D265786.pdf

PROPOSAL

Contractor Information:

D265786

F.A. PROJECT

Book 1 of 2

Submitted in accordance with the Highway Law and with the Standard Specifications and Standard Sheets officially finalized and adopted on September 1, 2026 as posted on the Department's website.

US CUSTOMARY UNITS

Federal Identification Number

Name

Address

CONTRACTOR'S BID PACKAGE

Proposal Description:

BRIDGE REHABILITATION - 907C (Owl's Head Viaduct) over 61st Street.

Letting of 9/16/2026 @ 10:30 A.M.

50 Wolf Road, Albany, NY 12232

0021 Per Contracts L05/01/20

TABLE OF CONTENTS

PROPOSAL SECTION PAGE NO.

PROJECT TITLE SHEET 1

CONTRACTOR’S BID PACKAGE CONTENTS 2

Best Value Submission / Jurat (Proposal Form) / Bid Bond / DBE Commitment / Bid Survey /State Businesses / Itemized Proposal (Proposal Form)

REQUIRED CONTRACT PROVISIONS 67

EEO Goals / DBE/MBE/WBE/SDVOB - Goals / CONR 9, Supplemental Information / Electronic Bid / Federal Aid Provisions / Percentage Bid Items / Railroad Insurance / New York State Uniform Contracting Questionnaire

SPECIAL NOTES 95

Location Maps / Landscape Development Notes / ROW / Thruway / Canals / Funding / Asphalt & Fuel Price Adjustments / Specialty Items / etc...

PROJECT DETAILS N/A

STANDARD SPECIFICATIONS REVISIONS 221

SPECIAL SPECIFICATIONS 223

PREVAILING WAGE RATES 632

NOTE: This form, Table of Contents, and subsequent listed section title pages were developed for repetitive use throughout all contract proposals and may identify items not applicable to this specific project. The Contractor is responsible for review of this proposal containing the contract requirements.

D265786

CONTRACT NO: D265786

COUNTY(IES): KINGS

ITEMIZED PROPOSAL FOR BRIDGE REHABILITATION - 907C (OWL'S HEAD VIADUCT) OVER 61ST

STREET.

CAPITAL PROJECT IDENTIFICATION NO

DEPOSIT REQUIRED.......................................... Bid bond, certified check, or cashier’s check in the minimum amount of 5% of the total bid

COMPLETION DATE

X731.54

A PRE-BID MEETING WILL BE HELD VIA WEBEX, PLEASE SEE PAGE 220 FOR MEETING DETAILS.

F.A. PROJECT

STATE OF NEW YORK

DEPARTMENT OF TRANSPORTATION

ENGINEERING DIVISION

October 17, 2031

PROJECT TITLE SHEET

Bids Should Be Submitted through Bid Express or in a Sealed Envelope prominently labeled “BID ENCLOSED”;

addressed to NYSDOT, Contract Management Bureau, 50 Wolf Road, First Floor, Suite 1CM, Albany NY 12232;

and delivered prior to the proposal due date and time, during normal business hours (Monday through Friday, 7:00am to 4:00pm). Clearly identify the Contractor Name, Address, Federal Identification Number, Project Number and Project Description on the envelope. The same Federal Identification number should be used on both the envelope and the Planholders List. Low bidders must have a current NYS Vendor Responsibility Questionnaire For- Profit Construction (CCA-2) on file or submit one within 10 days of receipt of the contract. Questionnaires are available at: www.dot.ny.gov/bids-and-lettings/construction-contractors/general-info. Please call (518) 457-2421 if a reasonable accommodation is needed to participate in the Letting.

Project-related technical questions or comments must be submitted through the Construction Contracting section of the Business Center on the NYSDOT website at:

Questions www.dot.ny.gov/doing-business/opportunities/const-notices Contract administration or procurement questions may either be submitted through the website, or directed to the Contract Management Bureau contacts listed on the Important Bidder Information page on the back of the cover of Proposal Book 2.

D265786 1

CONTRACTOR’S BID PACKAGE CONTENTS

0041 Page 1 of 1 L01/01/20

Best Value Submission

Jurat (Proposal Form)

Bid Bond

Federal DBE Commitment and GFE Bid Requirements (Federal Aid Contracts Only)

Bid Survey (Optional)

Encouraging Use of NYS Businesses (100% State Funded Contracts Only)

Itemized Proposal (Proposal Form)

NOTE: This form was developed for repetitive use throughout all contract proposals and may identify items not applicable to this specific project.

D2657862

SPECIAL NOTE

BEST VALUE SUBMISSION

PIN X731.54, Bridge Rehabilitation of 907C (Owl’s Head Viaduct) over 61st Street

Kings County, New York

1. SUBMISSION CONTENT AND FORMAT REQUIREMENTS

The Best Value Submission consists of two parts: the Cost Bid Proposal (Part 1) and the Technical Proposal (Part 2). The complete Best Value Submission (both parts) must be received by the Office of Contract Management (OCM) prior to the proposal due date and time identified on the Proposal Cover. The two parts shall not be combined in one document.

OCM will accept either an electronic or in-person submission as outlined below:

For electronic submissions, Proposers shall send an email to the Department’s designated contact(s) listed in Section 2 expressing their intent to submit their required information electronically. This request shall be sent no earlier than 14 calendar days and no later than two (2) business days prior to the proposal due date. OCM will then send an invitation through the NYS mySend (mySend.ny.gov) managed file transfer program for the Proposer to upload and transmit the appropriate submission files. It is the Proposer’s responsibility to ensure on-time delivery of the submission.

Acknowledgement will be sent by email to confirm OCM’s successful receipt of electronically submitted files.

For in-person submissions, Proposers shall mail or hand deliver a USB flash drive containing their appropriate submission files in a sealed envelope during normal business hours (Monday through Friday, 8:00 AM to 3:00 PM) to:

NYSDOT

Office of Contract Management First Floor, Suite 1 CM 50 Wolf Road Albany, NY 12232

Each part of the submission, the Cost Bid Proposal (Part 1) and the Technical Proposal (Part 2), shall be submitted using one of the following methods:

Part 1 – Cost Bid Proposal

1. Online through Bid Express, or

2. An electronic bid file (.ebsx)* submitted electronically through mySend, or

3. An electronic bid file (.ebsx)* submitted in-person on a USB flash drive, or

4. A paper bid, submitted in-person, preferably including a flash drive with an electronic bid file

(.ebsx)*.

* Bid submittals in .ebsx format are preferred. In addition to the electronic bid file, bids not submitted through Bid Express must include all information and documents as required in, and in the format prescribed by, the Proposal Book 1 paper bid file.

Part 2 – Technical Proposal

1. Submit files electronically through mySend or

2. Submit files in-person on a USB flash drive.

Other than the electronic bid file and Gantt Chart, all submitted files shall be in portable document format (PDF) with no file or password protection applied. If a USB flash drive is provided, it shall

D265786 3 be labeled with the Project Name, D-Number, Project Identification Number (PIN), and the Contractor’s Name.

Include complete and concise information. Text shall be single spaced and in a standard font not less than ten points in height. Also, unless indicated on a specific form or elsewhere in this Best Value Special Note, the supplied forms shall not be altered. This includes increasing page lengths, altering headers or footers, and inserting company logos. Any form found to be altered may, at the discretion of OCM, be removed from the Proposal for evaluation purposes. Photographs, external web links, and/or other unsolicited information shall not be included in the forms.

1.1 COVER LETTER

The Cover Letter shall be a maximum of two (2) pages in length. Include the following information in the letter as a minimum:

□ Contract D-Number and project name,

□ Company Name, Street Address, and Federal Identification Number (FEIN),

□ Name, telephone number, and email address of the individual to contact regarding the submittal,

□ Certification that “The undersigned hereby certifies that, to the best of his or her knowledge and belief, the information submitted is complete, true and accurate.”, and

□ The Cover Letter shall be signed by a principal, partner, or officer of the firm who has the authority to make such commitments on behalf of the firm.

1.2 SUBMISSION CHECKLIST

The Best Value Submission shall include all information required in this Special Note. The checklist below should be used as a guide for the Best Value Submission:

Cost Bid Proposal

□ Itemized Proposal (See Proposal Book 1, Contractor’s Bid Package)

Technical Proposal

□ Cover Letter (2-page limit)

□ Schedule

□ Form SCD

□ Construction Schedule Narrative (6-page limit, excluding Gantt Chart)

□ Gantt Chart, including all required milestone dates (size 11”X17”, 12-page limit, plus the electronic file in P6V15.2 XER format or newer)

□ Construction Approach

□ Means and Methods (4-page limit)

□ Risk Response (Form RR)

□ Experience & Past Performance

□ Form E-1 and Form E-2 (See instructions on Form E-1 regarding page limits)

D2657864

2. CONTACTS/QUESTIONS, DESIGNATED CONTACTS

NYS Finance Law Section 139-j restricts communication with NYSDOT personnel on procurements, and contact can only be made with designated persons. Contact with non-designated persons or other involved Agencies will be considered a serious matter and may result in disqualification. Contacts are listed in the Important Bidder Information in the contract proposal (inside cover of Book 2).

Project-related technical questions or comments related to the Best Value Submission up to letting must be submitted through the Contract Documents tab of the Department’s website at:

https://www.dot.ny.gov/doing-business/opportunities/const-notices.

After letting, communication on this procurement shall be made to the Department’s Designated Contacts listed below:

Dawn Turgeon and Patricia Kappeller Re: Bridge Rehabilitation of 907C (Owl’s Head Viaduct) over 61st Street Kings County, New York, D265786, PIN X731.54 Office of Contract Management New York State Department of Transportation 50 Wolf Road, 6th Floor

Email: Dawn.Turgeon@dot.ny.gov and Patricia. Kappeller@dot.ny.gov

If more than one individual is named above, all correspondence shall be sent to all individuals identified above.

3. BEST VALUE SELECTION SCORING CRITERIA

All Best Value Submissions will be evaluated under the direction of the OCM and scored according to the criteria contained herein.

A Selection Committee will evaluate all Best Value Submissions on a 50-50 Cost-Technical based weighting, according to the following criteria:

Best Value Selection Scoring Criteria

Description Final Weight Cost Bid Proposal 50 points Technical Proposal 50 points Schedule 20 points Construction Approach 10 points Experience & Past Performance 20 points Total 100 points

The Best Value is determined through an integrated assessment and analysis among identified evaluation criteria. After all Technical Proposals are evaluated, they will be checked to ensure they meet the minimum acceptable technical score of 25 points (50 percent of 50 potential points).

Technical Proposals scoring less than this will be removed from further consideration.

D265786 5 https://www.dot.ny.gov/doing-business/opportunities/const-notices mailto:Dawn.Turgeon@dot.ny.gov mailto:Patricia.%20Kappeller@dot.ny.gov

3.1 COST BID PROPOSAL – 50 points (50%)

A total of 50 Points will be assigned to the Contractor with the lowest total Cost Bid Proposal.

Remaining bids will receive Points based on the percentage by which their Cost Bid exceeds the lowest Cost Bid. This rewards proposals with the lowest costs.

Cost Bid Proposals shall be submitted in accordance with Section 1 of this Best Value Submission Special Note.

3.2 TECHNICAL PROPOSAL – 50 points (50%)

All Technical Proposals shall be in conformance with NYSDOT contract document plans and specifications for this project. No submission should rely on a grant of Value Engineering Change Proposal (VECP), as described in NYSDOT Standard Specifications §104-10.

Submissions relying on VECPs may be deemed non-responsive.

3.2.1 SCHEDULE – (20 Points)

The Department will evaluate the proposer’s duration for Project Completion Date (Table SCD-1), Substantial Completion Milestone Date (Table SCD-2), and Impacts to Traffic (Table SCD-3) submitted in accordance with the Gantt Chart and Construction Schedule Narrative for accurate, consistent, and obtainable dates. Form SCD values shall correspond with appropriate milestones in the Gantt Chart.

a. FORM SCD (15 Points)

The Technical Proposal will be scored based on a schedule consisting of the Project Completion Date. Using Form SCD, submit the Schedule of Contract Durations in Tables SCD-1 and SCD-2.

The Contractor shall submit an overall schedule starting 10 days following the anticipated Contract Award Date to:

□ Project Completion Date (Table SCD-1) as defined in Form SCD, Note 1.

□ Substantial Completion Milestone Date (Table SCD-2) as defined in Form SCD, Note 3.

The Contractor’s proposed Project Completion Date shall be no later than the completion date indicated on Form SCD, Note 1. Proposals with a Project Completion Date later than this date and/or any proposal not adhering to all Form SCD Notes will be deemed non-responsive.

A possible 5 Points may be assigned for the Project Completion Date. The Construction Schedule criteria (Form SCD, Table SCD-1) will be calculated and evaluated by the Office of Contract Management using the following table:

D2657866

Project Completion Date (Table SCD-1)

Points

5/1/2031 or earlier 5 5/2/2031 to 6/12/2031 4 6/13/2031 to 7/24/2031 3 7/25/2031 to 9/4/2031 2 9/5/2031 to 10/17/2031 1

The Contractor shall submit a duration of Impacts to Traffic for the Project Components listed on Table SCD-3. The definition of Impacts to Traffic can be found on Form SCD, Note 5.

A possible 10 Points may be assigned for the duration of Impacts to Traffic. The Contractor with the lowest Impacts to Traffic will receive the maximum Points for that Project Component based on the table below. Remaining Contractors will receive Points for each Project Component based on the percent that their schedule exceeds the shorted duration of Impacts to Traffic for each Project Component.

Project Component Maximum Points 3rd Ave on-ramp Closure Detour 6

John Allen Payne Playground Closure 4

b. GANTT CHART & CONSTRUCTION SCHEDULE NARRATIVE (5 points)

The Contractor shall submit a construction schedule in Primavera P6 format. The construction schedule shall be for the work to be performed from the execution of the contract (for purposes of preparing a schedule, the anticipate award date is December 16, 2026) up to and including Project Completion Date. The construction schedule shall include a start date and the durations in days for all major construction activities, as well as a detailed work plan with a hierarchical breakdown of work scope by construction stage, location, type, and major work task. All constraints and provisions included in the contract documents shall be considered in the Construction Schedule Narrative and Gantt Chart. Indicate a clear methodology and approach to constructing the project and minimizing the impact to the traveling public.

The Gantt Chart should show all activities grouped by work breakdown structure (WBS), activity ID, activity name, activity start date, activity finish date, activity duration (days), logic (predecessors and successors), and float. The Gantt Chart should also show the activities that are on the critical path. An example of a typical Gantt Chart is provided in this note as a reference.

The Gantt Chart submittal shall conform to Form SCD with the correct number of calendar days and shall include the following information, at a minimum:

• Contract Award Date

• Contractor’s First Day of Work

• Mobilization

• Begin and end dates of each phase of work. The following major work elements are required as part of the Contractor’s schedule and defined in the contract document:

D265786 7

1. Deck replacement (including removal of existing steel fascia assemblies, new barriers and new striping)

2. Temporary structure/deck

3. 3rd Ave on-ramp to the Belt Parkway Closure Detour

4. John Allen Payne Playground Closure

5. Steel superstructure and substructure repairs

6. Bearing replacement

7. Reconstruction of approach roadway

8. Complete bridge painting

9. Drainage system

10. Cantilever overhead sign structures

11. ITS work including camara poles and foundations

12. Roadway lighting and under deck lighting

13. John Allen Payne Playground Improvements

14. Landscape restoration

• Substantial Completion Milestone

• Demobilization

• Contractor’s proposed Project Completion Date.

A possible total of 5 Points for Construction Schedule Narrative, including the Gantt Chart, will be assigned to the Contractor based on the criteria in this section. This rewards proposals with the best understanding of sequencing the work operations and comprehensive schedules.

The Contractor shall provide a Construction Schedule Narrative explaining the sequencing and phasing of work, tasks, number of work crews, a summary of the personnel that make up each work crew, type of equipment, logic and any assumptions presented in the schedule. There should be a direct correlation between the Construction Schedule Narrative and the Gantt Chart submitted. In addition, describe factors limiting schedule flexibility or acceleration and potential remedies.

3.2.2 CONSTRUCTION APPROACH – (10 Points)

The Contractor shall provide a brief description of the means and methods planned to perform the major work elements in accordance with the contract documents. This description should discuss how the approach chosen benefits the Department and why it is the best solution for constructing the major work elements in a safe and efficient manner.

The Contractor shall use Form RR to list the top five (5) potential risks and/or issues that your firm foresees with this project. Describe the impact of each risk and the means and methods your firm intends to use to mitigate the risk and minimize impacts to the project. Assign a Level of Impact for each identified risk and a Probability Score. Compute the Risk Score Escalation Number by multiplying the Level of Impact times the Probability Score.

A possible total of 10 Points for Construction Approach, including the Contractor’s response to Form RR, will be assigned to the Contractor based on meeting the criteria described above.

D2657868

3.2.3 EXPERIENCE & PAST PERFORMANCE – (20 Points)

The Contractor shall provide detailed Experience & Past Performance information. A possible total of 20 Points will be assigned to the Contractor based on meeting the criteria described below. The objective of the Experience & Past Performance criteria is to identify Contractors that have relevant experience and have successfully completed projects on time and under budget, including projects that were similar in scope, size, and complexity to this Project.

Using Forms E-1 and E-2, the Contractor shall provide information on no more than five (5) projects that the Contractor has undertaken with similar scope, size and complexity to this Project.

Provide the following information:

a. Project Description – Provide a brief description of the project, the nature of the work for which the Contactor was specifically responsible, and a brief description of the site conditions.

b. On Time/On Budget – Provide the Planned Completion Date as Bid and the actual (or expected if on-going) Completion Date. Also, provide the Construction Value as Bid and the Construction Final (or expected if on-going) Value. Provide the dollar amount of claims, if any.

If there are any claims, provide a detailed explanation on Form E-2 and attach to Form E-1 for that project. List the number of claims filed and provide a detailed explanation for delay in schedule and reasons for claims. If the Project is over budget, also provide an explanation using Form E-2.

c. Liquidated Damages – Provide the dollar amount of Liquidated Damages, if any. If Liquidated Damages were incurred in excess of $25,000 for a specific project, attach an additional page (Form E-2) to Form E-1 and describe the causes of delays and the amounts assessed. Describe any outstanding damage claims by or damages due and owing to any owner/agency.

Declarative Statement of No Past Experience

If the Contractor has no record of relevant past performance, or if the information relative to a category is not available, the Contractor should submit a Declarative Statement of No Past Experience. Failure to provide this information, conditional or qualified submissions (such as “to our knowledge,” “to the extent of available information,” “such information is not readily available,” “such information is not maintained in the manner requested,” etc.), incomplete, or inaccurate submissions, may lead to a low evaluation rating for this evaluation factor or result in a deficiency that would cause the Department to declare the Best Value Submission non-responsive.

4. INCENTIVE/DISINCENTIVE

N/A

5. BEST VALUE SELECTION

A combination of the Cost Bid Proposal and Technical Proposal will be utilized to determine the Best Value. The Department reserves the right to award this Contract to the Contractor, which through the evaluation process described herein, is determined to be the “Best Value”.

D265786 9

Below is an example of how the Cost Bid Proposals and Technical Proposals are scored and combined.

Example Cost Perfected

Cost Score (50%)

Total Technical Evaluation

Score (50%)

Total Score Final Ranking

Bidder A $102,000,000.00 48.00 44.00 92.00 3 Bidder B $103,000,000.00 47.50 48.00 95.50 1 Bidder C $98,000,000.00 50.00 42.50 92.50 2 Bidder D $103,000,000.00 47.50 43.00 90.50 4 Bidder E $99,000,000.00 49.50 40.50 90.00 5

Based on the total score Bidder B is the Best Value Proposer.

A debriefing will be made available to any Contractor that submitted a Proposal in response to this Best Value Contract. Any Contractor wishing to have a debriefing, must make a request in writing to the Department’s Designated Contact(s), within four (4) business days of notification of Best Value determination.

6. STATE’S RESERVED RIGHTS

The Department reserves the right to:

a. Require clarification at any time during the procurement process and/or require correction of arithmetic or other apparent errors for the purposes of assuring a full and complete understanding of a Proposer’s Best Value Submission and/or to determine a Proposer’s compliance with the requirements of the Best Value criteria.

b. Seek or obtain data from any source that has the potential to improve the understanding and evaluation of the Best Value Submission.

c. Request Best and Final Offers from all proposers that are determined to be eligible for determination of Best Value. Proposers should not assume that the Department will in fact request a Best and Final Offer.

D26578610

FORM SCD

SCHEDULE OF CONTRACT DURATIONS

Table SCD – 1

PROJECT COMPLETION DATE

D265786 – Bridge Rehabilitation of 907C (Owl’s Head Viaduct) over 61st Street

ACTIVITY ANTICIPATED

AWARD

CONTRACTOR’S PROPOSED

PROJECT COMPLETION

DATE (MM/DD/YYYY)

LIQUIDATED DAMAGES

AMOUNT (PER DAY)

(See Note 2)

PROJECT

COMPLETION

(See Note 1)

12/16/2026 (See Note 4) As per Section 108-03 of the

NYSDOT Standard Specifications

Table SCD – 2

SUBSTANTIAL COMPLETION MILESTONE DATE

D265786 – Bridge Rehabilitation of 907C (Owl’s Head Viaduct) over 61st Street

MILESTONE ANTICIPATED

AWARD

PROPOSED

SUBSTANTIAL

COMPLETION

MILESTONE DATE

(MM/DD/YYYY)

LIQUIDATED

DAMAGES AMOUNT

(PER DAY)

(See Note 2)

ALL TRAFFIC

PERMANENTLY

TRANSFERRED INTO

ITS FINAL

CONFIGURATION

(See Note 3)

12/16/2026 (See Note 4)

As per Section 108-03 of the NYSDOT Standard

Specifications

Table SCD - 3

PROJECT COMPONENT

IMPACT DURATION LIQUIDATED

DAMAGES AMOUNT

(PER DAY)

(See Note 2)

MAX.

ALLOWED

CONTRACTOR’S

PROPOSED

NUMBER

UNIT OF

MEASURE

3rd Ave on-ramp to the Belt Parkway Closure Detour

(See Note 5) 20 Weekends $33,700

John Allen Payne Playground Closure (See

Note 6) 700 Total Days

As per Section 108-03 of the NYSDOT Standard

Specifications

D265786 11

Notes:

1.) Project Completion Date, for the purposes of this Form SCD, is defined as “all construction activities completed and complete demobilization from the work site(s)”. Remaining paperwork may occur after the Project Completion date for the purposes of Form SCD. The Project Completion Date can be no later than October 17, 2031, or the proposal shall be declared non-responsive and removed from further “Best Value” evaluation or consideration.

The proposed Project Completion Date shall be computed by adding ninety (90) calendar days to the proposed Substantial Completion Milestone Date from Table SCD-2.

2.) Liquidated Damages will be assessed, in the amount indicated, for failure to achieve the Project Completion Date, Substantial Completion Milestone Date or Impact Duration in accordance with the provisions of this contract and as described in the Special Note.

3.) The Substantial Completion Milestone Date is defined by the number of calendar days starting 10 days after award of the contract as proposed by the successful Proposer and agreed to by the Department. Substantial Completion, for the purposes of this Form SCD, is defined as “all vehicular and pedestrian traffic transferred into its final configuration with no further impacts at any time.”

The Substantial Completion Milestone Date can be no later than July 19, 2031, or the proposal shall be declared non-responsive and removed from further “Best Value” evaluation or consideration.

4.) To provide for uniform scoring of all proposals, the submitted schedule shall assume an award date as shown. No adjustments to the contractors’ proposed project completion date will be made for awards granted prior to the anticipated award.

5.) Indicate the number of Traffic Impact Weekends.

Traffic Impact Weekend means the number of weekends or part of a weekend in which traffic is diverted from the ramp. For purposes of Table SCD-3, a weekend shall be defined as any time from Friday 11:00pm to Monday 4:00am.

6.) Indicate the number of Playground Impact Days.

Playground Impact Day means any day, or part of a day, in which work is occurring on the viaduct within the NYCDPR right-of-way for the John Allen Payne Playground and/or when the playground is closed by the Contractor. All devices used by the Contractor to close any portion of the playground, including, but not limited to, temporary fencing, tarps, etc., must be removed from the playground to not count as a Playground Impact Day.

Playground Impact Duration means the number of Calendar Days between the date of the first Playground Impact Day for which the playground is affected, either a partial of full closure (excluding indoor facilities accessed via 65th Street and/or 3rd Avenue), and the date of the last Playground Impact Day. It is not required that the number of Calendar Days be consecutive. Starts and stops of the Playground Impact Duration will be allowed.

D26578612

The Proposer commits to meet the Contract Durations specified above.

PROPOSER

SIGNED

DATE

NAME

(printed or typed)

TITLE

D265786 13

FORM E - 1

PROJECT DESCRIPTION

Complete a copy of Form E-1 for no more than five (5) of the most recent projects undertaken by the Contractor, which are similar in scope, size and complexity as this Project. Use up to two pages per Project (expand rows below if needed). Use Form E-2 (only one additional page per Project) to explain any or all of the following situations (see Section 3.2.3 of the Best Value Submission Special Note for more information):

a. Construction Final (expected) Value exceeds the Construction Value as Bid.

b. Dollar amount of Claims is greater than $0.

c. Dollar amount of Liquidated Damages is greater than $25,000.

d. Justification of why the project is behind schedule.

NYSDOT reserves the right to contact any Project Owner listed below as part of its evaluation process.

Contractor Experience (years) Roads/Streets: Bridges: Multi-use Paths:

DESCRIPTION OF PRIOR PROJECT

Contract # & Name

Location Brief description

Nature of work for which firm was responsible

Past project aspects/Similarities to this Project

Amount of Claims (US$): Amount of Liquidated

Damages (US$)

Client details (owner / agency/ contractor etc)

Client Name Address Contact name Telephone and email Contract Reference #

Construction Value as bid: (US$) Construction Final

(Expected) Value: (US$)

% of total work done by Firm: Commencement date:

Planned Completion Date as Bid: Actual (Expected)

Completion Date:

D26578614

FORM E-2

PROJECT EXPLANATIONS

If any or all of the following situations occurred on the specific project as described in Form E-1 use the space below the signature block to provide the required explanations(s) (enter “N/A” if not applicable):

a. Construction Final (expected) Value exceeds the Construction Value as Bid.

b. Dollar amount of claims is greater than $0. Detail number and amount of each claim.

c. Dollar amount of Liquidated Damages is greater than $25,000. Detail number of issues and amount of Liquidated Damages for each.

d. Justification of why the project is behind schedule.

Use only one page. See section 3.2.3 of the Best Value Submission Special Note for more information.

Contractor:

Contract # & Name:

Required explanation(s):

a.

b.

c.

d.

D265786 15

FORM R R

RISK RESPONSE

Form RR shall be completed by the Contractor for Construction Approach, as indicated in Section 3.2.2 of the Best Value Special Note. Expand rows below if needed.

ID Risk Name Impact Level of Impact

Prob.

Score

Risk Score Escalation Number

(Impact x Probability)

Impact Risk (Level of Impact) Probability Score 1- Negligible 2- Noted, but not severe, and able to be managed by the Contractor without impacting schedule, budget, scope or quality 3- Requiring intervention that can be managed by the Contractor or Owner without impacting completion date, budget, scope or quality 4- Significant – alters completion date, budget, scope, and/or quality in a notable manner 5- Critical – has the potential to cause failure of some aspect of the project

1- Very Unlikely 2- Unlikely 3- Possible 4- Likely 5- Very Likely

Risk #: 1 Risk Owner:

Risk Name / Statement:

Mitigation Response Strategies:

Risk #: 2 Risk Owner:

D26578616

Risk #: 3 Risk Owner:

Risk #: 4 Risk Owner:

Risk #: 5 Risk Owner:

D265786 17

D26578618

D265786 19

JURAT

1. Itemized Proposal

In submitting this bid, the undersigned declares that it is made without any connection with any person making another bid for the same contract; that the bid is in all respects fair and without collusion, fraud or mental reservation; and that no official of the State, or any person in the employ of the State is directly or indirectly interested in said bid or in the supplies or work to which it relates, or in any portion of the profits thereof.

The undersigned also hereby declares to have carefully examined the plans, specifications and form of contract, and to have personally inspected the actual location of the work together with the local sources of supply, to be satisfied as to all the quantities and conditions, and understands that in signing this proposal waives all right to plead any misunderstanding regarding the same.

The undersigned further understands and agrees to furnish and provide for the respective item price bid all the necessary material, machinery, implements, tools, labor services and other items of whatever nature, and to do and perform all the work necessary under the aforesaid conditions, to complete the improvement of the aforementioned project in accordance with the plans and specifications for said improvement, which plans and specifications it is agreed are a part of this proposal, and to accept in full compensation therefore the amount of the summation of the products of the approximate quantities multiplied by the unit prices bid. This summation will hereinafter be referred to as the gross sum bid.

For Design Bid Build projects, the undersigned further agrees to accept the aforesaid unit bid prices as compensation for any additions or deductions caused by variation in quantities due to more accurate measurement, and for use in the computation of the value of the work performed for monthly estimates, unless otherwise specifically provided for in the Standard Specifications.

The undersigned further agrees that should the bidder challenge any administrative action of the

Department regarding the award of the Contract, such special proceeding shall be brought in Supreme

Court, Albany County, and in no other location.

The undersigned further agrees that at any time during the progress of work the State adds, alters or omits portions of the work it shall so perform such work and accept compensation in accordance with the

Standard Specifications.

The undersigned further understands and agrees not to start any work until the contract agreement is signed by the Commissioner or the Commissioner's duly authorized representative. In no event shall the undersigned start any contract work which involves a disturbance within the State right of way prior to award of the contract by the Comptroller.

2. Bid Deposit

Accompanying this proposal is a bid bond, certified check or bank cashier's check for the specified amount of deposit required. In the event this proposal is accepted by the Department of Transportation and the undersigned shall fail to execute the contract and in all respects comply with the provisions of

Section 38 of the Highway Law, as amended, the moneys represented by such bid bond, certified check or bank cashier's check shall be regarded as liquidated damages and shall be forfeited and become the property of the State of New York; otherwise to be returned to the depositor in accordance with the provisions of said Section 38 of the Highway Law, as amended.

On acceptance of this proposal for said work the undersigned does or do hereby bind herself/himself or itself/themselves to enter into written contract, within ten days of date of notice of award, with the said

Department of Transportation, and to comply in all respects with §38(6) of the Highway Law, as amended, in relation to security for the faithful performance of the terms of said contract.

3. Certifications

A. Non-Collusive Bidding Certifications (NYS Finance Law §139-D)

1. Every bid hereafter made to the state or any public department, agency or official thereof, where competitive bidding is required by statute, rule or regulation, for work or services performed or to be

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D26578620 performed or goods sold or to be sold, shall contain the following statement subscribed by the bidder and affirmed by such bidder as true under the penalties of perjury:

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

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

(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 competition.

b. A bid shall not be considered for award nor shall any award be made where a. (1)(2) and (3) above have not been complied with; provided however, that if in any case the bidder cannot make the foregoing certification, the bidder shall so state and shall furnish with the bid a signed statement which sets forth in detail the reasons therefore. Where a. (1)(2) and (3) above have not been complied with, the bid shall not be considered for award nor shall any award be made unless the head of the purchasing unit of the state, public department or agency to which the bid is made, or his designee, determines that such disclosure was not made for the purpose of restricting competition.

The fact that a bidder: (a) has published price lists, rates, or tariffs covering items being procured,

(b) has informed prospective customers of proposed or pending publication of new or revised price lists for such items or (c) has sold the same items to other customers at the same prices being bid, does not constitute, without more, a disclosure within the meaning of subparagraph 1. a.

2. Any bid hereafter made to the state or any public department, agency or official thereof by a corporate bidder for work or services performed or to be performed or goods sold or to be sold, where competitive bidding is required by statute, rule or regulation, and where such bid contains the certification referred to in subdivision one of this section, shall be deemed to have been authorized by the board of directors of the bidder and such authorization shall be deemed to include the signing and submission of the bid and the inclusion therein of the certificate as to non-collusion as the act and deed of the corporation.

B. Non-Collusive Bidding Certification (49 CFR 20)

The Contractor to whom the above identified contract is to be awarded does hereby tender to the New

York State Department of Transportation this sworn statement pursuant to Section 112(c) of Title 23 U.S.

Code Highways and does hereby certify, in conformance with said 23 USC 112(c) that the said Contractor has not, either directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of free competitive bidding in connection with the above identified contract.

The signatory to this proposal, being duly sworn, certifies that, EXCEPT AS NOTED BELOW, its company and any person associated therewith in the capacity of owner, partner, director, officer, or major stockholder (five percent or more ownership):

1. is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency;

2. has not been suspended, debarred, voluntarily excluded or determined ineligible by any federal agency within the past three years;

3. does not have a proposed debarment pending; and

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4. has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent Jurisdiction in any matter involving fraud or official misconduct within the past three years.

EXCEPTIONS - List any relevant information, attaching additional sheets if necessary. (Exceptions will not necessarily result in disapproval, but will be considered in determining responsibility. For any exception noted, indicate below to whom it applies, the initiating agency, and dates of action. Providing false information may result in criminal prosecution or administrative sanctions.)

4. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion. (FHWA

Section 1273 X.) [For Federal-Aid Contracts Only]

A. The Bidder certifies to the best of its knowledge and belief, that it and its Principals:

1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency;

2. Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

3. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity

(Federal, State or local) with commission of any of the offenses enumerated in paragraph (a)(2) of this certification; and

4. Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default.

B. Where the Bidder is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

5. Certification Regarding Use of Contract Funds for Lobbying (FHWA 1273 Section XI.) [For

Federal-Aid Contracts Only]

A. The Bidder certifies, by signing and submitting this bid or proposal, to the best of his/her/their knowledge and belief, that:

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

2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of

Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.

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

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C. The Bidder also agrees by submitting its bid or proposal that the Bidder shall require that the language of this certification be included in all lower tier subcontracts which exceed $100,000, and that all such subrecipients shall certify and disclose accordingly.

6. Bidder Assurance of No Conflict of Interest or Detrimental Effect.

The firm offering to provide services pursuant to this Contract, as a Contractor or joint venture

Contractor, attests that its performance of the services outlined in this proposal does not and will not create a conflict of interest with nor position the firm to breach any other contract currently in force with the State of New York.

Furthermore, the firm attests that it will not act in any manner that is detrimental to any State project on which the firm is rendering services. Specifically, the firm attests that:

a. The fulfillment of obligations by the firm, as proposed in the response, does not violate any existing contracts or agreements between the firm and the State;

b. The fulfillment of obligations by the firm, as proposed in the response, does not and will not create any conflict of interest, or perception thereof, with any current role or responsibility that the firm has with regard to any existing contracts or agreements between the firm and the State;

c. The fulfillment of obligations by the firm, as proposed in the response, does not and will not compromise the firm’s ability to carry out its obligations under any existing contracts between the firm and the State;

d. The fulfillment of any other contractual obligations that the firm has with the State will not affect or influence its ability to perform under any contract with the State resulting from this proposal;

e. During the negotiation and execution of any contract resulting from this proposal, the firm will not knowingly take any action or make any decision which creates a potential for conflict of interest or might cause a detrimental impact to the State as a whole including, but not limited to, any action or decision to divert resources from one State project to another;

f. In fulfilling obligations under each of its State contracts, including any contract which results from this proposal, the firm will act in accordance with the terms of each of its State contracts and will not knowingly take any action or make any decision which might cause a detrimental impact to the State as a whole including, but not limited to, any action or decision to divert resources from one State project to another;

g. No former officer or employee of the State who is now employed by the firm, nor any former officer or employee of the firm who is now employed by the State, has played a role with regard to the administration of this contract procurement in a manner that may violate section 73(8)(a) of the

State Ethics Law; and

h. The firm has not and shall not offer to any employee, member or director of the State any gift, whether in the form of money, service, loan, travel, entertainment, hospitality, thing or promise, or in any other form, under circumstances in which it could reasonably be inferred that the gift was intended to influence said employee, member or director, or could reasonably be expected to influence said employee, member or director, in the performance of the official duty of said employee, member or director or was intended as a reward for any official action on the part of said employee, member or director.

Firms responding to this proposal should note that the State recognizes that conflicts may occur in the future because a firm may have existing or new relationships. The State will review the nature of any such new relationship and reserves the right to terminate the contract for cause if, in its judgment, a real or potential conflict of interest cannot be cured.

7. False Claims Certification (31 USC §3729, NYS Finance Law Article 13)

Under the Federal False Claims Act, 31 U.S. Code §3729, any person or entity who knowingly presents, or causes to be presented to the Federal Government, a false or fraudulent claim for payment or approval is liable to the United State Government for a civil penalty of not less than $5,000 and not more than $10,000, plus three times the amount of damages the Government sustains.

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Under the New York State False Claims Act, NYS Finance Law Article 13, any person or entity who knowingly presents or causes to be presented to the State of New York or Local Governments within the

State of New York, a false or fraudulent claim for payment or approval is liable to the Government for a civil penalty of not less than $6,000 and not more than $12,000, plus three times the amount of damages the Government sustains.

“Knowingly” is defined as: (1) actual knowledge; (2) acting in deliberate ignorance of the truth or falsity of information; or (3) acting in reckless disregard of the truth or falsity of information; no proof of specific intent to defraud is required.

The Contractor to whom the above-identified contract is to be awarded does hereby certify to New

York State Department of Transportation that it understands the prohibitions under the Federal and New

York State False Claims Acts, and that it has not and will not submit or cause to be submitted any fraudulent claims in the submission of this bid or in connection with the above identified contract. The

Contractor further certifies that it understands retaliatory actions, against employees and officers who initiate a Qui Tam (public) action on behalf of the government or cooperate in the investigation of a false claim, are prohibited and are subject to an assessment of damages and penalties, under the provisions of the Federal and New York State False Claims Acts.

8. Executive Order 177 Certification

The New York State Human Rights Law, Article 15 of the Executive Law, prohibits discrimination and harassment based on age, race, creed, color, national origin, sex, pregnancy or pregnancy-related conditions, sexual orientation, gender identity, disability, marital status, familial status, domestic violence victim status, prior arrest or conviction record, military status or predisposing genetic characteristics.

The Human Rights Law may also require reasonable accommodation for persons with disabilities and pregnancy-related conditions. A reasonable accommodation is an adjustment to a job or work environment that enables a person with a disability to perform the essential functions of a job in a reasonable manner. The Human Rights Law may also require reasonable accommodation in employment on the basis of Sabbath observance or religious practices.

Generally, The Human Rights Law applies to:

a. All employers of four or more people, employment agencies, labor organizations and apprenticeship training programs in all instances of discrimination or harassment;

b. Employers with fewer than four employees in all cases involving sexual harassment; and

c. Any employer of domestic workers in cases involving sexual harassment or harassment based on gender, race, religion or national origin.

In accordance with Executive Order No. 177, the Proposer / Bidder hereby certifies that it does not have institutional policies or practices that fail to address the harassment and discrimination of individuals on the basis of their age, race, creed, color, national origin, sex, sexual orientation, gender identity, disability, marital status, military status, or other protected status under the Human Rights Law.

Executive Order No. 177 and this certification do not affect institutional policies or practices that are protected by existing law, including but not limited to the First Amendment of the United States

Constitution, Article 1, Section 3 of the New York State Constitution, and Section 296(11) of the New

York State Human Rights Law.

9. US Department of Transportation Office of Inspector General – Fraud, Waste, & Abuse Hotline

The U.S. Department of Transportation (USDOT) Office of Inspector…