IFB 2026-01 Water Treatment Queensboro.pdf

IMPORTANT NOTICE TO POTENTIAL BIDDERS: Receipt of these bid documents does not indicate the New York State Department of Corrections and Community Supervision (DOCCS) 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.

DESIGNATED CONTACTS:

Pursuant to State Finance Law §139-j and §139-k, the Department of Corrections and Community Supervision identifies the following designated contacts to whom all communications concerning this procurement must be made. See Section 1.4 – Designated Contacts for additional information.

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

Primary Contact Secondary Contact Joseph Allen Anita Sangar New York State Department of Corrections and Community Supervision

New York State Department of Corrections and Community Supervision

Institution Steward Head Account Clerk 47-04 VanDam Street 47-04 VanDam Street Telephone: 718-361-8920 ext. 3100 Telephone: 718-361-8920 ext. 3200 Email: joseph.allen2@doccs.ny.gov Email: anita.sangar@doccs.ny.gov

KATHY HOCHUL

Governor

DANIEL F. MARTUSCELLO III

Commissioner

Invitation For Bids IFB #2026-01

Water Treatment – Queensboro Facility

Issue Date: August 25, 2026

RSVP for Site Visit: September 8, 2026 by 1:00pm EST Site Visit: September 9, 2026 at 9:00am EST

Bidder Questions Due: September 16, 2026 by 5:00pm EST Responses to Bidder Questions (estimated): September 25, 2026

Bid Due Date & Time: October 7, 2026 by 1:00pm EST Contract Period: January 1, 2027 – December 31, 2031

IFB #2026-01 – Water Treatment – Queensboro Facility 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- Owned Business Enterprise (WBE)

NYS Certified Service- Disabled Veteran Owned Business

(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:

https://ogs.ny.gov/acpl/

IFB #2026-01 – Water Treatment – Queensboro Facility 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.

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 4

CHECKLIST FOR IFB #2026-01

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

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 Forms available at: https://otda.ny.gov/contracts/mwbe/forms.asp https://ogs.ny.gov/veterans/forms https://doccs.ny.gov/system/files/documents/2019/12/eeo100.pdf

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

Notes to Bidders and Questions

Procurement Lobbying Certification

NYS Required Certifications: EO 177

State Finance Law § 139-l

EO 16: Prohibiting State Agencies and Authorities from Contracting with Businesses Conducting Business in Russia

Vendor Assurance of No Conflict of Interest or Detrimental Effect

Gender-Based Violence and the Workplace Certification

Contractor Certification Forms (Must Be Notarized) Form ST-220-CA

Signature: Date:

Print Name: Name of Company:

https://otda.ny.gov/contracts/mwbe/forms.asp https://ogs.ny.gov/veterans/forms https://doccs.ny.gov/system/files/documents/2019/12/eeo100.pdf

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 5

Table of Contents

1 INTRODUCTION

1.1. Overview

1.2. Notice to Bidders

1.3. Key Event/Dates

1.4. Designated Contacts

1.5. Mandatory Site Visit

1.6. Submission of Written Questions

1.7. Definitions

1.8. Ethics Compliance

1.8.1. Procurement Lobbying Act

1.8.2. Procurement Lobbying Termination

1.8.3. Non-Collusive Bidding Certification

1.8.4. Conflict of Interest

1.8.5. Ethics Requirements

1.9. Pre-Bid Conference

1.10. NYS Contract Reporter

1.11. Debriefing

1.12. NYS Comptroller Approval

1.13. Appendix A

1.14. Appendix B

1.15. Appendix C

1.16. Conflict of Terms and Conditions

1.17. DOCCS’ Reserved Rights

1.18. 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

1.19. Participation Opportunities for New York State Certified Service-Disabled Veteran-Owned Businesses

1.20. Executive Order Number 16

1.21. Executive Order Number 177

1.22. Non-Disclosure Agreement

2 BIDDER QUALIFICATIONS

3 SCOPE OF WORK

3.1. Applicable Codes and Standards

3.2. Products

3.3. Installation

3.4. Testing

3.5. Startup and Training

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 6

3.6. Continuous Service

3.7. Performance

3.8. Warranty

4 BID SUBMISSION

4.1. Price

4.2. Submittals

4.3. Optional Submittals

4.4. Rejection

4.5. Alternate Bids

4.6. Minor Deviations/Minor Technicality

4.7. “Or Equal”

5 METHOD OF AWARD

6 TERMS AND CONDITIONS

6.1. Contract Term

6.2. Contract Payments

6.3. Billing

6.4. Interest

6.5. Termination

6.6. Indemnification

6.7. Contractor Insurance Requirements

6.8. References:

6.9. Financial Stability:

6.10. General Requirements:

6.11. Dispute Resolution Policy

6.12. Tax Law § 5-A

6.13. Termination for Violation of Revised Tax Law 5a

6.14. Mercury-Added Consumer Products

6.15. Sexual Harassment Prevention

6.16. Gender-Based Violence and the Workplace

6.17. New York State Vendor File Registration

6.18. NYS Vendor Responsibility Questionnaire

6.19. Freedom of Information Law (“FOIL”) /Trade Secrets

6.20. Subcontracting

6.21. Public Officers Law

APPENDICES

Appendix A – Standard Clauses for NYS Contracts (June 2023) Appendix B – General Specifications (August 2012) Appendix C – MWBE Policy

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 7

1 INTRODUCTION

1.1. Overview

New York State (NYS) Department of Corrections and Community Supervision (DOCCS) is issuing this Solicitation to provide the Queensboro facility located at 47-04 VanDam Street, Long Island City, NY 11101 with Water Treatment Services. The term of the resulting contract will be up to five (5) years. The Bidder must have five (5) years experience with treatment of potable water systems for institutional facilities. This Solicitation outlines the terms and conditions, and all applicable information required for submitting a bid. Bidders should pay strict attention to the bid submission date and time to prevent disqualification. Bidders are strongly encouraged to read the language of this Solicitation and all attachments thoroughly and to precisely follow the instructions included in the Solicitation.

Contractor shall furnish all labor, materials, supplies, equipment, tools, supervision, transportation, licenses, permits, certifications, insurance, and all incidentals to complete the work for the services described in this Solicitation including design, installation, preventative maintenance, inspection, calibration, reporting, and testing of a Commercial-grade NSF 61 compliant copper-silver ionization (CSI) water disinfection system system to achieve Legionella compliance on the domestic hot water service located in DOCCS Queensboro Correctional Facility. The awarded Contractor shall provide onsite services as specified herein (See Section 3 – SCOPE OF WORK).

IMPORTANT NOTICE TO POTENTIAL BIDDERS: Receipt of these bid documents does not indicate that the NYS Department of Corrections and Community Supervision (DOCCS) 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.

1.2. Notice to Bidders

The New York State Department of Corrections and Community Supervision (DOCCS) 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:

A. Bid Preparation

Prepare your bid 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.

B. 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 those pages for your own reference.

C. Bid Delivery

Bidders assume all risks for timely, properly submitted deliveries. Bidders are strongly encouraged to arrange for delivery of bids to New York State Department of Corrections and Community Supervision (DOCCS) no later than the due date and time listed in the Calendar of Events. LATE BIDS may be rejected. Email bid submissions are not acceptable and will not be considered.

1. 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:

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 8

State of New York Department of Corrections and Community Supervision

Attn: Joseph Allen 47-04 Van Dam Street

Long Island City, NY 11101 IFB #2026-01 – Water Treatment – Queensboro Facility

2. FAX transmittals Facsimile transmittals are NOT acceptable for this Solicitation.

3. 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.

D. Important Building Access Procedures

Bidders attending bid openings must pre-register for building access by contacting Joseph Allen at 718-361-8920 ext. 3100 or by email at joseph.allen2@doccs.ny.gov at least 24 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.

1.3. Key Event/Dates

The table below outlines the schedule for important action dates. If the State finds it necessary to change any of these dates, notification will be accomplished through an addendum to this IFB.

Issue Date: August 25, 2026

RSVP for Site Visit: September 8, 2026 by 1:00pm EST Site Visit: September 9, 2026 at 9:00am EST

Bidder Questions Due: September 16, 2026 by 5:00pm EST

Responses to Bidder Questions (estimated): September 25, 2026 Bid Due Date & Time: October 7, 2026 by 1:00pm EST

Contract Period: January 1, 2027 – December 31, 2031

1.4. Designated Contacts

Contacting anyone other than the Designated Contact(s) (found on the cover page of this

Solicitation) may result in rejection of your bid. See Section 1.8.1 - Procurement Lobbying Act.

All questions on this Solicitation should be submitted in writing no later than the date specified in

Section 1.3 - Key Event/Dates. See Section 1.6 – Submission of Written Questions for additional information.

1.5. Mandatory Site Visit

Each bidder must visit the site prior to the bid opening to become familiar with the facilities at the agency. See “Site Inspection” in Appendix B, General Specifications.

Bidders intending to submit a bid will be required to attend a mandatory site visit, which will include an informational meeting and a tour of the Facility on September 9, 2026 at 9:00am EST. The site visit location is at Queensboro Correctional Facility 47-04 VanDam Street, Long Island City, NY 11101. This is the only date and time available for inspection. Alternate dates for additional site

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 9 inspections will not be available. It is recommended that attendees arrive at least thirty minutes prior to the scheduled time of the site visit with photo identification.

Due to security restrictions, all Bidders must pre-register for the site visit by contacting a Deignated

Contact listed on the cover page of this Solicitation by e-mailing a Designated Contact by September 8, 2026 by 1:00pm EST.

Failure to attend the mandatory site visit will result in rejection of the bid. Prospective bidders arriving after the substantive portion of the site visit begins (as reasonably determined by the facility manager) will be precluded from attending the site visit, and therefore unable to submit a responsive bid.

In accordance with State Finance Law §139-j(3)(a)(3), this mandatory site visit is covered by the permissible subject matter authorization. A vendor is authorized to speak with representatives other than a Designated Contact for the sole purpose of the site visit (to arrange attendance, during the conduct of the visit and to pose questions regarding the site).

The site visit will provide an opportunity for Bidders to see firsthand the existing equipment, the tasks to be performed and the special needs of the facility. Questions during the site visit will be permitted. It is suggested that the bidder note the question and ask at the end of the tour. Completion of the Site Visit Verification Form is required and will be available to sign at the time of the site visit.

Verbal answers are not official answers. All questions asked at the site visit or after the tour must be submitted via email to a Designated Contact for this Solicitation no later than September 16, 2026 by 5:00pm EST. Official answers to all questions will be distributed in the form of an addendum via email to all attendees of the mandatory site visit. Only answers provided by addendum are considered official.

NOTE: If there are any questions Bidders would like addressed at the site visit, Bidders should submit them in writing, to a Designated Contact prior to the date of the site visit.

1.6. Submission of Written Questions

Bidders are cautioned to read this document thoroughly to become familiar with all aspects of the bid. Bidders should notify a Designated Contact, listed on the cover page of this Solicitation, of any term, condition, etc., that precludes the vendor from submitting a compliant, responsive 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.

All questions should be submitted in writing no later than the date specified in Section 1.3 - Key

Event/Dates. Vendors should email questions to a Designated Contact listed on the cover page of this Solicitation. Bidders entering into a contract with the State are expected to comply with all the terms and conditions contained herein. Responses to all written questions of a substantive nature will be available to all Prospective Bidders in the form of a formal addendum which will become part of the ensuing contract. Questions submitted after the deadline indicated may not be answered.

Official answers to all written questions will be advertised as an addendum and posted in the New

York State Contract Reporter (NYSCR) (http://www.nyscr.ny.gov/) on or about the date listed in Section 1.3 - Key Event/Dates. Only responses provided by an addendum are considered official.

Any amendments, clarifications, responses to questions, and updates to this Solicitation will be posted on the NYSCR. It is each Bidder’s responsibility to visit the above website prior to submitting a bid to determine if any addenda have been issued regarding this Solicitation.

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 10

1.7. Definitions

Capitalized terms used in this Solicitation shall be defined in accordance with Appendix B, Definitions, or as below.

“Business Day” shall refer to Monday through Friday, excluding NYS Holidays and federal holidays.

“Business Hours” shall refer to 8:00 AM to 5:00 PM ET on Business Days.

“Contractor” shall refer to a supplier of CSI technology systems, responsible for sales, distribution, and optionally offering service contracts for installation, maintenance, and system support.

“Customer” shall mean DOCCS facility that participates in the contract.

“DHW” shall refer to Domestic Hot Water.

“DHW Zone” A designated area where hot water makers are assigned to a single, isolated DHW loop that operates independently without mixing with other DHW zones.

“Disinfection” Legionella bacterial reduction and/or growth control.

“DOCCS” shall mean Department of Corrections and Community Supervision.

“IPS” shall refer to Iron Pipe Size / CTS: Copper Tube Size.

“Manufacturer” Entity responsible for designing, producing, and assembling CSI technology systems, ensuring compliance with industry standards, durability, and performance for Legionella control in potable water applications.

“May” shall denote the permissive in this Solicitation or a resulting Contract, clause, or specification.

“May” does not mean “required”. See also “Shall” and “Must”.

“Must” shall denote the imperative in this Solicitation or a resulting contract, clause, or specification.

“Must” is synonymous with “required”. See also “Shall” and “May”.

“MWBE” shall refer to a business certified with NYS Empire State Development (“ESD”) as a Minority- and/or Women-owned Business Enterprise.

“NYS Holidays” refers to the legal holidays for State employees in the classified service of the executive branch, as more particularly specified on the website of the NYS Department of Civil Service. This includes the following: New Year’s Day; Dr. Martin Luther King, Jr. Day; Washington’s Birthday (observed); Memorial Day; Juneteenth; Independence Day; Labor Day; Columbus Day;

Veterans’ Day; Thanksgiving Day; and Christmas Day.

“NYS Vendor File” shall refer to a centralized repository to maintain timely and reliable information on all Contractors registered to do business with the State. The Office of the State Comptroller’s (OSC’s) Bureau of State Expenditures created the Vendor Management Unit (VMU) to manage this file.

“NYS Vendor ID” is a unique ten-character identifier issued by OSC when the vendor is registered on the Vendor File System.

“PLC” shall refer to Programmable Logic Controller / HMI: Human Machine Interface.

“SDVOB” shall refer to a NYS-certified Service-Disabled Veteran-Owned Business.

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 11

“Shall” shall denote the imperative in this Solicitation or a resulting contract, clause, or specification.

“Shall” is synonymous with “required”. Also see “Must” and “May”.

“TCP/IP” shall refer toTransmission Control Protocol (TCP) supporting the Internet Protocol (P) Suite.

“VAC” shall refer to Volts of Alternate Current.

“VDC” shall refer to Volts of Direct Current.

1.8. Ethics Compliance

1.8.1. Procurement Lobbying Act

Pursuant to State Finance Law §§139-j and 139-k, this solicitation includes and imposes certain restrictions on communications between DOCCS 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 DOCCS, 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, are identified on the cover page of this Solicitation.

DOCCS 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: https://ogs.ny.gov/acpl/.

“Restricted period” means the period of time commencing with the earliest written notice, advertisement, or solicitation of a Request for Proposals (“RFP”), Invitation for Bids (“IFB”), or solicitation of proposals, or any other method for soliciting a response from Bidders intending to result in a procurement contract with DOCCS and ending with the final contract award and approval by DOCCS and, where applicable, final contract approval by the Office of the State Comptroller.

This prohibition applies to any oral, written, or electronic communication under circumstances where a reasonable person would infer that the communication was intended to influence this procurement. Violation of any of the requirements described in this Section may be grounds for a determination that the bidder is non-responsible and therefore ineligible for this contract award. Two (2) violations within four (4) years of the rules against impermissible contacts during the “restricted period” may result in the violator being debarred from participating in DOCCS procurements for a period of four (4) years.

1.8.2. Procurement Lobbying Termination

DOCCS reserves the right to terminate any contract resulting from this solicitaiton in the event it is found that the certification filed by the Offerer/Bidder in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such finding, DOCCS may exercise its termination right by providing written notification to the Offerer/Bidder in accordance with the written notification terms of any resulting contract.

1.8.3. 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:

https://ogs.ny.gov/acpl/

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 12

(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 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).

1.8.4. Conflict of Interest

Bidder must disclose any existing or contemplated relationship with any other person or entity, including relationships with any member, shareholders of 5% or more, parent, subsidiary, or affiliated firm, which would constitute an actual or potential conflict of interest or appearance of impropriety, relating to other clients/customers of the Respondent or former officers and employees of the Agencies and their Affiliates, in connection with your rendering services enumerated in this solicitation. If a conflict does or might exist, please describe how your Staffing Firm would eliminate or prevent it. Indicate what procedures will be followed to detect, notify the Agencies of, and resolve any such conflicts.

Bidder must disclose whether it, or any of its members, shareholders of 5% or more, parents, affiliates, or subsidiaries, have been the subject of any investigation or disciplinary action by the New York State Commission on Public Integrity or its predecessor State entities (collectively, "Commission"), and if so, a brief description must be included indicating how any matter before the Commission was resolved or whether it remains unresolved.

Additionally, a Bidder will be required to submit the Vendor Assurance of No Conflict of Interest or Detrimental Effect form located within this solicitation as evidence of compliance with the foregoing.

1.8.5. Ethics Requirements

Contractors, consultants, vendors, and subcontractors may hire former State Agency or Authority employees. However, as a general rule and in accordance with New York Public Officers Law, former employees of the State Agency or Authority may neither appear nor practice before the State Agency or Authority, nor receive compensation for services rendered on a matter before the State Agency or Authority, for a period of two years following their separation from State Agency or Authority service. In addition, former State Agency or Authority employees are subject to a "lifetime bar" from appearing before the State Agency or Authority or receiving compensation for services regarding any transaction in which they personally participated, or which was under their active consideration during their tenure with the State Agency or Authority.

The Contractor and its Subcontractors shall not engage any person who is, or has been at any time, in the employ of the State to perform services in violation of the provisions of the New York Public Officers Law, other laws applicable to the service of State employees, and the rules, regulations, opinions, guidelines, or policies promulgated or issued by the New York State Joint Commission on Public Ethics, or its predecessors (collectively, the "Ethics Requirements"). The Contractor certifies that all of its employees and those of its Subcontractors who are former employees of the State and who are assigned to perform services under any resultant contract shall be assigned in accordance with all Ethics Requirements.

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 13

During the Term, no person who is employed by the Contractor or its Subcontractors and who is disqualified from providing services under any contract resulting from this solicitation pursuant to any Ethics Requirements may share in any net revenues of the Contractor or its Subcontractors derived from the contract. The Contractor shall identify and provide the State with notice of those employees of the Contractor and its Subcontractors who are former employees of the State that will be assigned to perform services under the contract, and make sure that such employees comply with all applicable laws and prohibitions.

The State may request that the Contractor provide it with whatever information the State deems appropriate about each such person's engagement, work cooperatively with the State to solicit advice from the New York State Joint Commission on Public Ethics, and, if deemed appropriate by the State, instruct any such person to seek the opinion of the New York State Joint Commission on Public Ethics. The State shall have the right to withdraw or withhold approval of any Subcontractor if utilizing such Subcontractor for any work performed hereunder would be in conflict with any of the Ethics Requirements. The State shall have the right to terminate any resultant contract at any time if any work performed hereunder is in conflict with any of the Ethics Requirements.

1.9. Pre-Bid Conference

See Section 1.5 - Mandatory Site Visit.

1.10. NYS Contract Reporter

Bidders must register with the New York State Contract Reporter (“NYSCR”) at https://www.nyscr.ny.gov in order to receive notifications about this solicitation. Navigate to the “I want to find contracts to bid on” page to register for your free account. In order to receive e-mail notifications regarding updates to the content or status of a particular ad, you must “bookmark the ad” on the upper right hand side of the ad, then return to your Account, view your list of bookmarked ads, and then select “send me notification updates” option listed to the right of the ad. Answers to all questions of a substantive nature will be posted in the form of a question and answer document and released through the NYSCR. Any updates to solicitation documents will also be posted and released through the NYSCR.

If you do not opt-in to receive notification updates regarding a particular ad, you may not receive e-mail notifications regarding updates, including e-mail notifications regarding the posting of the question and answer document and updates to solicitation documents.

Be advised that submission of responses to the solicitation that do not reflect and take into account updated information may result in your bid being deemed non-responsive to the Solicitation.

1.11. 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 Contacts identified in the Solicitation.

1.12. NYS Comptroller Approval

In accordance with Section 112 of the State Finance Law, a contract resulting from this Solicitation shall not be valid, effective or binding upon DOCCS until such contract has been approved by the Office of the New York State Comptroller (“OSC”). Purchase orders or other procurement transactions issued under such contract(s) may also be subject to OSC approval.

https://www.nyscr.ny.gov/

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1.13. 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.

1.14. Appendix B

Appendix B, General Specifications, 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.

1.15. Appendix C

Appendix C, CONTRACTOR REQUIREMENTS FOR EEO AND MWBE, attached hereto 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.

1.16. Conflict of Terms and Conditions

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

a) Appendix A, Standard Clauses for New York State Contracts;

b) This Invitation for Bid;

c) Appendix B, General Specifications;

d) All other appendices and attachments to the Solicitation

1.17. DOCCS’ Reserved Rights

NYS DOCCS reserves the rights for the following:

1. Reject any and all bids received in response to this Solicitation.

2. Withdraw the Solicitation at any time, at the agency’s sole discretion;

3. Make an award under the Solicitation in whole or in part;

4. Disqualify any Bidder whose conduct and/or bid fails to conform to the requirements of the

Solicitation;

5. Seek clarifications and revisions of bids;

6. Use bid information obtained through site visits, management interviews and the state’s investigation of a Bidder’s qualifications, experience, ability or financial standing, and any material or information submitted by the Bidder in response to the agency’s request for clarifying information in the course of evaluation and/or selection under the Solicitation;

7. Prior to the bid opening, amend the Solicitation specifications to correct errors or oversights, or to supply additional information, as it becomes available;

8. Prior to the bid opening, direct Bidders to submit bid modifications addressing subsequent Solicitation addendums and amendments;

9. Change any of the scheduled dates;

10. Eliminate any mandatory, non-material specifications that cannot be complied with by all of the prospective Bidders;

11. Waive any requirements that are not material;

12. Negotiate with the successful Bidder within the scope of the Solicitation in the best interest of the State;

13. Conduct contract negotiations with the next lowest responsible Bidder, should the Department be unsuccessful in negotiating with the selected Bidder;

14. Utilize any and all ideas submitted in the bids received;

15. Every offer shall be firm and not revocable for a period of 90 days from the bid opening, to the extent not inconsistent with Section 2-205 of the Uniform Commercial Code. Subsequent to such 90 days, any offer is subject to withdrawal communicated in writing and signed by the offeror, and;

16. Require clarification at any time during the procurement process and/or require correction of arithmetic or other apparent errors for the purpose of assuring a full and complete

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 15 understanding of an offeror’s bid and/or to determine an offeror’s compliance with the requirements of the Solicitation.

1.18. 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 on any contract resulting from this solicitation 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 solicitation, the Bidder agrees that DOCCS may withhold payment pursuant to any contract awarded as a result of this solicitation 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.

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 Contacts for this solicitation. 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.

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

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 quarter basis as required during the term of the contract.

Pursuant to Executive Order #162, contractors and subcontractors will also be required to report the gross wages paid to each of their employees for the work performed by such employees on the contract utilizing the Workforce Utilization Report on a 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 sub-contractors will not discriminate against any employee or applicant for employment because of race, creed

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 17

(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 nonresponsiveness, 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.

1.19. Participation Opportunities for New York State Certified Service-Disabled Veteran-

Owned Businesses Veterans Services Law Article 3 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.

For purposes of this procurement, DOCCS conducted a comprehensive search and determined that the contract does not offer sufficient opportunities to set specific goals for participation by SDVOBs as subcontractors, service providers, and suppliers to Contractor. Nevertheless, Bidder/Contractor is encouraged to make good faith efforts to promote and assist in the participation of SDVOBs on the contract for the provision of services and materials. The directory of New York State Certified SDVOBs can be viewed at: https://ogs.ny.gov/veterans/.

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/Contractors are strongly encouraged and 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.

Bidder/Contractor is encouraged to contact the Office of General Services’ Division of Service-

Disabled Veteran’s Business Development at 518-474-2015 or VeteransDevelopment@ogs.ny.gov to discuss methods of maximizing participation by SDVOBs on the contract.

1.20. 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.

Pursuant to Executive Order 16, all Bidders responding to this solicitation shall complete the

Certification form located within this solicitation certifying the status of their business operations in Russia, if any.

1.21. 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 Solicitation as evidence of compliance with the foregoing and submit with bid.

https://ogs.ny.gov/veterans/ https://www.governor.ny.gov/executive-order/no-16-prohibiting-state-agencies-and-authorities-contracting-businesses-conducting https://www.governor.ny.gov/executive-order/no-16-prohibiting-state-agencies-and-authorities-contracting-businesses-conducting https://www.governor.ny.gov/sites/governor.ny.gov/files/atoms/files/EO177.pdf

IFB #2026-01 – Water Treatment – Queensboro Facility PAGE 18

1.22. Non-Disclosure Agreement

Upon contract award, the Contractor will be required to sign a non-disclosure agreement.

1. No-Use – Recipient agrees not to use the confidential information in anyway, except for the purpose of the projects or assignments they are performing for DOCCS.

2. No Disclosure – Recipient agrees to use its best efforts to prevent and protect the confidential information, or any part thereof, from disclosure to any person other than Recipient’s employees and/or consultants designated by DOCCS having a need of disclosure in connection with Recipients’ authorized use of the confidential information. This includes employees and consultants that may not be directly working on the project or job.