the prevailing constmction activities.

. Preparation of constmction certification and reports as required.

Start-u Commissionin andTrainin :

. Preparation ofpre-functional checklists and functional test procedures.

. Coordination and scheduling of equipment suppliers to participate in start-up and commissioning.

. Direction and management of equipment and systems checkout, start-up, commissionmg, and testing.

. Preparation and implementation of an overall system training plan for landfill operating personnel.

Pro'ect Mana ement and Administration:

. Preparation and periodic updating of a detailed project schedule of all activities to be completed by the Engineer (including all deliverables and design review meetings) and permitting milestones.

. Participation in virtual and on-site (when necessary for more effective communication or productive review) design coordination and review meetings with client, as reasonably requested by client and as recommended by Engineer. Meetings will include review of drawings, diagrams, calculations, analyses, documents, specifications, schedules, action item lists, other design deliverables, and other items, as necessary.

. Participation in, and coordination of, meetings with permitting authorities, as required.

. Preparation of agendas, minutes, and action item logs for all virtual and in-person meetings.

. Coordination of engineering and design activities, site investigations, and surveying performed by subconsultants and other specialty firms.

. Regular communications with client to answer questions, provide clarifications, and report on progress.

. Assistance with administration of the EC subsidy

Timeframe for Performance of Services:

The Initial Planning, Document Review, and Funding Support Services are planned to begin in early August 2025 and be completed at the end of October 2025.

The Engineering, Design and Permitting Support Services are planned to begin in November 2025 and proceed on a continuous basis until completion of such Services.

The timeframes for performance of other Services will be determined after selection of the Engineer.

SECTION 3 - CWSRF RE UIREMENTS

Clinton County intends to fund this project (including the Services described herein) through an Emerging Contaminant subsidy available through the CWSRF program administered by the New York State EFC. In order for the costs of the Services to be eligible for funding, the Services must be procured in accordance with certain requirements. One requirement is that the Mandatory State Revolving Fund Terms and Conditions (see Attachment A) must be incorporated verbatim into the contract for the Services.

SECTION 4 - RE UIREMENTS FOR UALIFICATIONS STATEMENT

The respondent is required to submit a complete, well-organized Qualifications Statement no later than 2 pm eastern prevailing time on the Submittal Due Date set forth on page 1 of this RFQ. The Qualifications Statement must include the following information:

. Summary / profile of the respondent including:

o Brief description of capabilities and services provided o Number of employees, roughly categorized by professional discipline or area of expertise o Office locations o Demonstration of ability to comply with New York State Professional Engineer license requirements.

. Demonstration of experience and qualifications to perform the Services requested herein, with narrative organized to specifically address each of these areas:

Design and engineering ofwater/wastewater treatment facilities Permitting in New York State Equipment and construction procurement Preparation of project cost estimates, including design, equipment, constaT iction, and administration costs

Construction administration and monitoring Startup and commissioning ofwater/wastewater treatment facilities Experience with foam fractionation systems for PFAS removal from landfill leachate and/or other liquid streams.

Proposed staffing plan and resumes / qualifications profiles for the key staff to be assigned to work on this project, including a statement of their proposed role on this project and their office location.

Description of any services that would be subcontracted to other firms, including company name and brief overview of each proposed subcontractor and brief discussion of any prior experience working with the proposed subcontractor.

General description of the respondent's plan for executing the project, including a high-level timeline showing planned sequence of activities with approximate durations.

Include a statement of respondent's ability to meet a planned commencement date of early August 2025 for the Initial Planning, Document Review, and Funding Support Services. Include a statement as to whether respondent reasonably believes it can complete such Services by the end of October 2025.

. Discussion of respondent's prior experience with securing loans and/or grants under the Clean Water State Revolving Fund program in New York State (and other loans/grants in New York and other states).

. Profiles of at least two current or recent projects of similar scope.

. Contact information for at least two client references.

. Statement of respondent's preferred method of compensation for the Services, e. g., fixed fee for entirety of project, fixed fee for each project phase or work scope established at the start of each phase or work scope, time and expense basis subject to cap, time and expense without cap, etc.

. CWSRF Acknowledgement - Statement of acknowledgement that the respondent, if selected, will agree to include the Mandatory State Revolving Fund Terms and Conditions in the contract for the Services and comply with such terms and conditions.

. Signed Lobbying Certification (last page of Attachment A).

SECTION 5 - EVALUATION PROCESS AND CRITERIA

Submittals will be rejected if they do not include:

. Adequate demonstration of the respondent's ability to comply with New York State Professional Engineer (PE) license requirements.

. CWSRF Acknowledgement.

. Signed Lobbying Certification.

Qualifications Statements received by the Submittal Due Date (and not rejected for one of the foregoing reasons) will be reviewed, evaluated, and ranked based on the criteria and points listed below

Evaluation Criteria

Qualifications, experience, and prior performance of respondent in execution of similar services on prior similar projects

Proposed staffing plan and qualifications and experience of the key personnel

General plan for execution of the project

Maximum

Points

Experience with securing and complying with loans/grants under the CWSRF 10 program and other programs

Total 100

Clinton County, with its partner, Casella, intends to engage in discussions with the three most highly qualified respondents to consider anticipated concepts and compare alternative methods for furnishing the services. Thereafter, Clinton County and Casella will begin contract negotiations with the most highly qualified respondent to determine compensation that is fair and reasonable for the project, considering the scope, complexity, professional nature, and estimated value of the Services, and to establish acceptable contract terms (including the Mandatory State Revolving Fund Terms and Conditions included in Attachment A). In the event a contract cannot be negotiated with the most highly qualified respondent, negotiation will begin with the next most highly qualified respondent, and so on until a contract is successfully negotiated.

Clinton County reserves the right, without qualification and at its sole discretion and without cost obligation to any respondent, to reject any or all proposals or parts thereof, reject any proposals which are not complete or contain irregularities, waive any formality or technicality or defect in proposals received, and reject any proposal not received on or before the specified due date. Any respondent that submits a proposal does so without recourse against Clinton County, Casella, or their affiliates for the rejection of the respondent's proposal or for failure to execute a formal agreement.

SECTION 6 - SUBMITTAL RE UIREMENTS

Respondents must submit their Qualifications Statement no later than 2:30 pm eastern prevailing time on the Submittal Due Date set forth on page 1 of this RFQ.

Submit four (4) bound copies in a sealed envelope to:

Kristin E. Eilers

Clinton County Purchasing Agent Government Center, 2nd Floor 137 Margaret Sti-eet, Suite 208 Plattsburgh, NY 12901

On the face of the sealed envelope, please include the following information:

"Qualifications Statement for Clinton County Landfill Leachate Pre-Treatment Plant Professional Services"

Name and address of respondent

List of Attachments to this RF

1. Mandatory State Revolving Fund Terms and Conditions

ATTACHMENT 1

MANDATORY STATE REVOLVING FUND TERMS AND CONDITIONS

INTRODUCTION

The terms and conditions below must be incorporated verbatim into contracts receiving SRF financial assistance. Additional information relating to each of the requirements is included in the companion guidance document.

REQUIRED CONTRACT LANGUAGE

COMMONLY USED TERMS

The following commonly used terms are defined herein as follows:

Broker means a firm that does not itself perform, manage or supervise the work of its contract or subcontract in a manner consistent with the normal business practices for contractors or subcontractors in its line of business.

Construction means the process by which a contractor or subcontractor builds, alters, repairs, remodels, improves or demolishes infrastructure.

Contract means an agreement between a Recipient and a Contractor.

Contractor means all bidders, prime contractors, non-construction service providers, and consultants as hereinafter defined, unless specifically referred to otherwise.

Manufacturer means a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications.

MBO is designated and employed by the Recipient as a Minority Business or Compliance Officer responsible for MWBE/DBE/SDVOB/EEO reporting and compliance.

Non-Construction Provider means any individual or business enterprise that provides one or more of the following: legal, engineering, financial advisory, technical, or other professional services, supplies, commodities, equipment, materials, or travel.

Recipient means the party, other than EFC, to a grant agreement or a project finance agreement with EFC through which funds for the payment of amounts due thereunder are being paid in whole or in part.

Responsible through Project Finance Agreement (PFA) to comply with EFC requirements.

State means the State of New York.

Subcontract means an agreement between a Contractor and a Subcontractor.

Subcontractor means any individual or business enterprise that has an agreement, purchase order, or any other contractual arrangement with a Contractor.

Supplier means a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business.

Treatment Works is defined in Clean Water Act (CWA) Section 212. This does not include nonpoint source projects as defined in CWA Section 319 and estuary management program projects as defined in CWA Section 320.

Mandatory SRF Terms and Conditions for Contracts Funded with NYS CWSRF or DWSRF Page 4 of 16 Revision Date: 11/1/2023

SECTION 1 FEDERAL ARCHITECTURAL AND ENGINEERING PROCUREMENT

REQUIREMENTS

Any Architectural and Engineering (A/E) services for all CWSRF projects and for DWSRF projects receiving federal grant are required to be procured in compliance with 40USC 110 let. seq., and 48 CFR Part 36 'Subpart 36. 6. The Recipient must certify compliance to receive financing. Disregard this section if it does not apply to this Contract.

SECTION 2 REQUIREMENTS AND PROCEDURES FOR BUSINESS

PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE

CERTIFIED MINORinf -AND WOMEN-OWNED BUSINESS

ENTERPRISES AND EQUAL EMPLOYMENT OPPORTUNITIES FOR

WOMEN AND MINORITY GROUP MEMBERS

The Equal Employment Opportunities requirements of this section apply to all Contracts and Subcontracts, 'with the exception of: (1) the requirements under Title VII of the Civil Rights Act of 1964 and 41 CFR Part 60-1 SubpartA which apply only to construction Contracts and Subcontracts; and

(2) the Federal Affirmative Action Regulations requirements which apply only to construction Contracts and Subcontracts greater than $10, 000.

The Minority- and Women- Owned Business Enterprises ("MWBE") participation requirements of this section apply to the Contracts Meeting Article 15-A Thresholds.

Contracts Meeting Article 15-A Thresholds means Contracts or Subcontracts meeting the thresholds under New York State Executive Law Article 15-A as follows:

a) Non-Construction Provider Contracts greater than $25, 000;

b) Non-Construction Provider Contracts that are initially under $25, 000 but subsequent change orders or contract amendments increase the Contract value to above $25, 000;

c) Construction Contracts greater than $100, 000; and,

d) Construction Contracts that are initially under $100, 000 but subsequent change orders or contract amendments increase the Contract value to above $100, 000.

Disregard this section if it does not apply to this Contract or Subcontract.

I. General Provisions

A. Contractors and Subcontractors are required to comply with the following provisions:

1. New York State Executive Law Article 15-A and 5 NYCRR Parts 140-145 ("MWBE Regulations") for alt State Contracts meeting Article 15-A thresholds.

2. Title VI of the Civil Rights Act of 1964 and 40 CFR Part 7 ("Title VI") for any program or activity receiving federal financial assistance, as those terms are defined therein.

3. Title VII of the Civil Rights Act of 1964 and 41 CFR Part 60-1 Subpart A ("Title VII") for construction Contracts related to any government programs providing federal financial assistance, as those terms are defined therein.

4. 41 CFR Part 60-4 ("Federal Affirmative Action Regulations") for federal or federally assisted construction Contracts in excess of $10, 000, as those terms are defined therein.

5. Section 504 of the Rehabilitation Act of 1973 ("Section 504") for any program or activity receiving federal financial assistance, as those terms are defined therein.

6. The Age Discrimination Act of 1975 ("Age Discrimination Act") for any program or activity receivmg federal financial assistance, as those terms are defined therein.

Mandatory SRF Terms and Conditions for Contracts Funded with NYS CWSRF or DWSRF_ Page 5 of 16 Revision Date: 11/1/2023

7. Section 13 of the Federal Water Pollution Control Act ("Clean Water Act") Amendments of 1972 ("Section 13") for any program or activity receiving federal financial assistance under the Clean Water Act, as those terms are defined therein.

B. Upon request from the Recipient and/or EFC, Contractor will provide complete responses to inquiries and all MWBE and EEO records available within a reasonable time or as otherwise determined by EFC.

C. Failure to comply with all of the requirements herein may result in a finding by the Recipient that the Contractor is non-responsive, non-responsible, and/or has breached the Contract, leading to the withholding of funds or such other actions, liquidated damages pursuant to subsection III(E) of this section, or enforcement proceedings as allowed by the Contract.

D. If any terms or provisions herein conflict with Executive Law Article 15-A, the MWBE Regulations, Title VI, Title VII, or Federal Affirmative Action Regulations, such law and regulations shall supersede these requirements.

II. Equal Employment Opportunities (EEC)

A. Each Contractor and Subcontractor performing work on the Contract shall undertake or continue existing EEO programs to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. For these purposes, EEO shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading demotion, transfer, layoff, or termination and rates of pay or other forms of compensation.

B. The Contractor shall comply with the provisions of the Human Rights Law (Executive Law Article 15), Title VI, Title VII, the Federal Affirmative Action Regulations, Section 504, Age Discrimination Act, Section 13, and all other State and Federal statutory and constitutional non-discrimination provisions. The Contractor and Subcontractors shall not discriminate against any employee or applicant for employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status, age, disability, predisposing genetic characteristic, marital status or domestic violence victim status, and shall also follow the requirements of the Human Rights Law with regard to non-discrimination on the basis of prior criminal conviction and prior arrest.

C. Contractors and Subcontractors shall have instituted grievance procedures to assure the prompt and fair resolution of complaints when a violation of Title VI of the Civil Rights Act of 1964 or Title 40 CFR Part 7 is alleged.

D. Pursuant to 40 CFR § 7.95, the Contractor shall display a copy of the EEC notice at the project site in a visible location. The notice shall accommodate individuals with impaired vision or hearing and should be provided in languages other than English where appropriate.

The notice must also identify the employee responsible for its EEO compliance. See guidance document for sample notice.

E. The Contractor will include the provisions of Subdivisions 11(A) and 11(C) in every Subcontract in such a manner that the requirements of these subdivisions will be binding upon each Subcontractor as to work in connection with the Contract.

F. The Contractor and Subcontractor will comply with the requirements of 41 CFR § 60-1 -4(b) and (c), and such provisions are hereby incorporated by reference. These provisions require, in part, that the Contractor and Subcontractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The Contractor and Subcontractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship.

Page 6 of 16 Revision Date: 11/1/2023

G. For construction contracts in excess of $10,000, the Contractor and Subcontractor will comply with the Affirmative Action Regulations and such provisions are hereby incorporated by reference. These provisions require, in part, that the Contractor and Subcontractor place affirmative action goals on Contracts and Subcontracts, as established by the United States Department of Labor. See guidance document for goals.

H. Pursuant to 41 CFR Section 60-1. 7 for federally assisted construction Contracts, Contractor and Subcontractor will annually file an EEO-1 Report with the Joint Reporting Committee for the Office of Federal Contract Compliance Programs (OFCCP) and the Equal Employment Opportunity Commission (EEOC) according to the instructions provided at htt s://www.eeoc. ov/em lo ers/eeo-1-surve /eeo-1-instruction-booklet, if Contractor or Subcontractor:

1. Is not exempt from compliance pursuant to 41 CFR § 60-1. 5;

2. Has 50 or more employees;

3. Is a prime Contractor or first tier Subcontractor; or Subcontractor below the first tier which performs construction work at the site of construction; and

4. Has a Contract, Subcontract, or purchase order amounting to $50, 000 or more.

III. Business Participation Opportunities for MWBEs Applicable to Contracts Meeting Article 15-A Thresholds

A. Contract Goals

1. New York State certified MWBE participation goals for this contract are 20%. For projects funded from the sources listed below, the goals may be achieved through any combination of MBE and/or WBE participation.

a. CWSRF, DWSRF & Green Innovation Grant Program (GIGP).

b. NYS Water Infrastructure Improvement Act Grants that are also receiving EFC financing.

c. NYS Intermunicipal Grants that are also receiving EFC financing.

2. For purposes of providing meaningful participation by MWBEs on the Contract and achieving the MWBE Contract Goals established in Section 111-A hereof, the Contractor should reference the directory of New York State Certified MWBEs found at htt s://n .newn contracts. com.

3. The Contractor understands that only sums paid to MWBEs for the performance of a commercially useful function, as defined in 5 NYCRR § 140.1, may be applied towards achievement of applicable MWBE participation goals.

a. For construction and construction-related services Contracts or Subcontracts, the portion of the Contract or Subcontract with an MWBE serving as a Supplier, and so designated in ESD's Directory, that shall be deemed to represent the commercially useful function performed by the MWBE shall be 60% of the total value of the Contract or Subcontract. The portion of a Contract or Subcontract with an MWBE serving as a Broker, as denoted by NAICS code 425120, that shall be deemed to represent the commercially useful function performed by the MWBE shall be the monetary value for fees, or the markup percentage, charged by the MWBE.

b. For Non-Construction Provider Contracts or Subcontracts, the portion of a Contract or Subcontract with an MWBE serving as a Broker that shall be deemed to represent the commercially useful function performed by the MWBE shall be 25% of the total value of the contract.

4. Where MWBE Contract Goals have been established herein, pursuant to 5 NYCRR § 142.8, the Contractor must document "good faith efforts" to provide meaningful participation by MWBEs as Subcontractors or Suppliers in the performance of the Contract.

Page 7 of 16 Revision Date: 11/1/2023

5. In accordance with Section 316-a of Article 15-A and 5 NYCRR § 142. 13, the Contractor acknowledges that if it is found to have willfully and intentionally failed to comply with the MWBE participation goals set forth in the Contract, such a finding constitutes a breach of Contract and the Contractor shall be liable to the Recipient for liquidated or other appropriate damages, as set forth herein.

B. MWBE Utilization Plan

1. The Contractor represents and warrants that Contractor has submitted a completed copy of the MWBE Utilization Plan with all required bid forms to the MBO no later than the execution date of this Contract.

2. The Contractor agrees to use such MWBE Utilization Plan for the performance of MWBEs on the Contract pursuant to the prescribed MWBE goals set forth in Section Itl-A of this section.

3. The Contractor further agrees that a failure to submit and/or use such MWBE Utilization Plan shall constitute a material breach of the terms of the Contract. Upon the occurrence of such a material breach, the Recipient shall be entitled to any remedy provided herein, including but not limited to, a finding that the Contractor is not responsive.

4. The Contractor must report any changes to the Utilization Plan after Contract award and during the term of the Contract to the MBO. The Contractor shall indicate the changes to the MBO in the Monthly MWBE Contractor Compliance Report immediately following the change. At EFC's discretion, an updated MWBE Utilization Plan form and good faith effort'documentation may be required to be submitted. When a Utilization Plan is revised due to execution of a change order, the change order should be submitted to the MBO with the Monthly MWBE Contractor Compliance Report or revised Utilization Plan.

5. The Contractor shall submit copies of all fully executed Subcontracts, agreements, and purchase orders that are referred to in the MWBE Utilization Plan to the MBO within 30 days of their execution.

C. Request for Waiver

1. If the Contractor, after making good faith efforts, is unable to comply with MWBE goals, the Contractor may submit a Request for Waiver to the MBO documenting good faith efforts by the Contractor to meet such goals. If the documentation included with the waiver request aligns with the documentation identified on the Request for Waiver form, the MBO shall forward the request to EFC for evaluation, and EFC will issue a written notice of acceptance or denial within twenty (20) days of receipt.

2. If the MBO, upon review of the MWBE Utilization Plan and updated Quarterly MWBE Contractor Compliance Reports determines that the Contractor is failing or refusing to comply with the MWBE Contract Goals and no waiver has been issued in regards to such non-compliance, the Recipient may issue a notice of deficiency to the Contractor. The Contractor must respond to the notice of deficiency within seven (7) business days of receipt. Such response may include a request for partial or total waiver of MWBE Contract Goals.

D. Monthly MWBE Contractor Compliance Report ("Monthly MWBE Report")

1. The Contractor agrees to submit a report to the MBO by the third business day following the end of each month over the term of this Contract documenting the payments made and the progress towards achievement of the MWBE goals of the Contract. The Monthly MWBE Report must be supplemented with proof of payment by the Contractor to its Subcontractors (e.g., copies of both sides of a cancelled check) and proof that Subcontractors have been paid within 30 days of receipt of payment from the Recipient. The final Monthly MWBE Report must reflect all Utilization Plan revisions and change orders.

Mandatory SRF Terms and Conditions for Contracts Funded with NYS CWSRF orDWSRF_ Page 8 of 16 Revision Date: 11/1/2023

E. Liquidated Damages - MWBE Participation

1. In accordance with Section 316-a of Article 15-A and 5 NYCRR §142. 13, if it has been determined by the Recipient or EFC that the Contractor has willfully and intentionally failed to comply with the MWBE participation goals, the Contractor shall be obligated to pay to Recipient liquidated damages or other appropriate damages, as specified herein and as determined by the Recipient or EFC.

2. Liquidated damages shall be calculated as an amount not to exceed the difference between:

a. All sums identified for payment to MWBEs had the Contractor achieved the approved MWBE participation goals; and,

b. All sums actually paid to MWBEs for work performed or materials supplied under this Contract.

3. The Recipient and EFC reserve the right to impose a lesser amount of liquidated damages than the amount calculated above based on the circumstances surrounding the Contractor's non-compliance.

4. In the event a determination has been made by the Recipient or EFC which requires the payment of damages identified herein and such identified sums have not been withheld, Contractor shall pay such damages to the Recipient within sixty (60) days after they are assessed unless prior to the expiration of such sixtieth day the Contractor has filed a complaint with the Empire State Development Corporation - Division of Minority and Women's Business Development ("ESD") pursuant to Subdivision 8 of Section 313 of the Executive Law in which event the damages shall be payable if the Director of ESD renders a decision in favor of the Recipient.

SECTION 3 PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE

CERTIFIED SERVICE-DISABLED VETERAN-OWNED BUSINESSES

The requirements of this section apply to all Construction Contracts and Subcontracts

A. New York State Veterans' Service Law Article 3, and 9 NYCRR Part 252, and/or any other related regulations promulgated thereto, provides for more meaningful participation in public procurement by certified Service-Disabled Veteran-Owned Businesses ("SDVOBs"), thereby further integrating such businesses into New York State's economy. New York State recognizes the need to promote the employment ofservice-disabled veterans and to ensure that certified service-disabled veteran-owned businesses have opportunities for maximum feasible participation in the performance of EFC Contracts.

In recognition of the service and sacrifices made by service-disabled veterans and in recognition of their economic activity in doing business in New York State, Contractors are strongly encouraged and expected to consider SDVOBs in the fulfillment of the requirements of the Contract. Such participation may be as Subcontractors or Suppliers, as proteges, or in other partnering or supporting roles.

B. Contractor is encouraged to make good faith efforts to promote and assist in the participation of SDVOBs on the Contract for the provision of services and materials. The directory of New York State Certified SDVOBs can be viewed at: htt ://o s. n . ov/Core/SDVOBA.as .

C. Contractor is encouraged to contact the Office of General Services' Division of Service- Disabled Veteran's Business Development at 518-474-2015 or VeteransDevelopment@ogs.ny.gov to discuss methods of maximizing participation by SDVOBs on the Contract.

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SECTION 4 AMERICAN IRON AND STEEL (AIS) REQUIREMENT

The requirements of this section apply to (1) all Construction Contracts and Subcontracts for DWSRF projects and CWSRF Treatment Works projects and (2) all Contracts for the purchase of iron and steel 'products for a DWSRF project or CWSRF Treatment Works project. Disregard this section if it does not apply to this Contract or Subcontract.

The Contractor shall submit with their bid or proposal documents an executed AIS Contractors Certification on the form attached hereto as Attachment 2 acknowledging to and for the benefit of the Recipient of the Clean Water State Revolving Fund ("CWSRF") or the Drinking Water State Revolving Fund ("DWSRF") financial assistance that the Contractor understands the goods and services under this Agreement are being funded with monies made available by the New York State Environmental Facilities Corporation ("EFC") through the CWSRF or the DWSRF and that such funding is subject to certain statutory restrictions requiring that certain iron and steel products used in the project be produced in the United States ("American Iron and Steel Requirement") including iron and steel products provided by the Contractor pursuant to this Agreement.

The Contractor hereby represents and warrants that:

(a) the Contractor has reviewed and understands the American Iron and Steel Requirement,

(b) all of the iron and steel products covered by the American Iron and Steel Requirement used in the project will be and/or have been produced in the United States in a manner that complies with the American Iron and Steel Requirement, unless a waiver of the requirement is approved, and

(c) the Contractor will provide any further verified information, certification or assurance of compliance with this paragraph, or information necessary to support a waiver of the American Iron and Steel Requirement, as may be requested by the Recipient.

Notwithstanding any other provision of this Agreement, any failure to comply with this paragraph by the Contractor shall permit the Recipient to recover as damages against the Contractor any loss, expense, or cost (including without limitation attorney's fees) incurred by the Recipient resulting from any such failure (including without limitation any impairment or loss of funding, whether in whole or in part from the EFC or any "damages owed to the EFC by the Recipient). While the Contractor has no direct contractual privity with the EFC, as a lender to the Recipient for the funding of this project the Recipient and the Contractor agree that the EFC is a third-party beneficiary and neither this paragraph, nor any other provision of this Agreement necessary to give this paragraph force or effect, shall be amended or waived without the prior written consent of the EFC.

SECTION 5 DAVIS-BACON (DB) PREVAILING WAGE REQUIREMENTS

The requirements of this section apply to all Construction Contracts and Subcontracts greater than $2, 000'for either DWSRF projects or CWSRF Treatment Works projects. Disregard this section if it does not apply to this Contract or Subcontract.

For Contracts in Excess of $2, 000:

1. Minimum Wages

(i) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the Contractor and such laborers and mechanics.

Page 10 of 16 Revision Date: 11/1/2023

Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1 (b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR §

5. 5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein provided that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (1)(ii) of this section) and the Davis- Bacon poster (WH-1321) shall be posted at all times by the Contractor and its Subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. The Davis-Bacon poster (WH-1321) can be found at htt s://www. dol. ov/whd/re s/com liance/ osters/davis. htm . Wage determinations may be obtained from the US Department of Labor's website, htt s://beta. sam. ov/.

(ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the Contract shall be classified in conformance with the wage determination. The contracting officer shall approve a request for an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:

1. The work to be performed by the classification requested is not performed by a classification in the wage determination;

2. The classification is utilized in the area by the construction industry; and,

3. The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

(B) If the Contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), documentation of the action taken and the request, including the local wage determination shall be sent by the contracting officer to the Administrator of the Wage and How Division, Employment Standards Administration, U. S. Department of Labor Washington, DC 20210 and to'the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification request within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.

(C) In the event the Contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall…