IFB 2026-01-UST Repair and Controls Replacement.pdf

V. 11-2017

IMPORTANT: SEE NOTICE TO BIDDERS CLAUSES HEREIN

E-Mail or Facsimile Bid Submissions are NOT Acceptable

Designated Contact Alternate Designated Contact

Name: Nicole Boyea Upstate CF Institution Steward

Name: Jodie Finlayson Upstate CF Head Account Clerk

Phone: (518) 483-6997 ext. 3100 Phone: (518) 483-6997 ext. 3200 Email: Nicole.Boyea@doccs.ny.gov Email: Jodie.Finlayson@doccs.ny.gov

Upstate Correctional Facility, 309 Bare Hill Rd, Malone, NY 12953 I www.doccs.ny.gov

INVITATION FOR BIDS (IFB) # 2026-01-UST

ENERGY RECOVERY UNIT (ERU) REPAIR & CONTROLS REPLACEMENT

Issue Date: October 8, 2026 Site Visit Date: October 28, 2026 at 9:00 AM Bidder Questions Due: November 10, 2026 by 3:00 PM Bidder Answers Due: November 19, 2026 by 3:00 PM Bid Due Date & Time: December 10, 2026 by 3:00 PM Contract Period: 12 months from Date of Approval

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 2

BID SIGNATURE PAGE

RETURN THIS PAGE AS PART OF THE BID

The bid must be fully and properly executed by an authorized person. By signing you certify your express authority to sign on behalf of yourself, your company, or other entity and full knowledge and acceptance of this INVITATION FOR BIDS, Appendix A (Standard Clauses For New York State Contracts), Appendix B (General Specifications), and State Finance Law §139-j and §139-k (Procurement Lobbying), and that all information provided is complete, true and accurate. By signing, bidder affirms that it understands and agrees to comply with DOCCS procedures relative to permissible contacts as required by State Finance Law §139-j(3) and §139-j(6)(b). Bidders are requested to retain Appendix A and Appendix B for future reference.

Procurement Lobbying information may be accessed at: https://ogs.ny.gov/acpl/

Legal Business Name of Company Bidding: NYS Vendor Identification Number:

(see NYS vendor file registration clause

D/B/A – Doing Business As (if applicable):

Federal Tax Identification Number:

(Do Not Use Social Security Number)

Street City State Zip County

If applicable, place an “x” in the appropriate box(es) (check all that apply)

NYS Small Business

# Employees

NYS Certified Minority- Owned Business Enterprise (MBE)

NYS Certified Woman-

Enterprise (WBE)

NYS Certified Service Disabled Veteran

(SDVOB)

Vendor Responsibility Questionnaire Filed Online: Yes No If Yes, has Bidder certified or recertified the Vendor Responsibility Questionnaire no more than six (6) months prior to the bid opening date? Yes No

Do you understand and is your firm capable of meeting the insurance requirements to enter into a contract with New York State? Yes No

Does your bid proposal meet all the requirements of this solicitation? Yes No

If you are not bidding, place an “x” in the box and return this page only.

WE ARE NOT BIDDING AT THIS TIME BECAUSE:

Phone:

Toll Free Phone:

Email Address: Company Web Site:

Bidder’s Signature:

Date:

Printed or Typed Name:

Title:

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 3

INDIVIDUAL, CORPORATION, PARTNERSHIP, OR LLC ACKNOWLEDGMENT

STATE OF }

} SS.:

COUNTY OF }

On the ____ day of ___________________ in the year 20 __ , before me personally appeared

_______________________________________ , known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that _he resides at

Town of ______________________________________________ , County of _______________________________ , State of ______________________________ ; and further that:

[Check One]

If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf.

If a corporation): _he is the _________________________________ of

____________________________________ , the corporation described in said instrument; that, by authority of the Board of Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said corporation as the act and deed of said corporation.

If a partnership): _he is the ________________________________ of

___________________________________, the partnership described in said instrument; that, by the terms of said partnership, _he is authorized to execute the foregoing instrument on behalf of the partnership for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said partnership as the act and deed of said partnership.

If a limited liability company): _he is a duly authorized member of ________________________________, LLC, the limited liability company described in said instrument; that _he is authorized to execute the foregoing instrument on behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said limited liability company as the act and deed of said limited liability company.

Notary Public Registration No.

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 4

CHECKLIST FOR IFB #_2026-01-UST

All Bidders must complete the checklist presented below and submit the following forms listed in the checklist as required for each bid submission.

SUBMISSION DOCUMENTS PACKAGE (SIGNATURES REQUIRED)

This Checklist

Completed Bid Signature Page (pages 2-3)

Bidder's Federal Tax Identification Number

NYS Vendor Identification Number

Bidder's Signature

Individual, Corporation, Partnership, or LLC Acknowledgment (must be notarized)

MWBE / EEO / SDVOB Forms as applicable (see pages 8-12)

Forms available at: https://doccs.ny.gov/procurement-opportunities

Vendor Responsibility Questionnaire – Check one of the following:

Paper Submission

OR

Electronic Filing - Certified Date:

(Must be certified within the last 6 months)

Certificate of Insurance

Proof of Compliance with Workers’ Compensation Coverage Requirements

Proof of Compliance with Disability Benefits Coverage Requirements

(Note: If the above 3 items are not submitted with bid, a tentative awardee shall provide this documentation upon notification from DOCCS)

Bid Price Page (page 29)

Notes to Bidders and Questions (pages 30-32)

Procurement Lobbying Certification (page 33)

State Finance Law § 139-l (page 34)

NYS Required Certifications: EO 177 & State Finance Law § 139-l (page 35)

NYS Required Certifications: EO 16 (page 36)

Vendor Assurance of No Conflict of Interest or Detrimental Effect (page 38)

Contractor Certification Forms (Must Be Notarized) (page 39)

Form ST-220-CA (Form ST-220-TD is filed directly with the Tax Department)

Signature: Date:

Print Name: Name of Company:

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 5

GENERAL INFORMATION

IMPORTANT NOTICE TO POTENTIAL BIDDERS: Receipt of these bid documents does not indicate that the NYS Department of Corrections and Community Supervision (DOCCS) – Upstate Correctional Facility has pre-determined your company's qualifications to receive a contract award. Such determination will be made after the bid opening and will be based on our evaluation of your bid submission compared to the specific requirements and qualifications contained in these bid documents.

NOTICE TO BIDDERS:

The Upstate Correctional Facility – Business Office will receive bids pursuant to the provisions of Article XI of the State Finance Law or the provisions of the State Printing and Public Documents Law. The following procedures shall be used for bid submittals:

1. BID PREPARATION

Prepare your bid on this form using indelible ink. Print the name of your company on each page of the bid in the block provided. One copy of the bid is required, unless otherwise specified herein.

2. BID SUBMISSION

When submitting your bid, please submit complete original bid package, including all Bidder questions and required certifications. You are not required to return Appendix A and Appendix B to this office. You may keep all those pages for your own reference.

3. BID DELIVERY

Bidders assume all risks for timely, properly submitted deliveries. Bidders are strongly encouraged to arrange for delivery of bids to Upstate Correctional Facility prior to the date of the bid opening. LATE BIDS may be rejected. E-mail bid submissions are not acceptable and will not be considered.

• Bid envelopes

The envelope containing a bid should be clearly marked "BID ENCLOSED" and state the Bid Number, Bid Opening Date, and Time. Failure to complete all information on the bid envelope may necessitate the premature opening of the bid and may compromise confidentiality. See "Bid Submission" in Appendix B, General Specifications. Bids shall be delivered to:

State of New York

Department of Corrections and Community Supervision Upstate Correctional Facility Attention: Jodie Finlayson

309 Bare Hill Road, Malone, NY 12953

• FAX transmittals

Facsimile transmittals are NOT acceptable for this Solicitation.

• Hand deliveries Bidders must allow extra time to comply with the security procedures which may be in effect when hand delivering bids or using deliveries by independent courier services. Bidders assume all risks for timely, properly submitted deliveries.

4. IMPORTANT BUILDING ACCESS PROCEDURES

Bidders attending bid openings must pre-register for building access by contacting Jodie Finlayson at

(518) 483-6997 Ext 3200 or by email Jodie.Finlayson@doccs.ny.gov at least 48 hours prior to bid opening. To access the facility, all visitors must check in by presenting valid photo identification. Vendors who intend to deliver bids should allow extra time to comply with these procedures. Building Access procedures may change or be modified at any time.

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 6

SCOPE OF WORK

Repair and Controls Replacement – Three Energy Recovery Units (ERUs)

GENERAL:

The Contractor shall provide all labor, supervision, materials, equipment, tools, programming, controls, testing, refrigerant, transportation, and incidentals necessary to inspect, troubleshoot, repair, program, test, and place into full operational condition three (3) existing Energy Recovery Units (ERUs) located in Buildings 8, 10, and 11 at Upstate Correctional Facility.

The intent of this work is to provide three complete and properly functioning ERUs capable of operating in accordance with the original equipment design and sequence of operation and communicating with the Facility’s existing Building Management System (BMS).

Existing equipment information includes:

Manufacturer: AIR 20 Model: DHP 40 Representative Serial Number: AV127920210325001

Contractor shall field verify the model, serial number, configuration, electrical characteristics, refrigeration system, and controls associated with each of the (3) three units prior to commencing work.

EXISTING CONTROLS REMOVAL AND REPLACEMENT:

The Contractor shall remove existing failed, obsolete, damaged, or incompatible unit controllers and provide and install new controllers suitable for the existing equipment.

New controllers shall be fully programmed and capable of controlling all functions necessary for proper operation of each ERU. Contractor shall provide all required control modules, relays, transformers, interface devices, communication modules, wiring, sensors, and other accessories necessary to provide a complete operating system.

Programming shall include all required operating sequences, equipment safeties, setpoints, alarm points, schedules, interlocks, and control logic.

COMPLETE UNIT INSPECTION AND REPAIRS:

Each ERU shall be thoroughly inspected and functionally tested. At a minimum, the Contractor shall inspect and test:

• Supply and exhaust fans and motors;

• Energy recovery components;

• Compressors and associated refrigeration components;

• Temperature, pressure, humidity, and other applicable sensors;

• Dampers, actuators, and linkages;

• Control and isolation valves and actuators;

• Contactors, relays, transformers, overloads, and control wiring;

• Safety switches and equipment safeties;

• Filters and airflow-related components;

• Electrical connections and terminations; and

• All other components necessary for proper unit operation.

The Contractor shall repair or replace damaged, defective, or incompatible controls, sensors, actuators, and related components necessary to restore proper operation.

Any major equipment/component discovered to be defective and not reasonably considered part of the controls repair shall be documented and brought to the Facility’s attention prior to replacement unless specifically included within the contract.

BUILDING AUTOMATION SYSTEM INTEGRATION:

Each ERU shall be integrated into the Facility’s existing Building Management System.

The Contractor shall provide all programming, communication interfaces, gateways, controllers, wiring, and other components necessary to achieve complete communication between the ERUs and existing BMS.

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 7

(Continued)

At a minimum, authorized Facility personnel shall be able to view, monitor, command, and adjust, as applicable:

• Analog inputs and outputs;

• Binary/digital inputs and outputs;

• Supply, return, exhaust, and applicable outdoor-air temperatures;

• Temperature and other adjustable setpoints;

• Fan status and commands;

• Damper positions and commands;

• Valve positions and commands;

• Compressor status;

• Unit operating mode;

• Equipment status;

• Safety conditions;

• Equipment faults; and

• Unit alarms.

Required information and controls shall be accessible from the Facility’s existing BMS workstation located at the Powerhouse and locally at the respective unit.

The completed work shall not result in the loss of existing BMS functionality or communication with other Facility equipment.

REFRIGERATION SYSTEM:

The Contractor shall inspect each refrigeration circuit for proper operation and evidence of refrigerant leakage.

Any identified refrigerant leaks associated with the ERUs shall be located and repaired using accepted industry practices and in accordance with applicable federal, state, and manufacturer requirements.

Following repairs, the Contractor shall perform all required pressure testing, evacuation, dehydration, and charging procedures and recharge each affected circuit with the manufacturer’s specified refrigerant to the proper operating charge.

Refrigerant shall not be added solely to compensate for an active or known leak.

STARTUP, TESTING AND COMMISSIONING:

Upon completion of repairs, each ERU shall be started and operated through its applicable operating modes.

The Contractor shall verify:

• Proper fan and motor operation;

• Correct airflow direction;

• Proper damper and actuator operation;

• Proper valve operation;

• Correct refrigeration operation;

• Proper compressor staging;

• Correct sensor readings;

• Proper safety and interlock operation;

• Correct controller programming;

• Proper BMS communication;

• Correct alarm generation and reporting; and

• Stable operation of the complete unit.

All deficiencies identified during startup that are included within the scope of work shall be corrected prior to final acceptance.

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 8

(Continued)

DOCUMENTATION AND CLOSEOUT:

Upon completion, the Contractor shall provide the Facility with applicable controller documentation, final control sequences, equipment setpoints, BMS point lists, and updated control information.

The Contractor shall provide the Facility with all controller/BMS administrative-level passwords, programming access credentials, software files, configuration files, and final controller programs necessary for future maintenance and troubleshooting. No proprietary password or access restriction shall prevent the Facility or its authorized representatives from accessing or servicing the installed controls.

The Contractor shall provide a written service report for each ERU identifying repairs performed, components replaced, refrigerant added (if applicable), final operating conditions, and confirmation that the unit has been tested and returned to normal operation.

The Contractor shall provide a minimum of 4 hours of staff training on the operation and maintenance of the units and controls.

FINAL ACCEPTANCE:

The project shall not be considered complete until all three ERUs are fully operational, properly controlled, successfully communicating with the existing Facility BMS, and demonstrated to Facility representatives.

All work shall be performed in accordance with applicable codes, regulations, manufacturer’s requirements, and accepted HVAC and controls industry practices.

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 9

GENERAL INFORMATION

NON-COLLUSIVE BIDDING CERTIFICATION:

(Reference: State Finance Law Section 139-d and Appendix A, Clause 7) 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:

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

(2) Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the Bidder and will not knowingly be disclosed by the Bidder prior to opening, directly or indirectly, to any other Bidder or to any competitor; and

(3) No attempt has been made or will be made by the Bidder to induce any other person, partnership or corporation to submit or not submit a bid for the purpose of restricting competition.

In the event that the Bidder is unable to certify as stated above, the Bidder shall provide a signed statement which sets forth in detail the reasons why the Bidder is unable to furnish the certificate as required in accordance with State Finance Law Section 139-d(1)(b).

INQUIRIES / ISSUING OFFICE:

All inquiries concerning this specification will be addressed to the following Designated Contact:

PRIMARY CONTACT SECONDARY CONTACT

Name: Nicole Boyea Name: Jodie Finlayson Phone No.: 518-483-6997 Ext. 3100 Phone No.: 518-483-6997 Ext. 3200 E-Mail: Nicole.Boyea@doccs.ny.gov E-Mail: Jodie.Finlayson@doccs.ny.gov

Contacting someone else may result in rejection of bid – see “Procurement Lobbying Act”.

All questions should be submitted in writing no later than 11/10/26, citing the particular bid section and paragraph number. The Prospective Bidder should notify the DESIGNATED CONTACT of any term, condition, etc., that precludes the vendor from submitting a compliant, responsive bid. Bidders are cautioned to read this document thoroughly to become familiar with all aspects of the bid. Prospective Bidders should note that all clarifications and exceptions including those relating to the terms and conditions of the contract are to be resolved prior to the submission of a bid. Bidders entering into a contract with the State are expected to comply with all the terms and conditions contained herein. Answers to all questions of a substantive nature will be given to all Prospective Bidders in the form of a formal addendum which will become part of the ensuing contract.

PROCUREMENT LOBBYING ACT:

SUMMARY OF POLICY AND PROHIBITIONS ON PROCUREMENT LOBBYING

Pursuant to State Finance Law §§139-j and 139-k, this Solicitation includes and imposes certain restrictions on communications between NYSDOCCS – Upstate Correctional Facility and an Offeror/Bidder during the procurement process. An Offeror/Bidder is restricted from making contacts from the earliest notice of intent to solicit offers/bids through final award and approval of the Procurement Contract by NYS DOCCS – Upstate Correctional Facility, and if applicable, the Office of General Services, and/or the Office of the State Comptroller (“restricted period”) to other than designated staff unless it is a contact that is included among certain statutory exceptions set forth in State Finance Law §139-j (3) (a). Designated staff, as of the date hereof, is identified on the first page of this Solicitation. NYS DOCCS – Upstate Correctional Facility employees are also required to obtain certain information when contacted during the restricted period and make a determination of the responsibility of the Offeror/Bidder pursuant to these two statutes. Certain findings of non-responsibility can result in rejection for contract award and in the event of two findings within a four-year period, the Offeror/Bidder is debarred from obtaining governmental Procurement Contracts. Further information about these requirements can be found on the website:

http://ogs.ny.gov/Aboutogs/regulations/defaultAdvisoryCouncil.html.

PROCUREMENT LOBBYING TERMINATION:

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 10

NYSDOCCS – Upstate Correctional Facility reserves the right to terminate this contract in the event it is found that the certification filed by the Offeror/Bidder in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such finding, NYS DOCCS – Upstate Correctional

Facility may exercise its termination right by providing written notification to the Offeror/Bidder in accordance with the written notification terms of this contract.

DISPUTE RESOLUTION POLICY:

It is the policy of the NYSDOCCS – Upstate Correctional Facility and the Office of the State Comptroller to provide vendors with an opportunity to administratively resolve disputes, complaints or inquiries related to NYS bid solicitations or contract awards. NYS DOCCS – Upstate Correctional Facility and the Office of the State Comptroller encourages vendors to seek resolution of disputes through consultation with NYS DOCCS

– Upstate Correctional Facility staff. All such matters will be accorded impartial and timely consideration.

Interested parties may also file formal written disputes.

TAX LAW § 5-A:

TAX LAW § 5-A Amended April 26, 2006 (Appendix 2):

Tax Law § 5-a, as amended on April 26, 2006, requires certain Contractors who are awarded state contracts for commodities and/or services valued at more than $100,000 (over the full term of the contract, excluding renewals) to certify to the Department of Taxation and Finance (DTF) they are registered to collect New York State (NYS) and local sales and compensating use taxes. The law applies to contracts where the total amount of the Contractor’s sales delivered into NYS exceed $300,000 for the four quarterly periods immediately preceding the quarterly period when the certification is made; and with respect to any affiliates and subcontractors whose sales delivered into NYS also exceed $300,000 in the same manner as noted above for the Contractor.

This law imposes upon certain Contractors the obligation to certify whether or not the Contractor, its affiliates, and its subcontractors are required to register to collect state sales and compensating use tax. The contractors must certify to DTF that each affiliate and Subcontractor exceeding the sales threshold is registered with DTF to collect such State and local sales and compensating use taxes. The law prohibits the Comptroller, or other approving agency, from approving a contract to a vendor who is not registered in accordance with the law.

There are two (2) Contractor certification forms, with instructions, required for this bid. Form ST-220-TD is to be submitted directly to DTF. Submission to DTF is a one-time occurrence. If you have already submitted this form to DTF for other bidding opportunities, you do not need to submit the form attached to this bid. If, however, any certification information changes, a new ST-220-TD must be filed with DTF.

Form ST-220-CA must be completed and submitted with this bid. This form certifies to the procuring agency that the contractor has filed ST-220-TD with DTF in compliance with the law.

Bidders should complete and submit the certification forms within two business days of request (if the forms are not submitted to DTF and/or and returned with bid). Bidders shall take the necessary steps to provide properly certified forms within a timely manner to ensure compliance with the law, as failure to do so may render a bidder non-responsive and non-responsible.

Vendors may call DTF at 1-800-698-2909 for any and all questions relating to Tax Law § 5-a and relating to a company's registration status with DTF. For additional information and frequently asked questions, please refer to the DTF web site: http://www.tax.ny.gov

TERMINATION FOR VIOLATION OF Revised Tax Law 5a:

NYS DOCCS reserves the right to terminate this contract in the event it is found that the certification filed by the Contractor in accordance with § 5-a of the Tax Law is not timely filed during the term of the contract or the certification furnished was intentionally false or intentionally incomplete. Upon such finding, Upstate Correctional Facility may exercise its termination right by providing written notification to the Contractor.

MERCURY-ADDED CONSUMER PRODUCTS:

Offerors are advised that effective January 1, 2005, Article 27, Title 21 of the Environmental Conservation

Law bans the sale or distribution free of charge of fever thermometers containing mercury except by prescription written by a physician and bans the sale or distribution free of charge of elemental mercury other than for medical pre-encapsulated dental amalgam, research, or manufacturing purposes due to the hazardous waste concerns of mercury. The law further states that effective July 12, 2005, manufacturers are required to label mercury-added consumer products that are sold or offered for sale in New York State by a distributor or retailer. The label is intended to inform consumers of the presence of mercury in such products and of the proper disposal or recycling of mercury-added consumer products. Offerors are encouraged to contact the

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 11

Department of Environmental Conservation, Bureau of Solid Waste, Reduction & Recycling at (518) 402-8705 or the Bureau of Hazardous Waste Regulation at 1-800-462-6553 for questions relating to the law. Offerors may also visit the Department's web site for additional information: http://www.dec.ny.gov/chemical/8512.html

DEBRIEFING:

Pursuant to Section 163(9)(c) of the State Finance Law, any unsuccessful Bidder may request a debriefing regarding the reasons that the Bid submitted by the Bidder was not selected for award. Requests for a debriefing must be made within 15 calendar days of notification by DOCCS that the Bid submitted by the Bidder was not selected for award. Requests should be submitted in writing to a designated contact identified in the Solicitation.

APPENDIX A:

Appendix A, Standard Clauses For New York State Contracts, dated June 2023, attached hereto, is hereby expressly made a part of this Bid Document as fully as if set forth at length herein. Please retain this document for future reference.

APPENDIX B:

Appendix B, General Specifications (Commodities and Non-Technology Services), dated August 2012, attached hereto, is hereby expressly made a part of this Bid Document as fully as if set forth at length herein and shall govern any situations not covered by this Bid Document or Appendix A. Please retain this document for future reference.

CONFLICT OF TERMS AND CONDITIONS:

Conflicts between documents shall be resolved in the following order of precedence:

a) Appendix A

b) Contract resulting from this Invitation for Bid

c) This Invitation for Bid

d) Appendix B

e) Bidder’s Bid

Business Participation Opportunities for MWBEs

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

New York State Law: Pursuant to New York State Executive Law Article 15-A and Parts 140-145 of Title 5 of the New York Codes, Rules and Regulations DOCCS 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 DOCCS contracts.

Business Participation Opportunities for MWBEs

For purposes of this solicitation, DOCCS hereby establishes an overall goal of 0 percent for MWBE participation, 0 percent for New York State-certified Minority-owned Business Enterprise (“MBE”) participation and 0 percent for New York State-certified Women-owned Business Enterprise (“WBE”) 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 IFB, the bidder agrees that DOCCS may withhold payment pursuant to any Contract awarded as a result of this IFB pending receipt of the required MWBE documentation. The directory of MWBEs can be viewed at:

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

The bidder 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.

The portion of a contract with an MWBE serving as a broker that shall be deemed to represent the commercially useful function performed by the MWBE shall be 25 percent of the total value of the contract.

TITLE: ERU REPAIR & CONTROLS REPLACEMENT PAGE 12

In accordance with 5 NYCRR § 142.13, the bidder 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 solicitation, such finding constitutes a breach of contract and DOCCS may withhold payment as liquidated damages.

Such liquidated damages shall be calculated as 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 bid or proposal, a bidder 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 bidder may arrange to provide such evidence via a non-electronic method by contacting the designated contact(s) for this procurement. Additionally, a bidder will be required to submit the following documents and information as evidence of compliance with the foregoing:

1. An MWBE Utilization Plan with their bid or 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 DOCCS for review and approval.

DOCCS will review the submitted MWBE Utilization Plan and advise the bidder of DOCCS acceptance or issue a notice of deficiency within 30 days of receipt.

2. If a notice of deficiency is issued, the Bidder will be required to respond to the notice of deficiency within seven (7) business days of receipt by submitting to DOCCS, a written remedy in response to the notice of deficiency. If the written remedy that is submitted is not timely or is found by DOCCS to be inadequate, DOCCS shall notify the Bidder and direct the Bidder 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 bid or proposal.

DOCCS may disqualify a Bidder as being non-responsive under the following circumstances:

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

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

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

d) If DOCCS determines that the bidder has failed to document good faith efforts. .

The successful Bidder will be required to submit a quarterly M/WBE Contractor Compliance &

Subcontractor Payment Report to DOCCS, by the 10th day following each end of quarter as applicable 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 bid or proposal in response to this Solicitation, the Bidder agrees with all of the terms and conditions of Appendix A – Standard Clauses for All New York State Contracts including Clause 12 - Equal Employment Opportunities for Minorities and Women. The Bidder is required to ensure that it and any subcontractors awarded a subcontract for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work"), except where the Work is for the beneficial use of the Bidder, 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 Bidder will be required to submit a Minority and Women-owned Business Enterprise and Equal

Employment Opportunity Policy Statement to DOCCS with its bid or proposal.

If awarded a Contract, Bidder 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 DOCCS on a quarterly basis as required during the term of the Contract.

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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 quarterly 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 Subcontractors 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.

PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED SERVICE-DISABLED VETERAN

OWNED BUSINESSES

Article 17-B of the New York State Executive 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. Department of Corrections and Community Supervision (DOCCS) recognizes the need to promote the employment of service-disabled veterans and to ensure that certified service-disabled veteran-owned businesses have opportunities for maximum feasible participation in the performance of DOCCS 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, Bidders 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.

I. Contract Goals A. DOCCS hereby establishes an overall goal of 0% for SDVOB participation, based on the current availability of qualified SDVOBs. For purposes of providing meaningful participation by SDVOBs, the Bidder/Contractor should reference the directory of New York State Certified SDVOBs found at:

https://ogs.ny.gov/veterans/. Questions regarding compliance with SDVOB participation goals should be directed to the DOCCS 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 (see clause IV below).

II. SDVOB Utilization Plan

A. In accordance with 9 NYCRR § 252.2(i), Bidders are required to submit a completed SDVOB Utilization Plan on Form SDVOB 100 with their bid.

B. The Utilization Plan shall list the SDVOBs that the Bidder intends to use to perform the Contract, a description of the work that the Bidder 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 Bidder 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, 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 DOCCS.

C. DOCCS will review the submitted SDVOB Utilization Plan and advise the Bidder/Contractor of DOCCS acceptance or issue a notice of deficiency within 20 days of receipt.

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D. If a notice of deficiency is issued, Bidder/Contractor agrees that it shall respond to the notice of deficiency, within seven business days of receipt, by submitting to DOCCS a written remedy in response to the notice of deficiency. If the written remedy that is submitted is not timely or is found by DOCCS to be inadequate, DOCCS shall notify the Bidder/Contractor and direct the Bidder/Contractor to submit, within five business days of notification by DOCCS, a request for a partial or total waiver of SDVOB participation goals on SDVOB 200. Failure to file the waiver form in a timely manner may be grounds for disqualification of the bid or proposal.

E. DOCCS may disqualify a Bidder’s bid or proposal as being non-responsive under the following circumstances:

(a) If a Bidder fails to submit an SDVOB Utilization Plan;

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

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

(d) If DOCCS determines that the Bidder has failed to document good faith efforts.

F. If awarded a Contract, Contractor certifies that it will follow the submitted SDVOB Utilization Plan for the performance of SDVOBs on the Contract pursuant to the prescribed SDVOB contract goals set forth above.

G. Contractor further agrees that a failure to use SDVOBs as agreed in the Utilization Plan shall constitute a material breach of the terms of the Contract. Upon the occurrence of such a material breach, DOCCS shall be entitled to any remedy provided herein, including but not limited to, a finding of Contractor non-responsibility.

III. Request for Waiver

A. Prior to submission of a request for a partial or total waiver, Bidder/Contractor shall speak to the Designated Contacts at DOCCS for guidance.

B. In accordance with 9 NYCRR § 252.2(m), a Bidder/Contractor that is able to document good faith efforts to meet the goal requirements, as set forth in clause IV below, may submit a request for a partial or total waiver on Form SDVOB 200, accompanied by supporting documentation. A Bidder may submit the request for waiver at the same time it submits its SDVOB Utilization Plan. If a request for waiver is submitted with the SDVOB Utilization Plan and is not accepted by DOCCS at that time, the provisions of clauses II (C), (D) & (E) will apply. If the documentation included with the Bidder’s/Contractor’s waiver request is complete, DOCCS shall evaluate the request and issue a written notice of acceptance or denial within 20 days of receipt.

C. Contractor shall attempt to utilize, in good faith, the SDVOBs identified within its SDVOB 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 DOCCS but must be made no later than prior to the submission of a request for final payment on the Contract.

D. If DOCCS, upon review of the SDVOB Utilization Plan and Monthly SDVOB Compliance Report (SDVOB

101) determines that Contractor is failing or refusing to comply with the contract goals and no waiver has been issued in regards to such non-compliance, DOCCS may issue a notice of deficiency to the Contractor. The Contractor must respond to the notice of deficiency within seven business days of receipt. Such response may include a request for partial or total waiver of SDVOB contract goals.

Waiver requests should be sent to DOCCS.

IV. Required Good Faith Efforts

In accordance with 9 NYCRR § 252.2(n), Contractors must document their good faith efforts toward utilizing SDVOBs on the Contract. Evidence of required good faith efforts shall include, but not be limited to, the following:

(1) Copies of solicitations to SDVOBs and any responses thereto.

(2) Explanation of the specific reasons each SDVOB that responded to Bidders/Contractors’ solicitation was not selected.

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(3) Dates of any pre-bid, pre-award or other meetings attended by Contractor, if any, scheduled by DOCCS with certified SDVOBs whom DOCCS determined were capable of fulfilling the SDVOB goals set in the Contract.

(4) Information describing the specific steps undertaken to reasonably structure the Contract scope of work for the purpose of subcontracting with, or obtaining supplies from, certified SDVOBs.

(5) Other information deemed relevant to the waiver request.

V. Monthly SDVOB Contractor Compliance Report

In accordance with 9 NYCRR § 252.2(q), Contractor is required to report Monthly SDVOB Contractor Compliance to DOCCS during the term of the Contract for the preceding month’s activity, documenting progress made towards achieving the Contract SDVOB goals. This information must be submitted using form SDVOB 101 available on the DOCCS website and should be completed by the Contractor and submitted to DOCCS, by the 10th day of each month during the term of the Contract, for the preceding month’s activity to: MWBE@doccs.ny.gov.

VI. Breach of Contract and Damages

In accordance with 9 NYCRR § 252.2(s), any Contractor found to have willfully and intentionally failed to comply with the SDVOB participation goals set forth in the Contract, shall be found to have breached the contract and Contractor shall pay damages as set forth therein.

ALL FORMS ARE AVAILABLE AT: https://doccs.ny.gov/procurement-opportunities

EXECUTIVE ORDER NUMBER 177

Bidders must review Executive Order 177 prior to submitting bids. You may access the executive order on the Governor’s website: https://www.governor.ny.gov/sites/governor.ny.gov/files/atoms/files/EO177.pdf Bidders shall complete the EO177 Certification form located within this IFB as evidence of compliance with the foregoing and submit with bid.

EXECUTIVE ORDER NUMBER 16

Bidders must review Executive Order 16 prior to submitting bids. You may access the executive order on the Governor’s website: https://www.governor.ny.gov/executive-order/no-16-prohibiting-state-agencies-and-authorities-contracting-businesses-conducting

Bidders shall complete the EO16 Certification form located in Attachment 2 as evidence of compliance with the foregoing and submit with bid.

SEXUAL HARASSMENT PREVENTION

Pursuant to New York State Finance Law § 139-l, every bid made on or after January 1, 2019 to the State or any public department or agency thereof, where competitive bidding is required by statute, rule or regulation, for work or services performed or to be performed or goods sold or to be sold, and where otherwise required by such public department or agency, shall contain a certification that the bidder has and has implemented a written policy addressing sexual harassment prevention in the workplace and provides annual sexual harassment prevention training to all of its employees. Such policy shall, at a minimum, meet the requirements of New York State Labor Law § 201-g: https://www.nysenate.gov/legislation/laws/LAB/201-G

New York State Labor Law § 201-g provides requirements for such policy and training and directs the Department of Labor, in consultation with the Division of Human Rights, to create and publish a model sexual harassment prevention guidance document, sexual harassment prevention policy and sexual harassment prevention training program that employers may utilize to meet the requirements of New York State Labor Law § 201-g. The model sexual harassment prevention policy, model sexual harassment training materials, and further guidance for employers, can be found online at the following URL: https://www.ny.gov/combating-sexual-harassment-workplace/employers

Pursuant to New York State Finance Law § 139-l, any bid by a corporate bidder containing the certification required above shall be deemed to have been authorized by the board of directors of such bidder, and such authorization shall be deemed to include the signing and submission of such bid and the inclusion therein of such statement as the act and deed of the bidder.

If the Bidder cannot make the required certification, such Bidder shall so state and shall furnish with the bid a signed statement that sets forth in detail the reasons that the Bidder cannot make the certification. After review and consideration of such statement, DOCCS may reject the bid or may decide that there are sufficient reasons to accept the bid without such certification.

GENDER-BASED VIOLANCE AND THE WORKPLACE

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Pursuant to New York State Finance Law § 139-M, every bid made on or after November 5, 2025 to the State or any public department or agency thereof, where competitive bidding is required by statute, rule or regulation, for work or services performed or to be performed or goods sold or to be sold, shall contain the following statement subscribed by the bidder and affirmed by such bidder as true under the 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 the bidder has and has implemented a written policy addressing gender-based violence and the workplace and has provided such policy to all of its employees, directors and board members. Such policy shall, at a minimum, meet the requirements of subdivision 11 of section five hundred seventy-five of the executive law."

The statement required by New York State Finance Law § 139-M subdivision 1.a may be submitted electronically in accordance with the provisions of New York State Finance Law § 163 subdivision 7.

A bid shall not be considered for award, nor shall any award be made to a bidder who has not complied with this section; provided, however, that if the bidder cannot make the foregoing certification, such bidder shall so state and shall furnish with the bid a signed statement which sets forth in detail the reasons therefor.

Any bid hereafter made to the state or any public department, agency or official thereof, by a corporate bidder for work or services performed or to be performed or goods sold or to be sold, where such bid contains the statement required by this section, shall be deemed to have been authorized by the board of directors of such bidder, and such authorization shall be deemed to include the signing and submission of such bid and the inclusion therein of such statement as the act and deed of the corporation.

FREEDOM OF INFORMATION LAW / TRADE SECRETS

During the evaluation process, the content of each bid will be held in confidence and details of any bid will not be revealed (except as may be required under the Freedom of Information Law or other State law). The Freedom of Information Law provides for an exemption from disclosure for trade secrets or information the disclosure of which would cause injury to the competitive position of commercial enterprises. This exemption would be effective both during and after the evaluation process.

Should you feel your firm’s bid contains any such trade secrets or other confidential or proprietary information, you must submit a request to exempt such information from disclosure.