ECHDC-Outer-Harbor-TerminalB-Safety-Improvements-ITB.pdf

Invitation To Bidders Terminal B Safety Improvements

Issued: 06/30/26

IMPORTANT NOTICE: A restricted period under the Procurement Lobbying Law is currently in effect for this Procurement and it will remain in effect until approval of the Contract. Anyone considering responding to this RFP (hereinafter, “Bidder” or “Respondent”) is prohibited from contact related to this procurement with any New York State employee other than the designated contacts listed below.

Designated Contacts for this Procurement:

Primary Contact: Julia Borukhov Secondary Contact: Jordan Kaplan

All contacts/inquiries shall be made by email to the following address:

TerminalB-ITB@esd.ny.gov

Bids must be sent to the designated Dropbox:

https://www.dropbox.com/request/8xls3i9nnt0d65n5nowk

This Invitation to Bidders (“ITB”) is posted on the Empire State Development website:

https://esd.ny.gov/doing-business-ny/requests-proposals

Submission Deadline: 2:00 PM ET on August 05, 2026

Bids deemed to have arrived late will not be accepted mailto:TerminalB-ITB@esd.ny.gov https://www.dropbox.com/request/8xls3i9nnt0d65n5nowk https://esd.ny.gov/doing-business-ny/requests-proposals i

Contents

I. INTRODUCTION

II. OVERVIEW

III. MWBE & SDVOB SUBCONTRACTOR INTEREST

IV. SCOPE OF WORK

V. SCHEDULE OF DATES

VI. SELECTION CRITERIA

VII. SUBMISSION OF BIDS

i. Bid Form

ii. Administrative Submission

iii. Submission of a Complete Two-Part Bid

VIII. ADDITIONAL DOCUMENTS FOR REFERENCE

IX. QUESTIONS

X. GENERAL PROVISIONS

XI. CONTRACTUAL REQUIREMENTS

i. Non-Collusive Bidding Certification

ii. Conflicts of Interest

iii. State Finance Law Sections 139-j and 139-k forms

iv. Vendor Responsibility Questionnaire

v. Iran Divestment Act

vi. Executive Order 16

vii. Executive Order 177

viii. Compliance with State Finance Law Section 139-m

ix. Non-Discrimination and Contractor & Supplier Diversity Requirements

x. Encouraging the Use of NYS Businesses in Contract Performance Form

xi. Certification under State Tax Law Section 5-a

xii. Schedule A

xiii. Project Sunlight

xiv. Insurance Requirements

xv. W-9 Form ii

APPENDICES

Appendix A-1 Terminal B- Safety Improvements-Project Manual- Volume 1 of 3 (includes Bid Forms)

Appendix A-2 Terminal B- Safety Improvements-Project Manual- Volume 2 of 3 Appendix A-3 Terminal B- Safety Improvements-Project Manual- Volume 3 of 3 Appendix B Terminal B- Safety Improvements- Bid Drawings Appendix C ESD IT Security Standard Brief Appendix D Pre-Submission Site Visit RSVP Form

I. INTRODUCTION

The mission of New York State Urban Development Corporation d/b/a Empire State Development (“ESD” or the “Corporation”) is to promote a vigorous and growing state economy, encourage business investment and job creation, and support diverse, prosperous local economies across New York State through the efficient use of loans, grants, tax credits, real estate development, marketing, and other forms of assistance.

II. OVERVIEW

ECHDC, a subsidiary of the New York State Urban Development Corporation, d/b/a Empire State Development (“ESD”), is seeking bids from well qualified construction companies (“Contractor”) to provide construction services including, but not limited to, the scope of work described generally in the following sections. Each party that submits a response (“Bid”) to this Instructions to Bidders (“ITB”) is referred to herein as a “Respondent,” or a “Bidder” and the Respondent that is conditionally designated through this ITB process is referred to herein as the “Construction Company” or “Contractor.”

The Erie Canal Harbor Development Corporation (ECHDC) is soliciting sealed bids for the Terminal B Safety Improvements Project located at 901 Fuhrmann Boulevard within the Buffalo Outer Harbor.

The Project consists of repairs and improvements intended to enhance public safety and accessibility along the Terminal B waterfront, including rehabilitation of existing pavement surfaces, installation of new guardrail systems adjacent to the quay wall, localized concrete repairs, site lighting upgrades and improvements, and related work.

The Work will be performed under two prime contracts:

• CONTRACT PACKAGE 1

Site Electrical and Lighting Upgrades

• CONTRACT PACKAGE 2

Site Construction and Structural Repairs

III. MWBE & SDVOB SUBCONTRACTOR INTEREST

New York State certified Minority- and Women-Owned Businesses (“MWBEs”) and Service- Disabled Veteran-Owned Businesses (“SDVOBs”) may request that their firm’s contact information be included on a list of MWBE and SDVOB firms interested in serving as a subcontractor for this procurement. The listing will be publicly posted on the Contract Reporter and ESD’s website for reference by potential Bidders. A firm requesting inclusion on this list should send contact information and a copy of its NYS MWBE or SDVOB certification to TerminalB-ITB@esd.ny.gov.

Nothing prohibits an MWBE or SDVOB vendor from Bidding as a prime contractor.

IV. SCOPE OF WORK

The scope of work includes completion of all tasks set forth in Appendices A Project Manual and B Bid Drawings, which shall include, but not be limited to the following:

Contract Package 1 – Site Electrical and Lighting

• Parking lot lighting improvements.

• Electrical service, conduits, controls, and associated site electrical work.

• Bid Alternate E1 – Feature Lighting.

See also: Appendix A-1 Terminal B- Safety Improvements-Project Manual- Volume 1 of 3

Section 01 1200 Scope of Work, pages 6-25.

Contract Package 2 – Site Construction and Structural Improvements

• Selective demolition.

• Site clearing and vegetation management.

• Earthwork and grading.

• Asphalt pavement rehabilitation.

• Synthetic grass surfacing.

• Safety guardrail installation.

• Quay wall concrete repairs.

• Site furnishings.

• Planting and landscape restoration.

See also: Appendix A-1 Terminal B- Safety Improvements-Project Manual- Volume 1 of 3

Section 01 1200 Scope of Work, pages 26-46.

Prevailing wages are required on this project.

mailto:TerminalB-ITB@esd.ny.gov

V. SCHEDULE OF DATES

It is anticipated that two contracts will be awarded in response to this ITB based on the following schedule:

Release of ITB June 30, 2026

Pre-Submission Meeting or Site visit (if Applicable)* July 8, 2026 at 2:00pm EST at site

Deadline for Submission of Questions July 16, 2026

Deadline for ESD to Respond to Questions July 28, 2026

Deadline for Submission of Bids** 2:00 PM ET on August 5, 2026

Anticipated Contract Start Date September 2026 (pending approvals)

Please note, the Corporation reserves the right to change any of the dates stated in this ITB.

*To participate, please RSVP by completing Appendix D-Pre-Submission Site Visit RSVP Form and forwarding to TerminalB-ITB@esd.ny.gov by July 7, 2026.

**A Public Bid Announcement will be held, via virtual meeting, at or around 3:30 PM ET on August 5, 2026. More information regarding the Public Bid Announcement will be posted as an Addendum to this ITB.

VI. SELECTION CRITERIA

This ITB contains two separate and distinct contract packages related to the same project. The selected bidders shall be the responsible bidders that haves submitted the lowest cost for Contract Package 1, and for Contract Package 2, respectively. Please see “Contract Package 1 – Site Electrical and Lighting bid form is located in Appendix A, Volume 1, Pages 6 through 25)”, and Contract Package 2 – Site Construction / Structural Repairs bid form is located in Appendix A, Volume 1, Pages 26 through 46). Interested parties may bid on either contract package, or may provide separate bids for both. It is anticipated that two (2) separate awards (i.e. one for Contract Package 1 and one for Contract Package 2) will be made to the respective low bidders for each contract package, and that being the selected bidder for one package does not preclude a contractor from being the selected bidder for the other package if the same responsible bidder submits the lowest bid for each contract package.

NOTE: In accordance with Section 8 of the New York Public Buildings Law, all contracts in excess of $5,000 for construction, reconstruction, alteration, repair or improvement of any state building shall be awarded to a responsible and reliable NYS certified MWBE so long as the bid from said MWBE shall be less than or equal to $1,400,000 (as adjusted annually for inflation commencing on January 1, 2020) and shall not exceed the bid of the lowest bidder by more than ten percent (10%).

TerminalB-ITB@esd.ny.gov

VII. SUBMISSION OF BIDS

i. Bid Form Bidders must complete and submit the Bid Form (Appendix A), including all attachments thereto.

Failure to submit a complete Bid Form may result in the rejection of a Bid.

Every Bidder should submit a Bid which clearly and concisely provides all of the information requested. Emphasis should be concentrated on conformance to the ITB instructions and requirements, as well as completeness and clarity in its Bid response. The Bidder is advised to thoroughly read and follow all instructions contained in this ITB. Bids that do not comply with these instructions or do not meet the full intent of all the requirements of this ITB may be deemed non-responsive.

ii. Administrative Submission Schedule A of this ITB states standard requirements that must be included in every contract entered into with the Corporation. The successful Bidder must agree to abide by these requirements and provide any information requested by the Corporation in connection with these requirements. Accordingly, Bidders should complete and submit the items listed below, in the order in which they are listed. Failure to submit any of the requirements below may result in the rejection of a Bid.

i. Non-Collusive Bidding Certification (https://esd.ny.gov/sites/default/files/media/document/NonCollusiveBiddingCertification6 -13-25.pdf)

ii. Conflict of Interest Attestation (https://esd.ny.gov/sites/default/files/Conflict-of-Interest-Attestation-June-2019.pdf)

iii. State Finance Law §§139-j and 139-k forms (https://esd.ny.gov/sites/default/files/media/document/SF-Law139-JK-2025.pdf)

iv. Vendor Responsibility Questionnaire (https://www.osc.ny.gov/state-vendors/vendrep/file-your-vendor-responsibility-questionnaire?redirect=legacy)

v. Iran Divestment Act Statement (https://esd.ny.gov/sites/default/files/media/document/IranDivestmentActLanguage0522 25.pdf)

vi. Executive Order 16 Certification (https://esd.ny.gov/sites/default/files/EO16-certification.pdf)

vii. Executive Order 177 Certification (https://esd.ny.gov/sites/default/files/EO-177-Certification.pdf)

viii. Compliance with State Finance Law §§139-m forms (https://esd.ny.gov/sites/default/files/media/document/SF-Law139-m-2025.pdf)

ix. Non-Discrimination and Contractor & Supplier Diversity Requirements o OCSD-1 - MWBE and SDVOB Participation / EEO Policy Statement o OCSD-4 - MWBE and SDVOB Utilization Plan

x. Encouraging the Use of NYS Businesses in Contract Performance Form (https://esd.ny.gov/sites/default/files/media/document/USEOFNYSBUSINESSES-2025.pdf) https://esd.ny.gov/sites/default/files/media/document/NonCollusiveBiddingCertification6-13-25.pdf https://esd.ny.gov/sites/default/files/media/document/NonCollusiveBiddingCertification6-13-25.pdf https://esd.ny.gov/sites/default/files/Conflict-of-Interest-Attestation-June-2019.pdf https://esd.ny.gov/CorporateInformation/Data/RFPs/RequiredForms/SF_Law139_JK.pdf https://esd.ny.gov/sites/default/files/media/document/SF-Law139-JK-2025.pdf file://///empire.internal/dfs/Share-NYC/PROCUREMENT/Review%20of%20Templates%20&%20Forms/2025%20revisions/RFP%20Template/drafts/Vendor%20Responsibility%20Questionnaire https://www.osc.ny.gov/state-vendors/vendrep/file-your-vendor-responsibility-questionnaire?redirect=legacy https://www.osc.ny.gov/state-vendors/vendrep/file-your-vendor-responsibility-questionnaire?redirect=legacy https://esd.ny.gov/sites/default/files/media/document/IranDivestmentActLanguage052225.pdf https://esd.ny.gov/sites/default/files/media/document/IranDivestmentActLanguage052225.pdf https://esd.ny.gov/sites/default/files/EO16-certification.pdf https://esd.ny.gov/sites/default/files/EO-177-Certification.pdf https://esd.ny.gov/sites/default/files/media/document/SF-Law139-m-2025.pdf https://esd.ny.gov/sites/default/files/OCSD-1-Policy-Statement.pdf https://esd.ny.gov/sites/default/files/OCSD-4%20Utilization%20Plan.pdf http://www.esd.ny.gov/CorporateInformation/Data/ENCOURAGINGUSEOFNEWYORKSTATEBUSINESSESINCONTRACTPERFORMANCE.pdf https://esd.ny.gov/sites/default/files/media/document/USEOFNYSBUSINESSES-2025.pdf

xi. Certification under State Tax Law Section 5-a, Form ST-220-CA (https://esd.ny.gov/sites/default/files/ST220CA.pdf) or Affidavit (https://esd.ny.gov/sites/default/files/media/document/STL5A-Affidavit-2025.pdf)

xii. W-9 Form (https://www.irs.gov/pub/irs-pdf/fw9.pdf)

Additional information about these items, and ESD’s procurement requirements, can be found in Section XI of this ITB (“Contractual Requirements”).

iii. Submission of a Complete Two-Part Bid By submitting a Bid, firms are indicating their acceptance of the conditions in this ITB. Submission of Bids in a manner other than as described in these instructions (e.g., facsimile, hardcopies, emails) will not be accepted. When submitting each Bid, a Bidder must follow the instructions below:

1. Create a main folder using the following naming convention: “company name – ITB title – date of Submission”

a. example: ABDX, Inc. – Terminal B Improvements – 8.05.2026

2. Included within the main folder should be two subfolders: one for the Administrative Submission and one for the Bid Form.

3. All documents in these folders should be clearly labeled.

4. Upload the main folder to the Dropbox as follows:

a. Click the following link: https://www.dropbox.com/request/8xls3i9nnt0d65n5nowk.

b. Choose the following option: Add Files > Folders from computer.

Bids deemed to have arrived late will not be considered for award.

VIII. ADDITIONAL DOCUMENTS FOR REFERENCE

The forms below will be used post-award and are included in this ITB for reference only. These documents are not required for bid submissions.

a) Lien Waiver – Contractor Final

b) Lien Waiver – Contractor

c) Lien Waiver – Subcontractor Final

d) Lien Waiver - Subcontractor

IX. QUESTIONS

Questions or requests for clarification regarding the ITB should be submitted via email to TerminalB-ITB@esd.ny.gov, citing the particular document (ITB, Construction Documents, Specifications, etc.), page and section, in accordance with the schedule in Section V (Schedule of Dates). Questions will not be accepted orally and any question received after the deadline may not https://esd.ny.gov/sites/default/files/ST220CA.pdf https://esd.ny.gov/sites/default/files/media/document/STL5A-Affidavit-2025.pdf https://www.irs.gov/pub/irs-pdf/fw9.pdf https://www.dropbox.com/request/8xls3i9nnt0d65n5nowk https://intrahttps/esd.ny.gov/sites/default/files/rfp/Appendix-F-12P-Lien-Waiver-Contractor.pdf https://intrahttps/esd.ny.gov/sites/default/files/rfp/Appendix-F-12P-Lien-Waiver-Contractor.pdf https://intranet.apps.esd.ny.gov/Finance/2022/Lien-Waiver-Contractor.doc https://intranet.apps.esd.ny.gov/Finance/2022/Lien-Waiver-Contractor.doc https://intranet.apps.esd.ny.gov/Finance/2022/Lien-Waiver-Contractor-Final.doc https://intranet.apps.esd.ny.gov/Finance/2022/Lien-Waiver-Subcontractor.doc mailto:TerminalB-ITB@esd.ny.gov be answered. The comprehensive list of questions/requests for clarifications and the official responses will be posted as an Addendum to this ITB.

Bidders are strongly encouraged to review all posted questions and answers, through which ESD may offer clarifications regarding sections of the ITB (or Appendices) or advise of material changes thereto.

X. GENERAL PROVISIONS

The issuance of this ITB and the submission of a response by a Bidder or the acceptance of such a response by ESD does not obligate ESD in any manner. ESD reserves the right to:

i. amend, modify or withdraw this ITB;

ii. revise any requirement of this ITB;

iii. require supplemental statements or information from any responsible party;

iv. accept or reject any or all responses hereto;

v. extend the deadline for submission of responses hereto;

vi. negotiate potential contract terms with any Bidder;

vii. communicate with any Bidder to correct and/or clarify responses which do not conform to the instructions contained herein;

viii. cancel, or reissue in whole or in part, this ITB, if ESD determines in its sole discretion that it is in its best interest to do so; and

ix. extend the term of any agreement on terms consistent with this ITB.

ESD may exercise the foregoing rights at any time without notice and without liability to any responding firm or any other party for its expenses incurred in preparation of responses hereto or otherwise. All costs associated with responding to this ITB will be at the sole cost and expense of the Bidder.

All information submitted in response to this ITB is subject to the Freedom of Information Law (“FOIL”), which generally mandates the disclosure of documents in the possession of ESD upon the request of any person unless the content of the document falls under a specific exemption to disclosure. In addition, Bids may be discussed at meetings of the ESD Directors, which meetings are subject to the Open Meetings Law.

ESD reserves the right, in its sole discretion, to retain and use all the materials and information, and the ideas and suggestions therein, submitted in response to this solicitation (collectively, the “Response Information”) for any purpose. By submitting a Bid, each Bidder waives any and all claims against ESD relating to ESD’s retention or use of the Response Information.

Required Approvals

The awarded contract, if any, may be subject to review and approval by the Office of the State Comptroller (“OSC”) pursuant to Public Authorities Law §2879-a and the regulations issued thereunder. Such OSC review and approval may be required of contracts with a value in excess of one million dollars, or modifications to contracts that result in an aggregate value in excess of one million dollars, where such contracts are paid in whole or in part with monies appropriated by the State, or were awarded on a basis other than a competitive procurement (as that term is defined in the law and regulations). If the awarded contract is subject to OSC review and approval, the contract shall not be valid and enforceable, nor shall the Corporation have any liability of any kind arising from or in connection with the contract, unless and until OSC approval has been received.

Performance

The Contractor's performance will be assessed by the Corporation according to the achievement of the Contractor’s contractual obligations in a timely and professional manner, as set forth in the resulting Contract. The Corporation will utilize progress reports and periodic meetings to ensure that the project is carried out on a timely basis and results in effective recommendations and work products.

Contractor warrants that its services shall be performed in accordance with applicable professional standards and that the Contractor shall correct, at no charge to the Corporation, services which fail to meet applicable professional standards and which result in obvious or patent errors in the progression of its work.

Additional Services Requested

The Corporation may, at any time, by written notice, make changes or additions to work or services within the general scope of the contract resulting from this ITB (not to include professional services requiring licenses or specialized expertise such as engineering, architectural, and environmental consulting, abatement, treatment, and testing work) for unanticipated needs.

If any such change or addition causes an increase or decrease in the cost of, or in the time required for, performance of the contract, an equitable adjustment may be made in the price using the billing rates set forth in the contract, and the Contractor shall be notified in writing accordingly. Any claim by the Contractor for adjustment under this clause must be asserted within 30 days from the date of receipt by the Contractor of the notification of change; provided however, that the Corporation, if it decides that the facts justify such action, may receive and act upon such claim as asserted at any time. Nothing in this clause shall excuse the Contractor from proceeding with this contract as modified.

Contractor Staff

Contractor staff assigned to work on this project shall be subject to approval by the Corporation.

It is highly desirable that staff assigned to work on this project continue to work on this project until completion. The Contractor should notify the Corporation of any proposed changes in staff immediately. The Corporation has an absolute right and discretion to approve or disapprove any proposed changes in staff. The Corporation, in each instance, will be provided with a summary of experience of the proposed substitute and an opportunity to interview that person, prior to giving its approval or disapproval; approval shall not be unreasonably withheld.

The Contractor specifically represents and agrees that its members, officers, employees, agents, servants, consultants, shareholders, and subcontractors have and shall possess the experience, knowledge, and character necessary to qualify them individually for the particular duties performed hereunder.

The Agreement resulting from this ITB is intended to secure the professional services of the Contractor because of its ability and shall not be assigned, conveyed, transferred, or disposed of by the Contractor.

The Contractor agrees not to subcontract any of its services, unless as indicated in its proposal, without the prior written approval of the State Project Manager. Approval shall not be unreasonably withheld upon receipt of written request to subcontract. All employees of the Contractor, or of its Subcontractors, who shall perform Services under this contract, shall possess the necessary qualifications, training, licenses, and permits as may be required within the jurisdiction where the Services specified are to be provided or performed, and shall be legally entitled to work in such jurisdiction. All persons, corporations, or other legal entities that perform Services on behalf of Contractor under the Agreement resulting from this ITB shall, in performing such Services, comply with all applicable Federal and State laws concerning employment in the United States.

XI. CONTRACTUAL REQUIREMENTS

This section contains additional information about the forms that are required to be included in each Bidder’s submission pursuant to Section VII of this ITB, as well as information about ESD’s procurement requirements. (For purposes of this Section and the requirements set forth herein, the word “bid” shall mean any submission in response to this ITB, and the word “bidder” shall mean any individual or entity that submits a “bid”).

i. Non-Collusive Bidding Certification

In accordance with Section 2878 of the New York State Public Authorities Law, all bidders must certify that they have not colluded with any other Respondents in their proposal.

The required certification can be found at:

https://esd.ny.gov/sites/default/files/media/document/NonCollusiveBiddingCertification6-13- 25.pdf and must be completed and included in all proposals.

ii. Conflicts of Interest

Respondent must attest it has read, understood and will comply with the following provisions https://esd.ny.gov/sites/default/files/Conflict-of-Interest-Attestation-June-2019.pdf. ESD may disqualify any Respondent to this RFP or terminate any contract entered into as a result of this RFP should ESD determine that the Respondent has violated any of these requirements.

https://esd.ny.gov/sites/default/files/media/document/NonCollusiveBiddingCertification6-13-25.pdf https://esd.ny.gov/sites/default/files/media/document/NonCollusiveBiddingCertification6-13-25.pdf https://esd.ny.gov/sites/default/files/Conflict-of-Interest-Attestation-June-2019.pdf

A. Gifts and Offers of Employment: Respondent has not and shall not during this procurement and during the negotiation of any contract resulting from this procurement, offer to any employee, member or director of ESD, any gift, whether in the form of money, services, loan, travel, entertainment, hospitality, thing or promise, or in any other form, under circumstances in which it could reasonably be inferred that the offer 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.

Respondent may not make any offers of employment or discuss the possibility of such offers with any employee, member or director of ESD who is involved in this procurement and/or resulting contract negotiation within at least 30 days from the time that the employee’s involvement in this matter closed.

B. Disclosure of Potential Conflicts: Respondent shall disclose any existing or contemplated relationship with any other person or entity, including relationships with any member, shareholders of 5% or more, parent, subsidiary, or affiliated firm, which would constitute an actual or potential conflict of interest or appearance of impropriety, relating to other clients/customers/employers of the Respondent or former officers and employees of ESD, in connection with your rendering services enumerated in this RFP. If a conflict does or might exist, Respondent must describe how it would eliminate or prevent it.

C. Disclosure of Ethics Investigations: Respondent must disclose whether it, or any of its members, shareholders of 5% or more, parents, affiliates, or subsidiaries, have been the subject of any ongoing investigation or disciplinary action by the New York State Commission on Ethics and Lobbying in Government or its predecessor State entities (collectively, “Commission”), and if so, a description must be included indicating how any matter before the Commission was resolved or whether it remains unresolved.

iii. State Finance Law Sections 139-j and 139-k forms

State Finance Law Sections 139-j and 139-k (collectively, the “Procurement Requirements”) apply to this RFP. These Procurement Requirements: (1) govern permissible communications between potential Respondents and ESD or other involved governmental entities with respect to this RFP;

(2) provide for increased disclosure in the public procurement process through identification of persons or organizations whose function is to influence procurement contracts, public works agreements and real property transactions; and (3) establish sanctions for knowing and willful violations of the provisions of the Procurement Requirements, including disqualification from eligibility for an award of any contract pursuant to this RFP. Compliance with the Procurement Requirements requires that all communications regarding this RFP, from the time of its issuance through final award and execution of any resulting contract (the “Restricted Period”), be conducted only with the designated contact persons listed above; the completion by Respondents of the Offeror Disclosure of Prior Non-Responsibility Determinations, and the Offeror’s Affirmation of Understanding and Agreement pursuant to State Finance Law; and periodic updating of such forms during the term of any contract resulting from this RFP.

Respondents must submit the Offeror Disclosure of Prior Non-Responsibility Determinations, and the Offeror’s Affirmation of Understanding and Agreement pursuant to State Finance Law as part of their submittal. Copies of these forms are available at:

https://esd.ny.gov/sites/default/files/media/document/SF-Law139-JK-2025.pdf.

The Procurement Requirements also require ESD staff to obtain and report certain information when contacted by Respondents during the Restricted Period, make a determination of the responsibility of Respondents and make all such information publicly available in accordance with applicable law. If a Respondent is found to have knowingly and willfully violated the State Finance Law provisions, that Respondent and its subsidiaries, related or successor entities will be determined to be a non-responsible Respondent and will not be awarded any contract issued pursuant to this solicitation. In addition, two such findings of non-responsibility within a four-year period can result in debarment from obtaining any New York State governmental procurement contract. The designated contact account for this solicitation is referenced on the cover of this

RFP.

This is not a complete presentation of the provisions of the Procurement Requirements. All potential Respondents are solely responsible for full compliance with the Procurement Requirements. Both the prime consultant and any sub-consultants complete the forms required above.

iv. Vendor Responsibility Questionnaire All Respondents to this RFP must be “responsible,” which in this context means that they must have the requisite financial ability, organizational capacity and legal authority to carry out its obligations under this RFP, and in addition must demonstrate that both the Respondent and its principals have and will maintain the level of integrity needed to contract with New York State entities such as ESD. Further, the Respondent must show satisfactory performance of all prior government contracts. Accordingly, the contract to be entered into between ESD and the Respondent, if any, shall include clauses providing that the Respondent remain “responsible” throughout the term of the contract, that ESD may suspend the contract if information is discovered that calls into question the responsibility of the contracting party, and that ESD may terminate the contract based on a determination that the contracting party is non-responsible. On request, model language to this effect will be provided to any Respondent to this RFP.

To assist in the determination of responsibility, ESD requires that all Respondents register in the State's Vendor Responsibility System (“Vend-Rep System”). The Vend-Rep System allows business entities to enter and maintain their Vendor Responsibility Questionnaire information in a secure, centralized database. New York State Procurement Law requires that state agencies award contracts only to responsible vendors. Respondents are to file the required Vendor Responsibility Questionnaire online via the Vend-Rep System or may choose to complete and submit a paper questionnaire. Please include a copy of your Vend-Rep submission receipt or paper questionnaire https://esd.ny.gov/sites/default/files/media/document/SF-Law139-JK-2025.pdf with your proposal. Your Vendor Responsibility Questionnaire must have been completed within one year of submission of your proposal.

To enroll in and use the Vend-Rep System, please visit: www.osc.state.ny.us/vendrep. For direct Vend-Rep System user assistance, the Office of the State Comptroller’s Help Desk may be reached at 866-370-4672 or 518-408-4672 or by email at itservicedesk@osc.state.ny.us.

Respondents opting to file a paper questionnaire can obtain the appropriate questionnaire from the Vend-Rep website (http://www.osc.state.ny.us/vendrep/forms_vendor.htm) and execute accordingly pertaining to the company’s trade industry. Bidders are required to complete the questionnaire which best matches the business activity (either “Construction” or “Non- Construction”) and business type (either “For-Profit” or “Not-for-Profit”) from the four (4) available options.

In addition, please see link to EO-192: https://ogs.ny.gov/system/files/documents/2021/09/eo- 192-vendor-integrity_0.pdf.

v. Iran Divestment Act Every Proposal made to ESD pursuant to a competitive solicitation must contain the following statement, signed by the Respondent on company letterhead and affirmed as true under penalty of perjury:

"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 its knowledge and belief that each bidder is not on the list created pursuant to paragraph (b) of subdivision 3 of section 165-a of the State Finance Law."

The list in question is maintained by the Office of General Services. For further information and to view this list please go to: https://ogs.ny.gov/iran-divestment-act-2012.

vi. Executive Order 16 In accordance with New York State Executive Order 16 (“EO-16”), all bidders must certify that they are in compliance with EO-16 prohibiting State Agencies and Authorities from Contracting with Businesses in Russia. EO-16 will remain in effect while sanctions imposed by the federal government are in effect.

"By submission of a 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 its knowledge and belief that each bidder is in compliance with EO-16.”

The required certification can be found at:

http://www.osc.state.ny.us/vendrep mailto:helpdesk@osc.state.ny.us http://www.osc.state.ny.us/vendrep/forms_vendor.htm https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fogs.ny.gov%2Fsystem%2Ffiles%2Fdocuments%2F2021%2F09%2Feo-192-vendor-integrity_0.pdf&data=05%7C02%7CJordan.Kaplan%40esd.ny.gov%7C024d9f36334d40b128cc08dd8337a7de%7Cf46cb8ea79004d108ceb80e8c1c81ee7%7C0%7C0%7C638810997238635190%7CUnknown%7CTWFpbGZsb3d8eyJFbXB0eU1hcGkiOnRydWUsIlYiOiIwLjAuMDAwMCIsIlAiOiJXaW4zMiIsIkFOIjoiTWFpbCIsIldUIjoyfQ%3D%3D%7C0%7C%7C%7C&sdata=xW%2BVGM5GRyjQ0ZgzCVUF8sdvpkSTAOzMrYy3jDPUlYA%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fogs.ny.gov%2Fsystem%2Ffiles%2Fdocuments%2F2021%2F09%2Feo-192-vendor-integrity_0.pdf&data=05%7C02%7CJordan.Kaplan%40esd.ny.gov%7C024d9f36334d40b128cc08dd8337a7de%7Cf46cb8ea79004d108ceb80e8c1c81ee7%7C0%7C0%7C638810997238635190%7CUnknown%7CTWFpbGZsb3d8eyJFbXB0eU1hcGkiOnRydWUsIlYiOiIwLjAuMDAwMCIsIlAiOiJXaW4zMiIsIkFOIjoiTWFpbCIsIldUIjoyfQ%3D%3D%7C0%7C%7C%7C&sdata=xW%2BVGM5GRyjQ0ZgzCVUF8sdvpkSTAOzMrYy3jDPUlYA%3D&reserved=0 https://ogs.ny.gov/iran-divestment-act-2012 https://esd.ny.gov/sites/default/files/EO16-certification.pdf and must be signed and included in all Proposals.

vii. Executive Order 177 In accordance with New York State Executive Order 177, all bidders must certify that they are in compliance with the New York State Human Rights Law which prohibits discrimination and harassment based on a protected class, and which requires reasonable accommodation for persons with disability or pregnancy related conditions.

The required certification can be found at:

https://esd.ny.gov/sites/default/files/EO-177-Certification.pdf and must be signed and included in all Proposals.

viii. Compliance with State Finance Law Section 139-m

Section 139-m of the New York State Finance Law requires that all vendors bidding or otherwise submitting a proposal for a competitive procurement must implement and attest (via written certification) to a Gender-Based Violence and the Workplace policy. This policy must be in place at the time for bid or proposal submission set forth in Section V above for a bid or submission to be considered.

The model policy published by the New York State Office for the Prevention of Domestic Violence can be found at: opdv-gbv-workplace-bidder-model-policy_2025.08.28_0.pdf. The required Gender-Based Violence and the Workplace Certification can be found at:

https://esd.ny.gov/sites/default/files/media/document/GBVandtheWorkplacePolicyAttestationTe mplate-103125.pdf and must be signed and included with all bids, proposals or other submissions.

ix. Non-Discrimination and Contractor & Supplier Diversity Requirements

CONTRACTOR REQUIREMENTS AND PROCEDURES FOR PARTICIPATION BY NEW YORK STATE-

CERTIFIED MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL EMPLOYMENT

OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN

Pursuant to New York State Executive Law Article 15-A and Parts 140-147 of Title 5 of the New York Codes, Rules and Regulations, ESD is required to promote opportunities for the maximum feasible participation of New York State-certified Minority and Women-owned Business Enterprises (“MWBEs”) and the employment of minority group members and women in the performance of ESD contracts.

Business Participation Opportunities for MWBEs https://esd.ny.gov/sites/default/files/EO16-certification.pdf https://esd.ny.gov/sites/default/files/EO-177-Certification.pdf https://opdv.ny.gov/system/files/documents/2025/08/opdv-gbv-workplace-bidder-model-policy_2025.08.28_0.pdf https://esd.ny.gov/sites/default/files/media/document/GBVandtheWorkplacePolicyAttestationTemplate-103125.pdf https://esd.ny.gov/sites/default/files/media/document/GBVandtheWorkplacePolicyAttestationTemplate-103125.pdf

For purposes of this solicitation, ESD hereby establishes an overall goal of 30 percent for MWBE participation (based on the current availability of MBEs and WBEs). A contractor (“Contractor”) on any contract resulting from this procurement (“Contract”) must document its good faith efforts to provide meaningful participation by MWBEs as subcontractors and suppliers in the performance of the Contract. To that end, by submitting a response to this ITB, the Respondent agrees that ESD may withhold payment pursuant to any Contract awarded as a result of this ITB pending receipt of the required MWBE documentation. The directory of MWBEs can be viewed at:

https://ny.newnycontracts.com. For guidance on how ESD will evaluate a Contractor’s “good faith efforts,” refer to 5 NYCRR § 142.8.

The Respondent understands that only sums paid to MWBEs for the performance of a commercially useful function, as that term is defined in 5 NYCRR § 140.1, may be applied towards the achievement of the applicable MWBE participation goal. NYS-certified MWBES that serve, and are coded, as construction Manufacturers’ Representatives/Brokers, may only receive credit for the commission they receive or their markup percentage for brokering supplies. NYS-certified MWBEs that serve, and are coded, as construction suppliers, may only receive credit for 60% of any payments received. NYS-certified MWBEs that serve and are coded as a manufacturer may receive 100% credit for their MWBE utilization.

In accordance with 5 NYCRR § 142.13, the Respondent further acknowledges that if it is found to have willfully and intentionally failed to comply with the MWBE participation goals set forth in a Contract resulting from this ITB, such finding constitutes a breach of contract and ESD may withhold payment as liquidated damages.

Such liquidated damages shall be calculated up to an amount equaling the difference between: (1) all sums identified for payment to MWBEs had the Contractor achieved the contractual MWBE goals; and (2) all sums actually paid to MWBEs for work performed or materials supplied under the Contract.

By submitting a proposal, a Respondent agrees to demonstrate its good faith efforts to achieve the applicable MWBE participation goals by submitting evidence thereof through the New York State Contract System (“NYSCS”), which can be viewed at https://ny.newnycontracts.com, provided, however, that a Respondent may arrange to provide such evidence via a non-electronic method by contacting the Office of Contractor and Supplier Diversity (“OCSD”) at OCSD@esd.ny.gov.

Additionally, a Respondent will be required to submit the following documents and information as evidence of compliance with the foregoing:

A. An MWBE Utilization Plan with their proposal. Any modifications or changes to an accepted MWBE Utilization Plan after the Contract award and during the term of the Contract must be reported on a revised MWBE Utilization Plan and submitted to ESD for review and approval.

https://ny.newnycontracts.com/ https://ny.newnycontracts.com/ mailto:OCSD@esd.ny.gov

ESD will review the submitted MWBE Utilization Plan and advise the Respondent of ESD acceptance or issue a notice of deficiency within twenty (20) days of receipt.

B. If a notice of deficiency is issued, the Respondent will be required to respond to the notice of deficiency within seven (7) business days of receipt by submitting to OCSD at OCSD@esd.ny.gov, a written remedy in response to the notice of deficiency. If the written remedy that is submitted is not timely or is found by ESD to be inadequate, ESD shall notify the Respondent and direct the Respondent to submit, within five (5) business days, a request for a partial or total waiver of MWBE participation goals. Failure to file the waiver form in a timely manner may be grounds for disqualification of the proposal.

ESD may disqualify a Respondent as being non-responsive under the following circumstances:

a) If a Respondent fails to submit an MWBE Utilization Plan;

b) If a Respondent fails to submit a written remedy to a notice of deficiency;

c) If a Respondent fails to submit a request for waiver; or

d) If ESD determines that the Respondent has failed to document good faith efforts.

The successful Respondent will be required to attempt to utilize, in good faith, any MBE or WBE identified within its MWBE Utilization Plan, during the performance of the Contract. Requests for a partial or total waiver of established goal requirements made subsequent to Contract Award may be made at any time during the term of the Contract to ESD, but must be made no later than prior to the submission of a request for final payment on the Contract.

The successful Respondent will be required to submit a monthly MWBE Contractor Compliance & Payment Report to ESD, by the 10th day following each end of month over the term of the Contract documenting the progress made toward achievement of the MWBE goals of the Contract.

Equal Employment Opportunity Requirements By submission of a proposal in response to this solicitation, the Respondent agrees with all of the terms and conditions SCHEDULE B - PARTICIPATION BY MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES: REQUIREMENTS AND PROCEDURES. The Respondent is required to ensure that it and any subcontractors performing work on the contract shall undertake or continue 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, equal opportunity shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, termination, and rates of pay or other forms of compensation. This requirement does not apply to: (i) work, goods, or services unrelated to the Contract; or (ii) employment outside New York State.

The Respondent will be required to submit a Minority and Women-owned Business Enterprise and Equal Employment Opportunity Policy Statement, OCSD-1, to ESD with its proposal.

https://esd.ny.gov/sites/default/files/SCHEDULE%20B.pdf https://esd.ny.gov/sites/default/files/SCHEDULE%20B.pdf

If awarded a Contract, Respondent shall submit a Workforce Utilization Report and shall require each of its Subcontractors to submit a Workforce Utilization Report, in such format as shall be required by ESD on a quarterly basis during the term of the Contract.

Pursuant to Executive Order #162, contractors and subcontractors will also be required to report the gross wages paid to each of their employees for the work performed by such employees on the contract utilizing the Workforce Utilization Report on a monthly basis.

Further, pursuant to Article 15 of the Executive Law (the “Human Rights Law”), all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor and sub-contractors will 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.

Please Note: Failure to comply with the foregoing requirements may result in a finding of non-responsiveness, non-responsibility and/or a breach of the Contract, leading to the withholding of funds, suspension or termination of the Contract or such other actions or enforcement proceedings as allowed by the Contract.

The required forms can be found at the following web addresses:

Form OCSD-1: https://esd.ny.gov/sites/default/files/OCSD-1-Policy-Statement.pdf Form OCSD-2: https://esd.ny.gov/sites/default/files/media/document/OCSD-2-Staffing-Plan-REV- 7-24-2025.xlsx Form OCSD-3: https://esd.ny.gov/sites/default/files/media/document/OCSD-3- Workforce%20Utilization-Report-100224.xlsx Form OCSD-4: https://esd.ny.gov/sites/default/files/OCSD-4%20Utilization%20Plan.pdf Form OCSD-5: https://esd.ny.gov/sites/default/files/media/document/OCSD-5-Waiver-Request- Form-073124.pdf Form OCSD-6: https://esd.ny.gov/sites/default/files/media/document/OCSD-6-Compliance- Report-Updated-121725.pdf

In the event that the above links are unavailable or inactive, the forms may also be requested from OCSD at OCSD@esd.ny.gov.

PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED SERVICE-DISABLED VETERAN-

OWNED BUSINESSES

Article 3 of New York State Veterans’ Services Law provides for more meaningful participation in public procurement by certified Service-Disabled Veteran-Owned Businesses (“SDVOB”), thereby further integrating such businesses into New York State’s economy. ESD recognizes the need to promote the employment of service-disabled veterans and to ensure that certified service-https://esd.ny.gov/sites/default/files/OCSD-1-Policy-Statement.pdf https://esd.ny.gov/sites/default/files/media/document/OCSD-2-Staffing-Plan-REV-7-24-2025.xlsx https://esd.ny.gov/sites/default/files/media/document/OCSD-2-Staffing-Plan-REV-7-24-2025.xlsx https://esd.ny.gov/sites/default/files/media/document/OCSD-3-Workforce%20Utilization-Report-100224.xlsx https://esd.ny.gov/sites/default/files/media/document/OCSD-3-Workforce%20Utilization-Report-100224.xlsx https://esd.ny.gov/sites/default/files/OCSD-4%20Utilization%20Plan.pdf https://esd.ny.gov/sites/default/files/media/document/OCSD-5-Waiver-Request-Form-073124.pdf https://esd.ny.gov/sites/default/files/media/document/OCSD-5-Waiver-Request-Form-073124.pdf https://esd.ny.gov/sites/default/files/media/document/OCSD-6-Compliance-Report-Updated-121725.pdf https://esd.ny.gov/sites/default/files/media/document/OCSD-6-Compliance-Report-Updated-121725.pdf disabled veteran-owned businesses have opportunities for maximum feasible participation in the performance of ESD 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, Respondents are expected to consider SDVOBs in the fulfillment of the requirements of the Contract. Such participation may be as subcontractors or suppliers, as protégés, or in other partnering or supporting roles.

Contract Goals

A. ESD hereby establishes an overall goal of 6 percent for SDVOB participation, based on the current availability of qualified SDVOBs. For purposes of providing meaningful participation by SDVOBs, the Respondent/Contractor should reference the directory of New York State Certified SDVOBs found at: https://online.ogs.ny.gov/SDVOB/search.

Questions regarding compliance with SDVOB participation goals should be directed to the Designated Contacts. Additionally, following Contract execution, Contractor is encouraged to contact the Office of General Services’ Division of Service-Disabled Veterans’ Business Development at 518-474-2015 or VeteransDevelopment@ogs.ny.gov to discuss additional methods of maximizing participation by SDVOBs on the Contract.

B. Contractor must document “good faith efforts” to provide meaningful participation by

SDVOBs as subcontractors or suppliers in the performance of the Contract.

SDVOB Utilization Plan

A. In accordance with 9 NYCRR § 252.2(i), Respondents are required to submit a completed SDVOB Utilization Plan on Form OCSD-4.

B. The Utilization Plan shall list the SDVOBs that the Respondent intends to use to perform the Contract, a description of the work that the Respondent intends the SDVOB to perform to meet the goals on the Contract, the estimated dollar amounts to be paid to an SDVOB, or, if not known, an estimate of the percentage of Contract work the SDVOB will perform.

By signing the Utilization Plan, the Respondent acknowledges that making false representations or providing information that shows a lack of good faith as part of, or in conjunction with, the submission of a Utilization Plan is prohibited by law and may result in penalties including, but not limited to, termination of a contract for cause, loss of eligibility to submit future bids or proposals, and/or withholding of payments. Any modifications or changes to the agreed participation by SDVOBs after the Contract award and during the term of the Contract must be reported on a revised SDVOB Utilization Plan and submitted to ESD.

C. ESD will review the submitted SDVOB Utilization Plan and advise the

Respondent/Contractor of ESD acceptance or issue a notice of deficiency within 20 days of receipt.

https://online.ogs.ny.gov/SDVOB/search mailto:VeteransDevelopment@ogs.ny.gov

D. If a notice of deficiency is issued, Respondent/Contractor agrees that it shall respond to the notice of deficiency, within seven business days of receipt, by submitting to ESD a written remedy in response to the notice of deficiency.