DOS Workplan Outline.pdf

C1003468

Mill Street Dam Removal and Stream Restoration

Workplan

Project Summary

The Village of Cazenovia will remove the Mill Street dam and the restore Chittenango

Creek as identified in the Village of Cazenovia Local Waterfront Revitalization Plan. The removal of the dam and restoration of the creek will significantly reduce backflow and flooding, restore natural creek processes, improve lake water quality and provide passage and habitat access for fish and aquatic species.

The Mill Street Dam Removal and Stream Restoration project will design and undergo dam removal including excavation, dam structure and sediment removal. In addition, the project will design and implement stream restoration improvements including fish habitat improvement and streambank stabilization measures.

Objective

1 - Project Initiation

Task

1.1 Project Initiation Meeting –

The Contractor, the Department, and any partners responsible for managing the project, shall hold an initial meeting to review and agree upon the project scope and schedule, project requirements, roles and responsibilities, the selection process for procuring consultants, State Environmental Quality Review Act (SEQRA) compliance requirements, MWBE requirements, and any other information which would assist in project completion. The Contractor, or a designated project partner, shall prepare and distribute to all project partners a brief meeting summary clearly indicating the agreements reached at the meeting. Work on subsequent tasks shall not proceed prior to Department approval of the proposed approach as outlined in the meeting summary.

Performance Measures

1.1.1 Completion of Project initiation meeting and written meeting summary submitted to DOS project manager.

Task

1.2 Written permit analysis and pre-permitting meeting -

Prepare an analysis of all federal, State, and local requirements for the final designs, such as necessary permits, reviews, and approvals. The analysis will include a written description of how requirements will be satisfied during development of the design. This analysis shall be submitted to appropriate project partners, permit review agencies, and the Department for review. A pre-permitting meeting with the Department and the identified federal, State, and local entities may be required to discuss revisions needed to satisfy regulatory requirements. The Contractor shall not work on developing final design prior to the Department approval of the permit analysis and Contractor response to comments from the pre-permitting meeting, if necessary.

Performance Measures

1.2.1 Submit written permit analysis.

1.2.2 Pre-permitting meeting with identified entities held.

Objective

2 - Project Planning

Task

2.1 Procurement of Consultant (if applicable) –

Prepare a Request for Proposals (RFP) or similar instrument (if applicable) including a complete project description with site conditions, expected final results, a schedule for completion, MWBE requirements, and criteria for selecting a preferred proposal.

Consultant services requested shall include all applicable tasks, activities and responsibilities outlined in the Project Summary and workplan.

NYS Department of State requires a licensed professional engineer, architect or landscape architect licensed to practice in New York State for preparation and certification of final designs and construction documents, and for supervision of construction.

The Contractor must actively solicit bids for contracts and subcontracts from qualified State certified MWBEs which can be identified using the NYS Directory of

Certified Firms (https://ny.newnycontracts.com/). The Contractor must retain records of the procurement process including direct solicitation to MWBEs; results; and any actions that its subcontractors have taken toward meeting MWBE contract participation goals. To demonstrate good faith efforts to achieve MWBE contract goals the following should be retained:

o Evidence of outreach to MWBEs: mail, email, phone calls and follow-up;

o Written responses by MWBEs to the grantee/vendor’s outreach;

o Copies of search(es) of the directory and advertisements for participation by

MWBEs in appropriate general circulation, trade, and minority or women-oriented publications;

o Attendance at any pre-bid, pre-award, or other meetings, if any, scheduled by the grantee with MWBEs including dates and location;

o Description of how the scope of work maximizes opportunities for MWBE participation; and o Description of how non-MWBE subcontractors’ have engaged MWBEs to undertake part of the project’s work or to procure equipment/ materials/supplies.

Performance Measures

2.1.1 Submit the RFP or similar instrument to the Department for review and approval prior to release for solicitation of proposals.

2.1.2 Submit approved RFP or similar instrument and documentation of its release through advertisement in local papers, the New York State Contract

Reporter, or other appropriate means.

2.1.3 Submit documentation of procurement including direct solicitation to

MWBEs and actions taken toward meeting MWBE contract participation goals.

Task

2.2 Subcontract and Compliance with Local Procurement Requirements (if applicable) –

Prepare the draft subcontract(s) to conduct project work with the selected consultant(s). The subcontract(s) shall contain a detailed work plan with adequate opportunity for review at appropriate stages of product completion, a payment schedule with payments tied to receipt of products, and project costs.

Incorporate the Department’s comments on the subcontract work plan, or scope of services, prior to execution of the final subcontract(s).

The municipal attorney, chief legal officer or financial administrator of the municipality shall certify in writing to the Department that the Contractor fully complied with applicable provisions of General Municipal Law and with local procurement procedures. A procurement certification form will be supplied by the

Department.

The Contractor's procurement record and consultant selection are subject to approval by the Department.

The Contractor remains responsible for the legal sufficiency of the subcontract in accordance with the requirements in the Master Grant Contract and Attachment A-1.

Performance Measures

2.2.1 Submit consultant(s) selected for approval by the Department.

2.2.2 Submit executed subcontracts.

2.2.3 Submit written certification of compliance with procurement procedures.

Task

2.3 Draft and Final Design –

Prepare final designs based on the feasibility or ~30% design. The designs shall include all required maps, tables, data, written discussions, and other information identified in the contract and subcontract work plans and during the project initiation meeting. The designs shall be provided to the Department for review at least two weeks prior to the due date for comments. Department comments must be addressed to the satisfaction of the Department in subsequent revisions of the products and the final design.

Performance Measures

2.3.1 Submit draft designs and supporting materials.

2.3.2 Submit contractor response to preliminary review comments by regulator.

2.3.3 Submit final designs and supporting materials.

Task

2.4 Certified Construction Documents –

Prepare the final construction drawings, plans, specifications, and cost estimates.

The final construction documents shall be provided to the Department and the project advisory committee for review at least two weeks prior to the due date for comments. Construction shall not commence prior to addressing the Department’s comments. Final construction documents must be certified by a licensed professional engineer, architect or landscape architect and the appropriate seal must be affixed to these documents.

Performance Measures

2.4.1 Submit final construction documents, certified by a licensed professional engineer, architect or landscape architect, and approved by the Department.

Task

2.5 Environmental Quality Review –

Prepare all documents necessary to comply with the State Environmental Quality

Review Act (SEQRA) through determination of significance. If the lead agency makes a positive declaration of environmental impact, the Contractor shall prepare a

Draft Environmental Impact Statement, advertise it as available for public review and comment, and complete the SEQRA process.

Performance Measures

2.5.1 Submit SEQRA documents

Task

2.6 Permits –

Prepare the necessary permit or other approval applications and obtain the required permits or approvals from regulatory agencies. A pre-application meeting with the

Department and the appropriate federal, state and local regulatory authorities is required to discuss the necessary permit or other approval applications. Prior to filing, the Contractor or its consultant(s) shall submit all applications to the

Department for review and comment.

Potential permitting and approval agencies include:

o federal agencies such as the United States Army Corps of Engineers; Federal

Highway Administration; Federal Aviation Administration; Federal

Communication Commission; Federal Energy Regulatory Commission.

o the Department, pursuant to the consistency provisions of the federal Coastal

Zone Management Act;

o other New York State agencies such as the Department of Environmental

Conservation; the Office of General Services pursuant to the Public Lands

Law, or similar authorization to use or occupy State-owned lands or waters overlying those lands; the Office of Parks, Recreation, and Historic

Preservation or the State Historic Preservation Officer; and potential authorizing regional agencies such as Port Authority; St. Lawrence Seaway;

Canal Corporation; Metropolitan Transportation Authority; CSX railroad;

Amtrak; Adirondack Park Agency; Hudson River-Black River Regulating

District.

o agencies of a regional, county, city, town, village, or special purpose district, including: town boards, boards of trustees, or city councils; planning commissions, boards or departments; and/or building or health officials.

Demonstrate the project is in compliance with 6 NYCRR Part 502, "Floodplain

Management Criteria For State Projects" by obtaining a floodplain development permit, if local regulations establish such requirements, or by submitting a signed certification, by an official authorized to enforce local floodplain management regulations, that the project complies with the requirements of the statute.

Performance Measures

2.6.1 Submit all required permits and approvals received

2.6.2 Submit written certification of compliance with floodplain management regulations, if applicable.

Objective

3 - Project Execution

Task

3.1 Bid Process and Selection of Construction Subcontractor –

Prepare and distribute a bid invitation to select a construction subcontractor or subcontractors. The bid invitation shall require the respondents to demonstrate ability to satisfy any applicable MWBE requirements. Prior to distributing the bid invitation, the Contractor shall submit the bid invitation to the Department for review and comment.

Select the construction subcontractor(s) from the bid respondents and prepare a draft contract or contract(s). The Contractor must certify to the Department that applicable public bidding procedures of General Municipal Law were followed for the selection of all construction or other subcontractors.

The Contractor must actively solicit bids for contracts and subcontracts from qualified State certified MWBEs which can be identified using the NYS Directory of

Certified Firms (https://ny.newnycontracts.com/). To demonstrate good faith efforts to achieve MWBE contract goals the following should be retained:

o Evidence of outreach to MWBEs: mail, email, phone calls and follow up;

o Written responses by MWBEs to the grantee/vendor’s outreach;

o Copies of search(es) of the directory and advertisements for participation by

MWBEs in appropriate general circulation, trade, and minority or women-oriented publications;

o Attendance at any pre-bid, pre-award, or other meetings, if any, scheduled by the grantee with MWBEs including dates and location;

o Description of how non-MWBE subcontractors’ have engaged MWBEs to undertake part of the project’s work or to procure equipment/ materials/supplies.

Performance Measures

3.1.1 Submit the draft subcontract(s) to the Department for review and approval

3.1.2 Incorporate the Department's comments in the final subcontract(s)

3.1.3 Submit executed construction subcontract(s).

3.1.4 Submit written certification of procurement procedures.

3.1.5 Submit documentation of procurement including direct solicitation to

MWBEs and actions taken toward meeting MWBE contract participation goals.

Task

3.2 Installation of Project Sign –

Install a sign satisfactory to the Department identifying the Department's funding or contribution to funding of the project. The sign must include any New York State agency that provided grant funding through the Clean Water, Clean Air & Green Jobs

Environmental Bond Act. The project sign shall remain in place for the useful life of the improvements undertaken. An example sign can be found at https://environmentalbondact.ny.gov/pages/documents

Performance Measures

3.2.1 Submit proposed project sign, compliant to Bond Act requirements, to the

Department for review and acceptance

3.2.2 Install Department approved sign and document that sign is installed in project area

Task

3.3 Construction, Construction Management and Site Inspection –

After receipt of all necessary permits, site preparation and construction work may begin according to the final design and construction documents. The Contractor or its subcontractor(s) shall notify the Department at regular intervals of work progress, including any delays which have occurred.

The Contractor, its consultant(s), and/or the Department shall verify progress and completion of the work through periodic site inspections. The Contractor or its consultant(s) shall submit to the Department written summaries of progress including photo documentation and identification of problems to be addressed based on periodic site inspections.

Performance Measures

3.3.1 Submit written summary of periodic site visits including photo-documentation (pre-construction, during construction, and once the project is completed)

3.3.2 Submit pre-progress and post construction photos taken from same pre-determined location(s)

Objective

4 - Project Closing (Project Reporting)

Task

4.1 Project Completion –

Submit a statement that the work has been completed in accordance with the contract, the final design and construction specifications, and all permit requirements. The completion statement must be certified by a licensed professional engineer, architect, or landscape architect. The Contractor shall submit a set of as-built plans, certified by a licensed professional engineer, architect, or landscape architect. The Contractor shall submit photo-documentation in the form of digital images of the completed project. The Department will not reimburse the Contractor for payment to consultant(s) or subcontractor(s) until the Department concurs that the work is complete.

4.1.1 Submit statement of completion, certified as-built plans, and photo-documentation (including the photo GPS location where available)

Task

4.2 MWBE Reporting –

Comply with MWBE Reporting Requirements set forth in the contract.

Form D must be updated and submitted to the Department whenever changes to the selected MWBE firms occur (addition or removal).

Technical assistance for use of the NYSCS system can be obtained through the

NYSCS website at https://ny.newnycontracts.com by clicking on the “Contact Us &

Support” link.

Performance Measures

4.2.1 Record payments to MWBE subcontractors using DOS funds through the

New York State Contract System (NYSCS).

4.2.2 Submit Form D - MWBE Utilization Plan to indicate any state-certified

MWBE firms selected to work on this contract.

Task

4.3 Project Status Reports –

Submit project status reports semi-annually (every June 30 and December 31) on the form provided, including a description of the work accomplished, the status of all tasks in this work plan, schedule of completion of remaining tasks, and an explanation of any problems encountered.

Performance Measures

4.3.1 Submit completed project status reports to the Department during the life of the contract.

Task

4.4 Final Project Summary Report –

Final Project Summary Report completed to relay the importance, the significance, and the value of the completed project to the community, the region and the state through the completion of the report.

4.4.1 Submit Final Project Summary Report to the Department.