Final Bid Book RFB-DCB-14-26.pdf

CONTRACT DOCUMENTS

FOR THE CONSTRUCTION OF

AIRPORT SUPPORT BUILDINGS

HUDSON VALLEY REGIONAL AIRPORT

DUTCHESS COUNTY

WAPPINGERS FALLS, NEW YORK

NYS COMPTROLLER’S CONTRACT NO: K007478

NYSDOT PROJECT NO. 8902.43

DUTCHESS COUNTY PROJECT NO. RFB-DCB-14-26

SEPTEMBER 2026

CONTRACT DOCUMENTS

FOR THE CONSTRUCTION OF

DUTCHESS COUNTY

WAPPINGERS FALLS, NEW YORK

NYS COMPTROLLER’S CONTRACT NO: K007478

NYSDOT PROJECT NO. 8902.43

SEPTEMBER 2026

C&S ENGINEERS, INC.

499 Col. Eileen Collins Blvd.

Syracuse, New York 13212

Patrick M. Hludzenski, P.E. – N.Y.S.P.E. Lic. No. 079017

Michael W. LaMontagne – N.Y.S.R.A. Lic. No. 031950

PROJECT NO. 128.065.001

NO ALTERATION PERMITTED HEREIN EXCEPT AS PROVIDED UNDER SECTION 7209

SUBDIVISION 2 OF THE NEW YORK STATE EDUCATION LAW.

DUTCHESS COUNTY PROJECT NO. RFB-DCB-14-26

phludzenski Text Box Patrick M. Hludzenski, P.E. - N.Y.S.P.E. Lic. No. 079017 Michael W. LaMontagne - N.Y.S.R.A. Lic. No. 031950 phludzenski Text Box Syracuse, New York 13212 phludzenski Line

2018 TOC-1

TABLE OF CONTENTS

NOTICE TO BIDDERS

PROPOSAL

ATTACHMENTS TO PROPOSAL

Non-Collusive Bidding Certificate

Resolution for Corporate Bidders

Buy American Certification

Certifications:

- Certification of Non-Segregated Facilities

- Debarment & Suspension Certification

Provisions to the General Provision, Section SP 70-23, Subsection A-16

Certification for Receipt of Addenda

Statement of Surety’s Intent

Iranian Energy Sector Divestment Statement

Certification of Compliance with the Iran Divestment Act

Bidder’s List Collection Form (Bidder’s Information)

Bidder’s List Collection Form (Subcontractor’s Information)

Safety Plan Compliance Document (SPCD) Certification

Prevention of Sexual Harassment Statement

New York State MWBE Participation, Certification of Bidder

NYSDOT DOT Forms

Form AAP10LL –Solicitation Log

Form AAP19LL – Schedule of Utilization (Part 1 - MBE)

Form AAP19LL – Schedule of Utilization (Part 2- WBE)

Form AAP19LL – Schedule of Utilization (Part 3- SDVOB)

Form AAP23LL – Pre-Award Trucking Commitment Information

CONTRACT FORM

SPECIFICATIONS

PART 1 - GENERAL CONTRACT PROVISIONS

Section 10 Definition of Terms

Section 20 Proposal Requirements and Conditions

20-01 - Advertisement (Notice to Bidders)

20-02 - Qualifications of bidders

20-03 - Contents of proposal forms

20-04 - Issuance of proposal forms

20-05 - Interpretation of estimated proposal quantities

20-06 - Examination of plans, specifications and site

20-07 - Preparation of proposal

20-08 Responsive and responsible bidder

20-09 - Irregular proposals

20-10 - Bid guarantee

20-11 - Delivery of proposal

2018 TOC-2

20-12 - Withdrawal or revision of proposals

20-13 - Public opening of proposals

20-14 - Disqualification of bidders

20-15 - Discrepancies and omissions

Section 30 Award and Execution of Contract

30-01 - Consideration of proposals

30-02 - Award of contract

30-03 - Cancellation of award

30-04 - Return of proposal guarantee

30-05 - Requirements of contract bonds

30-06 - Execution of contract

30-07 - Approval of contract

30-08 - Failure to execute contract

Section 40 Scope of Work

40-01 - Intent of contract

40-02 - Alteration of work and quantities

40-03 - Omitted items

40-04 - Extra work

40-05 - Maintenance of traffic

40-06 - Removal of existing structures

40-07 - Rights in and use of materials found in the work

40-08 - Final cleanup

Section 50 Control of Work

50-01 - Authority of the Resident Project Representative (RPR)

50-02 - Conformity with plans and specifications

50-03 - Coordination of contract, plans and specifications

50-04 - List of Special Provisions

50-05 - Cooperation of Contractor

50-06 - Cooperation between contractors

50-07 - Construction layout and stakes

50-08 - Authority and duties of Quality Assurance (QA) inspectors

50-09 - Inspection of the work

50-10 - Removal of unacceptable and unauthorized work

50-11 - Load restrictions

50-12 - Maintenance during construction

50-13 - Failure to maintain the work

50-14 - Partial acceptance

50-15 - Final acceptance

50-16 - Claims for adjustment and disputes

Section 60 Control of Materials

60-01 - Source of supply and quality requirements

60-02 - Samples, tests and cited specifications

60-03 - Certification of compliance/analysis (COC/COA)

60-04 - Plant inspection

60-05 - Engineer/ Resident Project Representative (RPR) field office

60-06 - Storage of materials

60-07 - Unacceptable materials

60-08 - Owner furnished materials

2018 TOC-3

Section 70 Legal Regulations and Responsibility to Public

70-01 - Laws to be observed

70-02 - Permits, licenses and taxes

70-03 - Patented devices, materials and processes

70-04 - Restoration of surfaces disturbed by others

70-05 - Federal participation

70-06 - Sanitary, health and safety provisions

70-07 - Public convenience and safety

70-08 - Construction Safety and Phasing Plan (CSPP)

70-09 - Use of explosives

70-10 - Protection and restoration of property and landscape

70-11 - Responsibility for damage claims

70-12 - Third party beneficiary clause

70-13 - Opening sections of the work to traffic

70-14 - Contractor’s responsibility for work

70-15 - Contractor’s responsibility for utility service and facilities of others

70-15.1 - FAA facilities and cable runs

70-16 - Furnishing rights-of-way

70-17 - Personal liability of public officials

70-18 - No waiver of legal rights

70-19 - Environmental protection

70-20 - Archaeological and historical findings

Attachment A to Section 70-08 – Construction Safety and Phasing Plan (CSPP)

Section 80 Execution and Progress

80-01 - Subletting of contract

80-02 - Notice to proceed

80-03 - Execution and progress

80-04 - Limitation of operations

80-04.1 - Operational safety on airport during construction

80-05 - Character of workers, methods and equipment

80-06 - Temporary suspension of the work

80-07 - Determination and extension of contract time

80-07.1 - Contract time based on Calendar Days

80-08 - Failure to complete on time

80-09 - Default and termination of contract

80-10 - Termination for national emergencies

80-11 - Work area, storage area and sequence of operations

Section 90 Measurement and Payment

90-01 - Measurement of quantities

90-02 - Scope of payment

90-03 - Compensation for altered quantities

90-04 - Payment for omitted items

90-05 - Payment for extra work

90-06 - Partial payments

90-07 - Payment for materials on hand

90-08 - Payment of withheld funds

90-09 - Acceptance and final payment

2018 TOC-4

90-10 - Construction warranty

90-11 - Contractor Final Project Documentation

SPECIAL PROVISIONS TO THE GENERAL CONTRACT PROVISIONS

SP 20-16 Addenda and interpretation

SP 20-17 Sales tax exemption

SP 30-09 Conformed Contract Documents

SP 30-10 Issued for Construction Contract Documents

SP 50-17 Additional Survey Requirements

SP 50-18 Removal of water

SP 50-19 Sheeting and bracing

SP 60-09 Shop and setting drawings and catalogue data

SP 60-10 Electrical shop drawings

SP 60-11 Substitute items

SP 60-12 Submittal procedure

SP 70-22 Additional sanitary, health, and safety provisions

SP 70-23 NOT USED

SP 70-24 New York State Department of Transportation (NYSDOT) standard clauses for New York state contracts

1. Executory Clause

2. Non-Assignment Clause

3. Comptroller's Approval

4. Workers' Compensation Benefits

5. Non-Discrimination Requirements

6. Wage and Hours Provisions

7. Non-Collusive Bidding Certification

8. International Boycott Prohibition

9. Set-Off Rights

10. Records

11. Identifying Information and Privacy Notification

12. Equal Employment Opportunities for Minorities and Women

13. Conflicting Terms

14. Governing Law

15. Late Payment

16. No Arbitration

17. Service of Process

18. Prohibition on Purchase of Tropical Hardwoods

19. MacBride Fair Employment Principles

20. Omnibus Procurement Act of 1992

21. Reciprocity and Sanctions Provisions

22. Compliance with New York State Information Security Breach and

Notification Act

23. Compliance with Consultant Disclosure Law

24. Procurement Lobbying

25. Certification of Registration to Collect Sales and Compensating Use Tax by Certain Contractors, Affiliates and Subcontractors

SP 70-25 NYSDOT terms and conditions

SP-70-26 Labor affidavits, New York State Laws of 1988

SP 90-12 Security for construction warranty

SP 90-13 Lien law

2018 TOC-5

SUBCONTRACTOR’S PROMPT PAYMENT CERTIFICATION

STATE WAGE RATES

SPECIAL NOTE NEW YORK STATE DEPARTMENT OF LABOR PREVAILING

WAGE RATES

PRIME CONTRACTOR’S CERTIFICATION (NEW YORK STATE LABOR LAW

SECTION 220-a)

SUBCONTRACTOR’S CERTIFICATION (NEW YORK STATE LABOR LAW

SECTION 220-a)

PART 2 – GENERAL CONSTRUCTION ITEMS

Item C-100 (Item not used)

Item C-102 Temporary Air and Water Pollution, Soil Erosion, and Siltation Control

Item C-105 Mobilization

Item C-110 (Item not used)

TECHNICAL SPECIFICATIONS

Item Number Description

Item C-106 Safety, Security and Maintenance of Traffic

Item P-101 Preparation/Removal of Existing Pavements

Item P-152 Excavation, Subgrade, and Embankment

Item P-209 Crushed Aggregate Base Course

Item P-603 Emulsified Asphalt Tack Coat

Item P-605 Joint Sealants for Pavements

Item P-640 Building Construction

Item P-670 Automated Machine Guidance

Item T-905 Topsoil

Item T-906 Hydroseeding

Item L-110 Airport Underground Electrical Duct Banks and Conduits

SECTION 014100 - SPECIAL INSPECTION & TESTING

SECTION 031000 - CONCRETE FORMING AND ACCESSORIES

SECTION 032000 - CONCRETE REINFORCING

SECTION 033000 - CAST-IN-PLACE CONCRETE

SECTION 055000 - METAL FABRICATIONS

SECTION 061000 - ROUGH CARPENTRY

SECTION 061753 - SHOP-FABRICATED WOOD TRUSSES

SECTION 061800 - GLUED-LAMINATED CONSTRUCTION

SECTION 074113.13 – FORMED METAL ROOF PANELS

SECTION 081113 - HOLLOW METAL DOORS AND FRAMES

SECTION 083323 - OVERHEAD COILING DOORS

SECTION 087100 – DOOR HARDWARE

2018 TOC-6

SECTION 104416 – FIRE EXTINGUISHERS

SECTION 133419 - METAL BUILDING SYSTEMS

SECTION 260501 - COMMON WORK RESULTS FOR ELECTRICAL

SECTION 260519 - LOW-VOLTAGE ELECTRICAL POWER CONDUCTORS AND

CABLES

SECTION 260526 - GROUNDING AND BONDING FOR ELECTRICAL SYSTEMS

SECTION 260529 - HANGERS AND SUPPORTS FOR ELECTRICAL SYSTEMS

SECTION 260533 - RACEWAYS AND BOXES FOR ELECTRICAL SYSTEMS

SECTION 260553 - IDENTIFICATION FOR ELECTRICAL SYSTEMS

SECTION 262416 - PANELBOARDS

SECTION 262726 - WIRING DEVICES

SECTION 265119 - LED INTERIOR LIGHTING

GEOTECHNICAL INFORMATION

CONTRACT DRAWINGS

Sheet No. Ref. No. Title

GENERAL

1 GI-001 COVER SHEET

2 GI-002 GENERAL NOTES, SURVEY CONTROL, AND LEGEND

3 GC-101 GENERAL AND CONSTRUCTION SAFETY PHASING PLAN

4 GC-102 CONSTRUCTION SAFETY AND PHASING PLAN

5 CG-101 GRADING PLAN

6 EL-101 ELECTRICAL SITE PLAN

7 CG-501 DETAILS

8 CG-502 DETAILS

STRUCTURAL

9 S-001 GENERAL NOTES

10 S-002 LOADING DIAGRAMS

11 S-101 COLD STORAGE FOUNDATION AND SLAB PLAN

12 S-102 SALT AND UREA STORAGE FOUNDATION AND SLAB PLAN

13 S-103 SALT AND UREA STORAGE FRAMING PLAN

14 S-501 TYPICAL DETAILS

15 S-502 DETAILS

16 S-503 DETAILS

17 S-504 DETAILS

ARCHITECTURAL

19 A-002 CODE CONFORMANCE PLAN

18 A-001 SYMBOLS, ABBREVIATIONS, AND LEGENDS

20 A-101 FLOOR PLAN - COLD STORAGE BUILDING

21 A-102 FLOOR PLAN - SALT AND UREA STORAGE BUILDING

22 A-201 ELEVATIONS - COLD STORAGE BUILDING

23 A-202 ELEVATIONS - SALT AND UREA STORAGE BUILDING

24 A-302 WALL SECTIONS

24 A-303 WALL SECTIONS

26 A-601 SCHEDULES AND DETAILS

2018 TOC-7

ELECTRICAL

27 E-001 SYMBOLS, GENERAL NOTES, ONE-LINE DIAGRAM

28 E-101 SALT AND UREA STORAGE POWER AND LIGHTING PLAN

29 E-102 COLD STORAGE POWER AND LIGHTING PLAN

30 E-601 SCHEDULES AND DETAILS

END OF TABLE OF CONTENTS

NB-1 12/24

N O T I C E T O B I D D E R S - RFB-DCB-14-26

NAME OF PROJECT: Airport Support Buildings

Multiple Prime Bids shall be received for the following classes of work: General Construction and Electrical Construction

Project Description: The project involves the construction of new airport equipment storage facilities adjacent to the Airport’s operations (ARFF/SRE) building. The new storage facilities will include an airfield maintenance equipment cold storage building (approximately 3,500 SF) and a salt/urea storage facility (approximately 3,200 SF). The project will also include electrical service to the storage facilities, minor access paving, earthwork, minor drainage modifications, and site restoration.

It is anticipated that work for this project will begin Spring 2027.

The County of Dutchess official bid documents for this project are obtained from the Empire State Purchasing Group’s Regional Bid Notification System at www.bidnetdirect.com/new-york/county-of-dutchess. Copies of bidding documents obtained from any other source are not considered official copies. It is incumbent upon all potential bidders to view all posted addenda prior to the bid close date. You may obtain an official copy by registering on the Empire State Regional Bid Notification System at www.bidnetdirect.com/new-york/county-of-dutchess or by using the link provided at www.dutchessny.gov, selecting “Government” then selecting “Bidding and RFP Opportunities.” For those without Internet access, you may obtain an electronic copy of bidding documents by contacting the Dutchess County Department of Public Works at dpwcontracts@dutchessny.gov, or in person, Monday through Friday, 8 am to 4 pm: Dutchess County DPW, Business Office, 1st Floor, 626 Dutchess Turnpike, Poughkeepsie, NY 12603.

Upon request, all interested parties may review the hard copy of the Bid Specifications and Drawings by visiting the above referenced address.

All Addenda will be posted on BidNet Direct (aka Empire State Purchasing Group) site.

Bids for the above project will be received by:

Diane McKenna, Contract Specialist Dutchess County Department of Public Works (DPW) 626 Dutchess Turnpike-1st Floor Poughkeepsie, NY 12603

Bids due on or before 11:00am Thursday, October 15, 2026, and at that time opened and read aloud. Bids received after that time will not be accepted. All interested parties are invited to attend. The bid opening for this solicitation may also be attended through Microsoft Teams Audio Conferencing. Anyone who wishes to hear bids read aloud will need to call into the phone number listed below. We ask that you call in at least three minutes prior to bid due/time to ensure you are connected properly. All call-ins will be asked to identify themselves by name and organization.

Join Microsoft Teams Meeting +1 516-268-4602 United States, Hempstead (Toll) Conference ID: 225 125 31#

Each bid shall be submitted as one paper original and one electronic flash drive copy and be accompanied by Bid Security (bid bond, certified check, official bank check) or a Letter of Credit (in a form agreeable to Dutchess County) in the amount of 10% of the bid amount.

Bidders’ security will be retained until the successful bidder has signed the Owner-Contractor Agreement and the County has finalized the Agreement.

Each bid with Bid Security shall be enclosed in a sealed envelope bearing the name of the Project, Name of the Bidder, Classification of Work and the date and hour of the bid opening, which must be visible upon delivery.

A Walkthrough is scheduled for Friday, September 25, 2026 at 1:00pm, Hudson Valley Regional Airport Operations Building, Wappingers Falls. All parties interested in bidding must apprise themselves of the site conditions immediately prior to bidding.

Questions will be accepted by the close of business October 7, 2026 and emailed to Diane McKenna at dmckenna@dutchessny.gov and cc’d to phludzenski@cscos.com with the County’s response published in Addenda prior to 48 hours before the bid opening date.

This project may be subject to NYS Department of Labor Prevailing Wage Rates PRC #: 2026025597

Starting December 30, 2024: NYSDOL Contractor and Subcontractor registry requirements.

View Bid Specifications regarding APPRENTICESHIP PROGRAM, if applicable.

The County reserves the right to waive irregularities in bids and in bidding and to reject any or all proposals.

mailto:dmckenna@dutchessny.gov mailto:phludzenski@cscos.com

2024 PROPOSAL-1

PROPOSAL

FOR CONSTRUCTION OF THE

AT

WAPPINGERS FALS, NY

TO: Dutchess County

626 Dutchess Turnpike

Poughkeepsie, NY 12603

The undersigned, as bidder, hereby declares that he/she has examined the site of the work and informed himself/herself fully in regard to all conditions pertaining to the place where the work is to be done; that he/she has examined and read the Contract Documents and Contract Drawings for the work and all addenda relative thereto furnished prior to the opening of bids; that he/she has satisfied himself/herself relative to the work to be performed.

The bidder understands that the advertisement, located in the front of these Contract Documents, contains the location and a description of the proposed construction, as well as indicates the place, date, and time of the proposal opening; information about a Pre-Bid conference, if scheduled, is contained in the advertisement; the time in which the work must be completed shall be in accordance with the subsection titled FAILURE TO COMPLETE ON TIME of Section 80. If the bidder considers that the time to complete the work is inadequate, they should not submit a bid.

The bidder understands the quantities for bid items listed on the proposal sheets are estimated quantities only for the purpose of comparing bids; any difference between these estimated quantities and actual quantities required for construction shall not be taken as a basis for claims by the Contractor for extra compensation; compensation will be based upon the unit prices and actual construction quantities.

The bidder understands that the description under each item, being briefly stated, implies, although it does not mention, all incidentals and that the prices stated are intended to cover all such work, materials and incidentals as constitute bidder's obligations as described in the specifications and any details not specifically mentioned, but evidently included in the Contract shall be compensated for in the item which most logically includes it.

The bidder understands that proposal guaranty shall be in the form of a bid bond or certified check in the amount of ten percent (10%) of this bid in accordance with the subsection titled BID GUARANTEE of

Section 20; the proposal guaranty shall become the property of the Owner in the event the Contract and bond(s) are not executed within the time above set forth, as liquidated damages for the delay and additional expense to the Owner caused thereby.

The bidder agrees that upon receipt of written notice of the acceptance of this proposal, bidder will execute the Contract attached within 15 days and deliver a Surety Bond or Bonds as required by the subsection titled REQUIREMENTS OF CONTRACT BONDS OF Section 30. The bidder further agrees

2024 PROPOSAL-2

to commence construction with an adequate work force, plant and equipment on the date stated in the written notice to proceed and will progress therewith to its completion within the time stated, and in accordance with this Contract and Specification.

NYS M/W/SDVOB REQUIREMENTS

M/W/SDVOB PARTICIPATION.

It is the policy of (Owner/ Sponsor) to comply with laws, rules and regulations governing the New York State M/W/SDVOB Program. M/W/SDVOB is a general term that refers to a Minority Business Enterprise (MBE), a Women's Business Enterprise (WBE), or a Service Disabled Veteran Owned Business (SDVOB).

The MBE/WBE/SDVOB (M/W/SDVOB) program applies to Non-Federal-Aid contracts. The (Owner/ Sponsor) seeks to:

• Ensure nondiscrimination in award and administration of contracts;

• Create a level playing field on which M/W/SDVOBs can fairly compete for contracts;

• Ensure that the NYSDOT M/W/SDVOB Program is narrowly tailored in accordance with applicable laws;

• Ensure that only firms that fully meet M/W/SDVOB eligibility standards are permitted to participate as M/W/SDVOBs;

• Help remove barriers to the participation of M/W/SDVOBs in the performance of contracts; and;

• Assist in the development of firms that can compete successfully in the marketplace outside the M/W/SDVOB programs.

The parties to this contract shall take all necessary and reasonable steps in accordance with the laws, rules and regulations cited in this subsection to promote the objectives outlined above. The Contractor shall comply with the applicable laws, rules and regulations and the M/W/SDVOB Program Assurances stated below.

M/W/SDVOB Program Assurances. The Contractor shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of contracts. The Contractor shall carry out the applicable requirements of Article 15A of the New York State Executive Law, and the regulations promulgated thereunder found in 5 NYCRR 140-145, in the award and administration of Non-Federal-Aid contracts. Failure by the Contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the Department deems appropriate, which may include, but is not limited to: (1) withholding contract payments; (2) assessing sanctions; (3) liquidated damages; and/or (4) disqualifying the Contractor from future bidding as non-responsible. The Contractor shall not use the requirements of these specifications to discriminate against any qualified company or group of companies. These requirements shall be made a part of all subcontracts and agreements entered into as a result of this contract.

A. Statutory Authority.

1. Minority/Women/Service Disabled Veteran Owned Business Enterprise (M/W/SDVOB) Program. The State statutory authority for the M/W/SDVOB Program is contained in Section 85 of the Highway Law, Section 428 of the Transportation Law, and Executive Law Article 15-A. Regulations have been promulgated under 5 NYCRR 140-145.

B. M/W/SDVOB Goal(s). Non-Federal-Aid contracts have two separate and distinct goals, one for MBEs one for WBEs, and one for SDVOBs which cannot be combined. The (Owner/ Sponsor), with assistance from the NYS Department of Transportation, will monitor the Contractor’s commitments towards M/W/SDVOB goals and attainments.

2024 PROPOSAL-3

1. Established Goal(s). Contract participation goal(s) for M/W/SDVOBs are expressed as a percentage of the total contract price. The goal(s) are stated in the proposal and remain in effect throughout the life of the contract. In executing the contract or bid documents the Contractor declares that it subscribes to the utilization goal(s) and shall meet the goal(s) or demonstrate that it could not meet them despite its best efforts. Failure to provide commitments to meet the established goal(s) for the contract or failure to meet the good faith efforts may be grounds for rejection of the bid as non-responsive.

C. Eligibility. MBEs, WBEs, and SDVOBs are eligible to be used to meet the goal on Non-Federal-Aid contracts. The programs are separate, and eligibility in one program does not provide eligibility in the other.

1. M/W/SDVOB Eligibility. Only those M/W/SDVOB firms that are certified by the NYS Department of Economic Development are eligible under the M/W/SDVOB Program. Only the work, services or products provided by M/W/SDVOB Firms under code(s) which the M/W/SDVOB is certified for, at the time the M/W/SDVOB enters into a contract with the Contractor, can be credited towards the contract goal.

M/W/SDVOB certification is not an endorsement of the quality or performance of the business but simply an acknowledgment of the firm's status as an M/W/SDVOB. A directory of certified firms is available on the Empire State Development website at https://ny.newnycontracts.com.

D. Counting M/W/SDVOB Participation Towards the M/W/SDVOB Goal(s). The value of the work performed by a M/W/SDVOB, including that of a M/W/SDVOB prime contractor, with its own equipment, with its own forces, and under its own supervision will be counted toward the goal(s), provided the participation is a commercially useful function. A M/W/SDVOB prime contractor shall still provide opportunities for participation by other M/W/SDVOBs in all types of contracts and procurement activities.

Work performed by M/W/SDVOBs on the contract will be counted as set forth below. If the (Owner/ Sponsor), in consultation with the Department, determines that some or all of a M/W/SDVOB's work does not constitute a commercially useful function, only the portion of the work considered to be a commercially useful function will be credited toward the goal(s).

The participation of a firm that is certified as an MBE cannot be counted toward a WBE or SDVOB goal.

The participation of a firm that is certified as a WBE cannot be counted toward an MBE or a SDVOB goal.

The participation of a firm that is certified as a SDVOB cannot be counted toward an MBE or a WBE goal.

The participation of a firm that is certified as more than one of the aforementioned classifications will only be counted toward one goal, and cannot be divided between the three goals.

A joint venture between a M/W/SDVOB and a non-M/W/SDVOB will be counted toward the M/W/SDVOB goal(s) in proportion to the total dollar value of the contract equal to the distinct, clearly defined portion of the work that the M/W/SDVOB performs with its own forces. The joint venture agreement is subject to approval by the Department, a copy of which is to be furnished by the Contractor before execution of the contract. The joint venture agreement must include a detailed breakdown of the following:

a. Responsibility of the M/W/SDVOB for specific contract items of work;

b. Capital participation by the M/W/SDVOB;

c. Specific equipment to be provided to the joint venture by the M/W/SDVOB;

d. Specific responsibilities of the M/W/SDVOB in the control of the joint venture;

e. Specific staffing and skills to be provided to the joint venture by the M/W/SDVOB; and

f. Percentage distribution to the M/W/SDVOB of the projected profit or loss by the joint venture.

1. Subcontractors. A Subcontractor is any individual, firm, or corporation to whom the Contractor, with written consent of the Department, sublets any part of the contract. A Subcontractor is approved by the Department in accordance with §108-05 Subletting or Assigning the Contract to perform on-site work specifically required for the performance of the contract.

https://ny.newnycontracts.com/

2024 PROPOSAL-4

100% of the value of the work performed by a M/W/SDVOB Subcontractor will be counted toward the M/W/SDVOB goal(s), including the cost of materials and supplies purchased by the M/W/SDVOB, except the cost of supplies or equipment rented or leased from the Contractor or its affiliates will not be counted.

If a M/W/SDVOB subcontractor is part of a joint venture, their participation will be counted as indicated above in §102-12D.

2. Manufacturers/Fabricators. A Manufacturer is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles or equipment required under the contract and of the general character described by the specifications.

A Fabricator is a firm that assembles, constructs or otherwise substantially alters materials or supplies into assemblies, components, or finished items for inclusion into the work prior to resale.

100% of the cost of the materials or supplies from a M/W/SDVOB Manufacturer or Fabricator will be counted toward the M/W/SDVOB goal(s). Manufacturers or Fabricators may provide materials to the Contractor or a Subcontractor working on the contract for installation.

3. Material Suppliers. A Material Supplier, also known as a regular dealer, is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles, or equipment of the general character described in the specifications required for the performance of the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. A Material Supplier is an established, regular business that engages in, as its principal business, and under its own name, the purchase and sale or lease of the products in question.

60% of the cost of the materials or supplies from a M/W/SDVOB Material Supplier will be counted toward the M/W/SDVOB goal(s). Equipment rental or leasing is considered to be a type of material supply activity and is credited at 60%. Material Suppliers may provide materials to the Contractor or a Subcontractor working on the contract for installation. Credit determination awarded to a firm for the provision of materials and supplies (i.e. whether the firm is acting as a material supplier of broker) will be determined on a contract-by-contract basis. If it is determined that the material supplier is acting as a broker, the participation will be credited accordingly.

A Material Supplier who deals in bulk items such as petroleum products, steel, cement, gravel, stone, or asphalt need not own, operate nor maintain a store, warehouse, or other establishment, if it owns and operates distribution equipment for the products. While some items may be drop-shipped due to the specific needs in a contract, the supplier must take legal responsibility for the items at all times. This can be accomplished through delivery with their own trucks, long-term trucking contracts with third party vendors, and/or an insurance policy that covers the items. Any supplementing of Material Suppliers’ own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-contract basis.

4. Brokers/Manufacturer’s Representatives. A Broker / Manufacturer’s Representative is a firm that arranges or expedites transactions for materials.

100% of the expenditures for fees or commissions charged for assistance in the procurement of, or fees for transportation charges for the delivery of, materials or supplies provided by a M/W/SDVOB Broker/Manufacturer’s Representative will be counted toward the M/W/SDVOB goal(s), provided they are determined by the Department to be reasonable and not excessive as compared with fees customarily allowed for similar services. The cost of the materials and supplies themselves will not be counted. A Broker / Manufacturer’s Representative may arrange or expedite transactions for materials to the Contractor or Subcontractor working on the contract.

2024 PROPOSAL-5

5. Services. A Service is a firm that provides an economic benefit, such as professional, technical, consultant, or managerial service, or provides bonds or insurance specifically required for the performance of the contract. 100% of the expenditure for fees charged by a M/W/SDVOB Service will be counted toward the M/W/SDVOB goal(s), provided the fee is reasonable and not excessive as compared with fees customarily allowed for similar services.

6. Trucking Firms. A M/W/SDVOB trucking firm shall own and operate at least one fully licensed, insured, and operational truck used on the contract and shall be responsible for the management and supervision of the trucking operation for which it is responsible, and the arrangement cannot be contrived solely for the purpose of meeting the M/W/SDVOB goal(s). The M/W/SDVOB trucking firm shall control the day-to-day M/W/SDVOB trucking operations, and shall be responsible for: (1) Negotiating and executing rental/leasing agreements; (2) Controlling the work force; (3) Coordinating the daily trucking needs with the Contractor or Subcontractor; and (4) Scheduling and dispatching trucks. \

a. M/W/SDVOB Owned/Leased Trucks. 100% of the value of the trucking operations the M/W/SDVOB provides on the contract using trucks it owns or leases on a long-term basis that are registered, insured, and operated by the M/W/SDVOB using drivers it employs, will be counted toward the M/W/SDVOB goal(s). A lease shall indicate that the M/W/SDVOB has exclusive use of and control over the truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the M/W/SDVOB, so long as the lease gives the M/W/SDVOB absolute priority for use of the leased truck. Leased trucks shall display the name and identification number of the M/W/SDVOB.

b. Other M/W/SDVOB Trucks. The M/W/SDVOB may obtain trucks from another M/W/SDVOB, including an owner/operator. 100% of the value of the trucking operations that the other M/W/SDVOB provides will also be counted toward the M/W/SDVOB goal(s).

c. Non-M/W/SDVOB Trucks. The M/W/SDVOB may obtain trucks from a non-M/W/SDVOB, including an owner-operator. Only the value of the fee or commission that the M/W/SDVOB receives as a result of the arrangement with the non-M/W/SDVOB will be counted toward the M/W/SDVOB goal(s).

E. Commercially Useful Function. A M/W/SDVOB’s participation will only be counted toward meeting the M/W/SDVOB contract goal(s), when it performs a commercially useful function. In order to be considered as performing a commercially useful function, a M/W/SDVOB shall be responsible for the execution of a distinct element of work on the contract and carry out its responsibilities by actually performing, managing, and supervising the work involved in accordance with normal industry practice. This applies to all work performed by a M/W/SDVOB including Subcontractors, Manufacturers/Fabricators, Material Suppliers, Brokers/Manufacturer’s Representatives, Services and Trucking Firms.

Regardless of whether an arrangement between the Contractor and the M/W/SDVOB represent standard industry practice, if the arrangement erodes the ownership, control or independence of the M/W/SDVOB or in any other way does not meet the commercially useful function requirement, the Contractor will receive no credit toward the goal(s). A M/W/SDVOB does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction or contract through which funds are passed in order to obtain the appearance of M/W/SDVOB participation. The arrangement cannot be contrived solely for the purpose of meeting the M/W/SDVOB goal(s). The Contractor shall not seek credit toward the goal(s) through any arrangements or actions of others where the Contractor knows, or should have known based upon the evidence and circumstances present, that a M/W/SDVOB is not performing a commercially useful function.

1. Work Force. The M/W/SDVOB shall employ a work force, (including administrative and clerical) separate and apart from that employed by the Contractor, other Subcontractors on the

2024 PROPOSAL-6

contract, or their affiliates. This does not preclude the employment by the M/W/SDVOB of an individual that has been previously employed by another firm involved in the contract, provided that the individual was independently recruited by the M/W/SDVOB in accordance with customary industry practice. The routine transfer of work crews from another employer to the M/W/SDVOB will not be allowed.

2. Supervision. All work performed by the M/W/SDVOB shall be controlled and supervised by the M/W/SDVOB without duplication of supervisory personnel from the Contractor, other Subcontractors on the contract, or their affiliates. This does not preclude routine communication between the supervisory personnel of the M/W/SDVOB and other supervisors necessary to coordinate the contract work.

3. Materials. M/W/SDVOB Subcontractors shall negotiate price, determine quality and quantity, order, install (where applicable) and pay for the material(s) required to perform the work when material supply is included in their scope of work.

4. Equipment. M/W/SDVOB Subcontractors may supplement their equipment by renting or leasing additional equipment in accordance with customary industry practice. A M/W/SDVOB Subcontractor shall obtain approval of the Department prior to renting equipment from the Contractor or its affiliates, and shall provide documentation demonstrating that similar equipment and terms could not be obtained at a lower cost from other customary sources of equipment. The required documentation shall include, but not be limited to, copies of the rental or leasing agreements, and the names, addresses, and terms quoted by other sources of equipment. Equipment a M/W/SDVOB Subcontractor purchases or leases from the Contractor or its affiliate will not be counted toward meeting the M/W/SDVOB contract goal(s). Should back charges result in M/W/SDVOB participation falling below the goal(s), the Contractor shall be required to backfill. Y

F. M/W/SDVOB Pre-Award Participation Package.

Within 10 calendar days after letting, the Low Bidder shall submit a complete M/W/SDVOB Pre-Award Participation Package, as outlined below, to the Office of Construction using the Department approved civil rights reporting software, Equitable Business Opportunity Solution (EBO). The M/W/SDVOB Pre-Award Participation Package shall include all commitments identified in their proposal at the time of letting. The time period is measured starting the day after the Letting, and if the last day is a Saturday, Sunday, State holiday or Federal holiday, the period is extended to the next day that State offices are open.

A commitment to a M/W/SDVOB is expressed as a dollar amount agreed to by both the Bidder and the M/W/SDVOB for the performance of identified work, services or products. Commitments are for quantities of contract pay items, or associated to contract pay items for work, services or products that are not measured in the same manner as the contract pay item. Commitments for less than the full scope of the contract pay item shall be indicated as such in EBO.

For each M/W/SDVOB Subcontractor, the Apparent Low Bidder shall indicate the contract pay item number(s) of the work to be performed in EBO. For those items of work where the M/W/SDVOB Subcontractor is performing less than 100% of a contract pay item, the Apparent Low Bidder shall explain, in writing, the scope of work to be performed by the M/W/SDVOB.

For each M/W/SDVOB Manufacturer, Fabricator, Material Supplier, or Broker, the Apparent Low Bidder shall indicate the contract pay item number(s) of the materials, supplies, articles, or equipment to be manufactured, fabricated, supplied, or otherwise provided. If the material, supplies, articles, equipment or service does not correspond to a specific contract pay item, the Apparent Low Bidder shall use a contract pay item(s) to which the activity relates.

2024 PROPOSAL-7

For each M/W/SDVOB Service, the Apparent Low Bidder shall indicate the contract pay item number(s) of the service to be provided. If the equipment or service does not correspond to a specific Department contract pay item, the Apparent Low Bidder shall use a contract pay item(s) to which the activity relates.

For each M/W/SDVOB Trucking Firm, the Apparent Low Bidder shall indicate the contract pay item number(s) for which the trucking operations are to be performed. If the trucking operation does not correspond to a specific contract pay item, the Apparent Low Bidder shall use a contract pay item(s) to which the activity relates. The Apparent Low Bidder shall indicate the type of trucking operation to be performed, the number of trucks owned/leased, the number of trucks working on-site or off-site, rate per hour/ton/load/etc., duration or amount, and total dollar value of the proposed M/W/SDVOB commitment.

The Apparent Low Bidder shall provide copies of all lease agreements utilized by the M/W/SDVOB Trucking Firm.

If the Low Bidder meets or exceeds the established M/W/SDVOB goal(s) for the contract with commitments to certified M/W/SDVOBs, it is not necessary for the Low Bidder to submit documentation of good faith efforts.

If the contract goal(s) is not met in full, then the Bidder shall provide documentation of its Good Faith Efforts that demonstrate that the Bidder attempted, but could not meet the goal(s).

After contract award, the Contractor shall promptly execute subcontracts, agreements, or purchase orders, as appropriate, with each M/W/SDVOB for the type and amount of work identified in EBO.

After the Low Bidder has identified pre-award commitments to M/W/SDVOBs in EBO, each M/W/SDVOB shall acknowledge the commitment in EBO within 10 calendar days after letting.

For additional information and instructions for obtaining a login credentials visit https://www.dot.ny.gov/dotapp/ebo .

G. Good Faith Efforts. If the Apparent Low Bidder fails to meet the M/W/SDVOB contract goal(s), the (Owner), in consultation with the Department, will evaluate the good faith efforts the Bidder made to obtain M/W/SDVOB participation to determine if the efforts are sufficient enough to recommend award of the contract. Efforts to obtain M/W/SDVOB participation that are merely pro forma are not good faith efforts, nor are efforts that, even if they are sincerely motivated, given all relevant circumstances, they could not reasonably be expected to produce a level of M/W/SDVOB participation sufficient to meet the goal(s).

If the Low Bidder has not met the M/W/SDVOB goal(s), it shall submit the AAP10 M/W/SDVOB Solicitation Log, together with other documentation that substantiates good faith efforts. Such documentation shall include, at a minimum, all forms of solicitation inquiries that were returned as undeliverable, quotations submitted by M/W/SDVOBs that were not selected for participation, quotations submitted by non- M/W/SDVOBs that were selected for comparison, and an explanation for the Bidder’s action in each case.

In order to evaluate the Bidder's good faith efforts, the Department will consider the quality, quantity, and intensity of the different kinds of efforts that the Bidder has made.

Below is a list of the types of actions which the (Owner/ Sponsor)will consider as part of the Bidder's good faith efforts to obtain M/W/SDVOB participation. It is not intended to be a mandatory checklist, nor is it intended to be exhaustive or exclusive. Other factors or types of efforts may be relevant in appropriate cases.

1. Securing participation by certified M/W/SDVOB firms for work that they are listed to perform that is in the contract. Only M/W/SDVOBs certified by the NYS Department of Economic Development shall be used to fulfill the established goal(s) on Non-Federal-Aid contracts.

https://www.dot.ny.gov/dotapp/ebo

2024 PROPOSAL-8

2. Soliciting, at a minimum, certified M/W/SDVOBs in the appropriate geographic area:

• For all work, soliciting certified M/W/SDVOBs within 75 miles of the contract location.

• For trucking operations and equipment rental, soliciting certified M/W/SDVOBs within 75 miles of the contract location.

• For work such as guide rail, fencing, landscaping, work zone traffic control, survey, signs, permanent highway lighting, traffic signals, and intelligent transportation systems (ITS); soliciting certified M/W/SDVOBs within 150 miles of the contract location.

• For work such as pavement markings, manufacturers, fabricators, material suppliers, brokers, and services; soliciting certified M/W/SDVOBs within 300 miles of the contract location, or on an upstate or downstate basis.

3. The Bidder shall conduct market research to identify small business contractors and suppliers and solicit, through all reasonable and available means, the interest of all certified M/W/SDVOBs that have the capability to perform the work of the contract. This may include attendance at pre-bid and business matchmaking meetings and events; advertising and/or written notices; posting of notices of sources sought and/or requests for proposals, written notices or emails to all certified M/W/SDVOBs listed in the appropriate directory of certified firms that specialize in the areas of work desired and which are located in the area or surrounding area.

The Bidder shall solicit this interest as early in the bidding process as practicable, to allow the M/W/SDVOBs to respond to the solicitation and submit a timely offer. The Bidder shall determine with certainty if the M/W/SDVOBs are interested by taking appropriate steps, including following up the initial solicitation with at least one additional solicitation via a different media. The Bidder shall keep records of efforts to solicit and negotiate with M/W/SDVOBs as evidence of good faith efforts, using the Solicitation Log as a continuing record.

4. Selecting portions of the work to be performed by M/W/SDVOBs in order to increase the likelihood that the M/W/SDVOB goal(s) will be achieved. This includes, where appropriate, either breaking down operations or combining like or related operations into logistically and economically feasible units to facilitate M/W/SDVOB participation, even when the Contractor might prefer to perform these work items with its own forces. This may include, where possible, establishing flexible time frames for performance and delivery schedules in a manner that encourages and facilitates M/W/SDVOB participation.

5. Providing interested M/W/SDVOBs with adequate information on where and how to obtain the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation with their timely offer.

6. a. Negotiating in good faith with interested M/W/SDVOBs. It is the Bidder's responsibility to make a portion of the work available to M/W/SDVOB Subcontractors and material suppliers and to select those portions of the work or material needs consistent with the available M/W/SDVOB Subcontractors and material suppliers, so as to facilitate M/W/SDVOB participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of M/W/SDVOBs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for M/W/SDVOBs to perform the work.

b. Additional Costs. The fact that there may be some additional costs involved in finding and using M/W/SDVOBs is not in itself sufficient reason for a bidder's failure to meet the contract M/W/SDVOB goal(s), as long as such costs are reasonable. The ability or desire of a bidder to perform the work of a contract with its own organization does not relieve the Bidder of the responsibility to make good faith efforts. Bidders are not, however, required to accept higher quotes from M/W/SDVOBs if the Department determines the price difference to be excessive or unreasonable.

2024 PROPOSAL-9

7. a. Not rejecting M/W/SDVOBs as unqualified. The Bidder shall not reject M/W/SDVOBs as unqualified without sound reasons based on a thorough investigation of their capabilities. The Bidder’s standing within its industry, membership in specific groups, organizations or associations, and political or social affiliations (for example union vs. non-union status) are not legitimate causes for rejection or non-solicitation of proposals in the Bidder’s efforts to meet the contract goal.

Rejection of the M/W/SDVOB because its quotation for the work was not the lowest received is not considered good faith effort. Nothing in this paragraph shall be construed to require the Bidder to accept unreasonable quotes in order to satisfy contract goals.

b. Replacement Prices. A prime contractor’s inability to find a replacement M/W/SDVOB at the original price is not alone sufficient to support a finding that good faith efforts have been made to replace the original M/W/SDVOB. The fact that the contractor has the ability and/or desire to perform the contract work with its own forces does not relieve the contractor of the obligation to make good faith efforts to find a replacement M/W/SDVOB, and it is not a sound basis for rejecting a prospective replacement M/W/SDVOB’s reasonable quote.

8. Making efforts to assist interested M/W/SDVOBs in obtaining bonding, lines of credit or insurance as required by the (Owner) or the Bidder.

9. Making efforts to assist interested M/W/SDVOBs in obtaining necessary equipment, supplies, materials, or related assistance.

10. Where available, effectively using the services of available minority/women focused media, trade associations, and contractor groups; local, state, and Federal minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of M/W/SDVOBs.

11. Stating future commitments to use the M/W/SDVOBs after contract award is not considered to be responsive to the contract solicitation requirements or to constitute good faith efforts.

H. Pre-Award Approval. In order to award a contract to a bidder that has failed to meet the M/W/SDVOB contract goal(s), the (Owner/ Sponsor), in consultation with the Department, must determine that the Bidder's good faith efforts were those that a bidder actively and aggressively seeking to meet the goal(s) would make given all relevant circumstances. If the (Owner/ Sponsor) determines that the original Low Bidder has failed to meet the good faith effort requirements, before awarding the contract to a subsequent bidder, the (Owner/ Sponsor) will provide the original Low Bidder an opportunity for administrative reconsideration by an official who did not take part in the original determination.

I. Administrative Reconsideration. The Apparent Low Bidder will have the opportunity to provide written documentation of Good Faith Efforts, or argument and to meet in person with the Owner/Sponsor’s reconsideration official upon notification concerning the issue of whether it met the goal or made adequate good faith efforts to do so. The (Owner/Sponsor)will send the Low Bidder a written decision on reconsideration, explaining the basis for finding that the Low Bidder did or did not meet the goal or make adequate good faith efforts to do so.

J. Bidder’s Compliance with M/W/SDVOB Program Requirements. (Applicable only to Non-Federal- Aid contracts.) The Owner/Sponsor’s acceptance of the Low Bidder’s proposal is conditioned upon the Low Bidder’s fulfillment of the M/W/SDVOB participation requirements. Failure by the Low Bidder to submit a complete M/W/SDVOB participation package and provide commitments to meet the established goal prior to award, without adequate good faith efforts sufficient to support a goal waiver request, may be grounds for rejection of the proposal as non-responsive and the bid deposit may be subject to forfeiture pursuant to §103- 02 Execution of Contract.

2024 PROPOSAL-10

The following NYSDOT forms shall be used to demonstrate…