IFB BA24-005.pdf

(Rev. 09/21/23)

INVITATION FOR BIDS

Solicitation (IFB) #BA24-005 Proposals Due/Bid Opening 10/24/2024 at

11:00 AM (EST)

This Solicitation Seeks:

Deer Carcass Removal Services

(FOR “NO BIDS” ONLY)

IF YOU WILL NOT BE BIDDING . . . Check Here

Please also provide the information requested in the boxes below, and RETURN THIS COVER SHEET ONLY via mail, email (Purch-Assist@dot.ny.gov) or fax (518) 457-1593

Facsimile Bids WILL NOT be Accepted (All Bids Must Be Signed)

Company Name and Address (FOR “NO BIDS” ONLY) (Include telephone no. and email address)

Reason for “No Bid” (FOR “NO BIDS” ONLY) (Attach additional page if necessary)

Office of Contract Management Purchasing Office 50 Wolf Road, Suite 1PC

Albany, New York 12232 Tel: (518) 457-4401 Fax: (518) 457-1593

Email: Purch-Assist@dot.ny.gov

Department of Transportation mailto:Purch-Assist@dot.ny.gov mailto:Purch-Assist@dot.ny.gov http://www.dot.ny.gov/

Pursuant to provisions of the State Finance Law or the State Printing Law, sealed proposals will be received at the New York State Department of Transportation (NYSDOT or DOT) for furnishing the commodities or services specified herein.

The Following General Provisions Apply to this Solicitation . . .

1. Sealed bids for the furnishing and delivery of the materials, equipment or services as specified in this Invitation for Bids, will be received by Office of Contract Management Purchasing Office, New York State Department of Transportation, 50 Wolf Road, Suite 1PC, Albany, NY 12232, or electronically, until the date and time established for opening, when they will be publicly opened. All bids must be submitted in accordance with stated requirements.

2. The General Specifications (PUR 102) of NYSDOT Office of

Contract Management Purchasing Office (Legal Affairs Division) are incorporated into this Invitation for Bids (Appendix B) as part of “Stock Exhibit” attached, and are made a part of it, as if set forth fully herein.

3. Sign the bid. By signing (including electronic signatures) you indicate your express authority to sign on behalf of yourself, your company, or other entity, and full knowledge and acceptance of the terms and conditions set forth in the Invitation for Bids, the specifications set forth herein, and any and all Appendices and Exhibits attached hereto. The bid must be completed in the name of the bidder, corporate or other, and must be fully and properly executed by an authorized person.

4. Bid prices on commodities shall be F.O.B. Destination.

5. Bids submitted shall remain in effect for a period of ninety (90) days unless otherwise specified herein. Bids shall remain in effect beyond such period until such time as either an award is made, or the bidder delivers written notice of withdrawal of its bid to the Office of Contract Management Purchasing Office.

6. Mailed Proposals must be submitted in an envelope. All the required information should be recorded on the envelope containing the proposal. In the event a bidder fails to provide such information, NYSDOT Office of Contract Management Purchasing Personnel reserve the right to open the envelope to determine the proper Proposal number, and the time and date of the Bid Opening.

The opening of such bid shall not affect its validity.

Electronic Proposals must be emailed with the required information in the subject line of the email. All the required documents shall be attached, clearly labeled and sent in a manner to allow for ease of separation in the opening and evaluation of bids.

7. If using an overnight courier service (e.g. FedEx, Airborne, UPS Next Day, etc.), enclose the bid in an envelope, then seal and enclose that envelope inside the Courier’s packaging. Clearly indicate on the Courier’s packaging that a bid is enclosed, and the date on which it is due to open.

8. Appendix A, Standard Clauses for all New York State contracts, is attached hereto, and is hereby made a part of any resulting agreement as if set forth fully herein

9. On all bid documents, the words “or equal” are understood to apply where a brand name, trade name, catalog reference or patented commodity is referenced, unless otherwise stated.

10. Cash discount will not be considered in determining low bidder, but discounts of 1% or greater may be taken into consideration in awarding tie bids.

11. Bids received later than the date and time specified will not be considered and will be returned to bidder unopened, unless satisfactory timely bids were not received.

12. Amendments to or withdrawals of bids, received later than the date and time of bid opening may not be considered, however, a bidder who has already been declared the low bidder may further reduce its price. Any or all proposals may be rejected.

13. Prices and information required by the Bid Proposal should be typewritten or printed in ink for legibility. All signatures must be written in ink.

14. Delivery shall be expressed in number of calendar days after receipt of a purchase order.

15. Purchases made by the State of New York are not subject to state or local sales taxes or federal excise taxes. There is no exemption from paying the New York State truck mileage, unemployment insurance, or Federal Social Security taxes. The official NYSDOT purchase order is sufficient evidence to qualify the transaction exempt from sales tax under section 1116(a)(I), Tax Law. For tax-free transactions under the Internal Revenue Code, the New York State registration number is 14740026K.

16. The accounts of the Contractor shall clearly identify the costs of the work performed under an awarded contract and shall be subject to audit within three years of the completion date, by the State, and on Federally Aided Projects, by the Federal Highway Administration.

17. If, subsequent to award of a contract, the Contractor fails to perform satisfactorily and after reasonable notice is unable or unwilling to remedy the poor performance, NYSDOT reserves the right to declare the Contractor in default and terminate for cause immediately upon delivery of notice to the Contractor. Upon such termination for cause, NYSDOT may obtain the required goods or services from other sources with or without formally bidding. For all such purchases of replacement goods or services, the Contractor held in default shall be liable for, and shall promptly reimburse the State upon request, for any actual, auditable additional costs incurred.

. . . June 2020

TABLE OF CONTENTS

RESTRICTED PERIOD & OFFICIAL DESIGNATED

CONTACTS (PLL) … (SRL PG. 3)

FORMAL Q & A PERIOD /

CLARIFICATIONS … (SRL PG. 3)

GENERAL CLAUSES … (SRL PG. 4)

TERMS & CONDITIONS … (SRL PG. 20)

STOCK EXHIBIT … (ATTACHED)

INVITATION FOR BIDS # BA24-005

for … Deer Carcass Removal Services

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 3 of 28

A RESTRICTED PERIOD IS IN EFFECT UNTIL SUCH TIME

AS A PURCHASE ORDER / CONTRACT IS AWARDED

(See Procurement Lobbying Law … Restrictions on Agency Contacts – Page 4)

The Office of Contract Management Purchasing Office is the issuing NYSDOT Office for this solicitation.

All inquiries/communications related to this procurement/contract MUST be addressed as set forth below.

Inappropriate contact through other persons may result in disqualification and rejection of your bid.

ALL COMMUNICATIONS ARE TO BE DIRECTED TO THE “PRIMARY DESIGNATED CONTACT PERSON”

ROBERT BURNS – ROBERT.BURNS@DOT.NY.GOV – 518-485-5718

If the Designated Contact Person indicated above is unavailable, inquiries may be redirected only to the

“SECONDARY DESIGNATED CONTACT PERSON”

DEBRA TREMONT – DEBRA.TREMONT@DOT.NY.GOV – 518-457-1176

In the event neither the Primary nor Secondary Contact Persons are available, inquiries may be directed to the Director of the Office of Contract Management.

CONTACTS / FORMAL Q&A PERIOD

NYSDOT Purchasing Office will accept inquiries and requests for clarification relative to this IFB/Contract until

C.O.B., 10/10/2024 NYSDOT Purchasing Office will issue responses to the inquires and requests for clarification by

10/16/2024 (through formal Amendment issued by the Office of Contract Management Purchasing Office).

The Amendment will be emailed to those bidders expressing interest in the solicitation opportunity and will additionally be posted to the Public Advertisement for this opportunity on NYS Contract Reporter Site (www.nyscr.ny.gov), that same day. Prospective Bidders must register with the NYSCR at www.nyscr.ny.gov in order to receive immediate e-mail notifications about this solicitation opportunity through the Advertisement. Navigate to the “I want to find contracts to bid on” page to register for a free account. To receive e-mail notifications regarding updates to the content or status of the Advertisement, choose the option “Send me notification updates on this” located to the right of the Advertisement for this opportunity.

Responses/clarifications will be provided to Prospective Bidders in the form of a subsequent issuance of Amendment to the IFB, which will become part of the ensuing contract. Unless specifically provided for in writing by the DESIGNATED CONTACT PERSON(S), no further questions will be entertained after this date. In order to facilitate a complete and accurate “Procurement Record,” all questions of substance must be submitted/confirmed in writing (questions can be submitted electronically to the primary designated contact person). To the extent practical, questions should cite the particular relevant bid section and page number. Prospective bidders should note that all questions / clarifications must be submitted during this Q&A Period, and will be a matter of public record (identities redacted).

The prospective bidder should notify the DESIGNATED CONTACT PERSON(S) of any term, condition, etc., that might preclude the vendor from submitting a fully compliant, responsive bid. Bidders are cautioned to read this document thoroughly to become familiar with all aspects of the solicitation and contract requirements.

Prospective Bidders should note that all clarifications and exceptions, including those relating to the specifications, terms, and conditions stated herein are to be resolved prior to the submission of a bid, and accordingly, submission of proposals containing deviations from specification requirements that could have been addressed via this Q&A Process should not be expected to be viewed favorably. Bidders subsequently entering into a contract with the State are expected to comply with all the terms and conditions contained herein.

http://www.nyscr.ny.gov/ http://www.nyscr.ny.gov/

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 4 of 28

GENERAL CLAUSES

PROCUREMENT LOBBYING LAW . . . (RESTRICTIONS on AGENCY CONTACTS) Pursuant to State Finance Law §139-j and §139-k, this solicitation includes and imposes certain restrictions on communications between NYSDOT staff and an offerer/bidder during the procurement process. An offerer/bidder is restricted from making contacts from the earliest notice of intent to solicit offers through final award and approval of the Procurement Contract by NYSDOT and, if applicable, Office of the State Comptroller (“Restricted Period”) to other than designated staff (see notice on preceding page) 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 initial pages of this solicitation. NYSDOT employees are also required to obtain certain information when contacted during the restricted period and make a determination of the responsibility of the offerer/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 (4) year period, the offerer/bidder is debarred from obtaining governmental Procurement Contracts.

Further information regarding Procurement Lobbying in New York can be found at:

www.ogs.ny.gov/aboutOgs/regulations/defaultAdvisoryCouncil.html

The State reserves the right to terminate any contract resulting from this solicitation 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, NYSDOT may exercise its termination right by providing written notification to the Contractor in accordance with the written notification terms of this contract.

The Department further reserves the right while bids are under consideration (i.e. during the “Restricted Period”), to require a conference/demonstration from any bidder under consideration for award at a mutually agreed location, for purposes of evaluating compliance with stated specification requirements, and the Department may employ the use of “Technical Experts” to assist in evaluation. Such conferences/demonstrations are exempt from provisions of Procurement Lobbying Law pursuant to State Finance Law §139-j(3)(a)(3).

NON-COLLUSIVE BIDDING CERTIFICATION

Pursuant to State Finance Law §139-d, by submission of a validated 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 his 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 to submit a bid for the purpose of restricting competition.

http://www.ogs.ny.gov/aboutOgs/regulations/defaultAdvisoryCouncil.html

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 5 of 28

SEXUAL HARASSMENT PREVENTION CERTIFICATION

Pursuant to State Finance Law §139-l, 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 its own organization, under penalty of perjury, 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 section two hundred one-g of the labor law.

STANDARD CLAUSES FOR ALL NEW YORK STATE CONTRACTS (APPENDIX A)

Appendix A — Standard Clauses for all New York State Contracts is attached hereto, and is made a part of this Solicitation and of any resulting contract as if set forth fully at length herein.

MWBE, SDVOB, AND EEO/PAY EQUITY REQUIREMENTS

CONTRACTOR REQUIREMENTS AND PROCEDURES FOR EQUAL EMPLOYMENT BUSINESS PARTICIPATION

OPPORTUNITIES FOR MINORITY GROUP MEMBERS, NEW YORK STATE CERTIFIED MINORITY AND

WOMEN-OWNED BUSINESS ENTERPRISES, AND NEW YORK STATE CERTIFIED SERVICE-DISABLED

VETERAN OWNED BUSINESS ENTERPRISES

PROVISIONS UNDER ARTICLE 15-A

Pursuant to Article 15-A of the New York State Executive Law, the New York State Department of Transportation recognizes its obligation under the law to promote opportunities for maximum feasible participation of certified minority and women-owned business enterprises and the employment of minority group members and women in the performance of Department contracts.

In 2006, the State of New York commissioned a disparity study to evaluate whether minority and women-owned business enterprises had a full and fair opportunity to participate in state contracting. The findings of the study were published on April 29, 2010, under the title “The State of Minority and Women-Owned Business Enterprises: Evidence from New York” (“the Disparity Study”). The report found evidence of statistically significant disparities between the level of participation of minority and women-owned business enterprises in state procurement contracting verses the number of minority and women-owned business enterprises that were ready, willing, and able to participate in state procurements. As a result of these findings, the Disparity Study made recommendations concerning the implementation and operation of the statewide certified minority and women-owned business enterprises program. The recommendations from the Disparity Study culminated in the enactment and the implementation of New York State Executive Law Article 15-A, which requires, among other things, that the Department establishes goals for maximum feasible participation of New York State certified Minority and Women-owned business enterprises (MWBE) and the employment of minority group members and women in the performance of New York State contracts.

Provisions under Article 15-A of the New York State Executive Law (§312), enacted by Chapter 261 of the Laws of 1988, and updated by the 2010 Business Diversification Act, require the inclusion in all State contracts for commodities and services exceeding $25,000 in value of the standard equal employment opportunity clauses set forth in Appendix A. In accordance with Article 15-A of the New York State Executive Law (Participation by Minority Group Members and Women with Respect to State Contracts) and in conformance with the Regulations promulgated by the Minority and Women's Business Development Division of the New York State Department of Economic Development set forth at 5 NYCRR Parts 140-144, the bidder agrees to be bound by the following to promote equality of economic

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 6 of 28 opportunities for minority group members and women, and the facilitation of minority and women-owned business enterprise participation on all covered NYS Department of Transportation contracts:

PROVISIONS UNDER ARTICLE 17-B

New York State Executive Law Article 17-B governs requirements for the participation by certified Service- Disabled Veteran-Owned Business Enterprises (SDVOBs) in New York State contracting. Article 17-B expands opportunities for SDVOB enterprises through increased participation in State procurement.

SDVOB enterprises strongly contribute to the economies of the State and the nation. As defenders of our nation and in recognition of their economic activity in doing business in New York State, bidders for this contract for commodities, services or technology are strongly encouraged and expected to consider SDVOB enterprises in the fulfillment of the requirements of this contract.

Contractors must perform due diligence to provide opportunities for meaningful participation by SDVOB enterprises as subcontractors, service providers, and suppliers in the performance of this contract.

Contractors are reminded that they must also continue to utilize small, minority and women-owned businesses consistent with current State law.

BUSINESS PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED MINORITY- AND

WOMEN-OWNED BUSINESS ENTERPRISES (MWBE) AND NEW YORK STATE CERTIFIED SERVICE-

DISABLED VETERAN OWNED BUSINESS ENTERPRISES (SDVOB)

For purposes of this procurement, the NYS Department of Transportation has conducted a comprehensive search and has determined that the contract does not offer sufficient opportunities to set goals for participation by MWBE and SDVOB as subcontractors, service providers and suppliers to the awarded Contractor. Contractors are however encouraged to make every good faith effort to promote and assist the participation of New York State Certified Minority and Women-owned Business Enterprises (MWBE) and Certified Service-Disabled Veteran-Owned Business Enterprises (SDVOB) on this contract for the provision of services and materials.

To locate New York State Certified MWBE, the directory of certified firms can be viewed at:

https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp

New York State Certified SDVOB can be readily identified via the Division of Service Disabled Veterans’ Business Development SDVOB Directory online at: https://online.ogs.ny.gov/SDVOB/search

Additionally, Bidders are encouraged to contact the Division of Service-Disabled Veterans’ Business Development at (844) 579-7570 or via email at VeteranDevelopment@ogs.ny.gov to discuss additional methods for maximizing participation by SDVOBs on this Contract.

EQUAL EMPLOYMENT OPPORTUNITY (EEO) & PAY EQUITY

By submission of a bid or proposal in response to this solicitation, the Bidder/Contractor agrees with all of the terms and conditions of Appendix A including Clause 12 – Equal Employment Opportunities for Minorities and Women. The Contractor is required to ensure that it and any subcontractors awarded a subcontract over $25,000 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 Contractor, shall undertake or continue programs to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. For these purposes, equal opportunity shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, termination, and rates of pay or other forms of compensation. This requirement https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp https://online.ogs.ny.gov/SDVOB/search mailto:VeteranDevelopment@ogs.ny.gov

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 7 of 28 does not apply to: (i) work, goods, or services unrelated to the Contract; or (ii) employment outside New York State.

Bidder further agrees, where applicable, to submit with the bid a Form EEO 100 Staffing Plan identifying the anticipated work force to be utilized on the Contract and if awarded a Contract, will, upon request, submit to the Department, a workforce utilization report Form EEO 101 Workforce Utilization Report identifying the workforce actually utilized on the Contract if known.

In accordance with Executive Order 162, issued on January 9, 2017, when the prime contract is in excess of $25,000, the contractor shall provide to the Department – on a quarterly, calendar-year basis – detailed workforce utilization reports of the contractor and each subcontractor that include, in addition to equal employment opportunity information, the job title and salary of each employee directly performing work on a State contract. Detailed workforce utilization reports, as required above, shall be submitted in such form and in such manner as shall be required by the Department

If the contractor cannot identify the individuals working directly on a State contract, then the contractor and each subcontractor shall provide such information of each employee in the contractor’s entire workforce.

This provision shall not relieve the contractor’s responsibility to submit payroll certification as it may be elsewhere required in this contract.

Further, pursuant to Article 15 of the Executive Law (the “Human Rights Law”), all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor and sub-contractors will not discriminate against any employee or applicant for employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status, age, disability, predisposing genetic characteristic, marital status or domestic violence victim status, and shall also follow the requirements of the Human Rights Law with regard to non-discrimination on the basis of prior criminal conviction and prior arrest.

The contractor shall include these provisions in every subcontract so that such provisions shall be binding upon each subcontractor.

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.

NEW YORK STATE VENDOR FILE REGISTRATION

Prior to being awarded a contract pursuant to this Solicitation, the Bidder(s) and any designated authorized resellers who accept payment directly from the State, must be registered in the New York State Vendor File (Vendor File) administered by the Office of the State Comptroller (OSC). This is a central registry for all vendors who do business with New York State Agencies and the registration must be initiated by a State Agency. Following the initial registration, unique New York State ten-digit vendor identification numbers will be assigned to your company and to each of your authorized resellers (if any) for usage on all future transactions with New York State. Additionally, the Vendor File enables vendors to use the Vendor Self-Service application to manage all vendor information in one central location for all transactions related to the State of New York.

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 8 of 28

If Bidder is already registered in the New York State Vendor File, list the ten-digit vendor id number on the first page of the Proposal document. Authorized resellers already registered should list the ten-digit vendor id number along with the authorized reseller information.

If the Bidder is not currently registered in the Vendor File an OSC Substitute W-9 Form (www.osc.state.ny.us/vendors/forms/ac3237s_fe.pdf) must be submitted with your bid. In addition, if authorized resellers are to be used, an OSC Substitute W-9 form should be completed and filed by each of the designated authorized resellers. The Office of Contract Management Purchasing Office will initiate the vendor registration process for all Bidders recommended for Contract Award and their authorized resellers. Once the process is initiated, registrants will receive an email from OSC that includes the unique ten-digit vendor identification number assigned to the company and instructions on how to enroll in the online Vendor Self-Service application.

For more information on the vendor file, please visit the following website:

www.osc.state.ny.us/vendor_management/

NEW YORK STATE CAN HELP YOU SECURE SURETY BONDING (INFORMATIONAL)

The NYS Surety Bond Assistance Program (NYSBAP) provides technical and financial assistance to help contractors secure surety bonding. Contractors may be eligible to receive a guarantee of up to 30% to secure a surety bond line, bid bond or a performance and payment bond on State projects. Training is also available to contractors requiring technical support on how to become bond-ready. For more information and to fill out a NYSBAP application, visit http://esd.ny.gov/BusinessPrograms/BondingAssistance.html or contact Empire State Development at (212) 803-3238 or BAP@esd.ny.gov.

PUBLIC OFFICERS LAW

All bidders and bidder employees must be aware of and comply with the requirements of the New York State Public Officers Law, all other appropriate provisions of New York State law and all resultant codes, rules and regulations from State laws establishing standards for business and professional activities of State employees and governing the conduct of firms, associations, and corporations in business with the State. In signing this bid, each bidder guarantees knowledge and full compliance with those provisions for this and any other dealings, transactions, sales, contracts, services, offers, relationships, etc. involving the State and/or State employees. Failure to comply with these provisions may result in disqualification from the bidding process and in other civil or criminal proceedings as required by law.

ETHICS REQUIREMENTS (Contract for Services) 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 this Contract shall be assigned in accordance with all Ethics Requirements. During the Term, no person who is employed by the Contractor or its Subcontractors and who is disqualified from providing services under this Contract pursuant to any Ethics Requirements may share in any net revenues of the Contractor or its Subcontractors derived from this 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 this Contract, and make sure that such employees comply with all applicable laws and prohibitions. The State may request that the http://www.osc.state.ny.us/vendors/forms/ac3237s_fe.pdf http://www.osc.state.ny.us/vendor_management/ http://esd.ny.gov/BusinessPrograms/BondingAssistance.html mailto:BAP@esd.ny.gov

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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 this Contract at any time if any work performed hereunder is in conflict with any of the Ethics Requirements.

CONFLICTS OF INTEREST (Contract for Services) The Contractor has provided a Bidder Assurance of No Conflict of Interest or Detrimental Effect, signed by an authorized executive or legal representative (included in “Forms Exhibit A”) attesting that the Contractor’s performance of the services does not and will not create a conflict of interest with, nor position the Contractor to breach any other contract currently in force with the State of New York, that the Contractor will not act in any manner that is detrimental to any State project on which the Contractor is rendering services.

The Contractor hereby reaffirms the attestations made in its proposal and covenants and represents that there is and shall be no actual or potential conflict of interest that could prevent the Contractor's satisfactory or ethical performance of duties required to be performed pursuant to the terms of this Agreement. The Contractor shall have a duty to notify the Department immediately of any actual or potential conflicts of interest.

In conjunction with any subcontract under this Agreement, the Contractor shall obtain and deliver to the Department, prior to entering into a subcontract, a Vendor Assurance of No Conflict of Interest or Detrimental Effect form, signed by an authorized executive or legal representative of the subcontractor.

The Contractor shall also require in any subcontracting agreement that the subcontractor, in conjunction with any further subcontracting agreement, obtain and deliver to the Department a signed and completed Vendor Assurance of No Conflict of Interest or Detrimental Effect form for each of its subcontractors prior to entering into a subcontract.

The Department and the Contractor recognize that conflicts may occur in the future because the Contractor may have existing, or establish new, relationships. The Department will review the nature of any relationships and reserves the right to terminate this Agreement for any reason, or for cause, if, in the judgment of the Department, a real or potential conflict of interest cannot be cured.

TAX REGISTRATION/CERTIFICATION (Tax Law §5-A – Amended April, 2006) Tax Law § 5-a, as amended April, 2006, requires certain contractors awarded state contracts valued at more than $100,000 to certify to the Department of Taxation and Finance (DTF) that they are registered to collect New York State and local Sales and Compensating Use Taxes. It applies to contracts where the total amount of such persons’ sales delivered into New York State are in excess of $300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification is made, and with respect to any affiliates, subcontractors, or affiliates of subcontractors whose sales delivered into New York State exceeded $300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification is made. This law imposes upon certain contractors the obligation to certify whether or not the contractor, its affiliates, its subcontractors and affiliates of the subcontractors are required to register to collect state sales and compensating use tax. Where required to register, the contractor must also certify that it is, in fact, registered with the Department of Taxation and Finance (DTF).

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The law prohibits the Comptroller, or other approving agency, from approving a contract awarded to a vendor meeting the registration requirements but who is not so registered in accordance with the law.

Contractor certification forms (ST-220-TD and ST-220-CA) and instructions for completing the forms are included in “Forms Exhibit A”. ST-220-TD must be filed with, and returned directly to DTF. Unless the information upon which the ST-220-TD is based changes, this form only needs to be filed ONCE with DTF. If the information changes for the bidder or its affiliate(s), a new ST-220-TD must be filed with DTF.

ST-220-CA must be filed with the Proposal to NYSDOT certifying that the ST-220-TD has been filed with DTF. Vendors may call the Tax Department at 1-800-972-1233 for any and all questions relating to Tax Law § 5-a and relating to a company’s registration status with the Tax Department. For additional information and frequently asked questions, please refer to Publication 223 at:

www.tax.ny.gov/pubs_and_bulls/publications/sales_pubs.htm

The State reserves the right to terminate the resulting 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, NYSDOT may exercise its termination right by providing written notification to the Contractor.

WORKERS’ COMPENSATION INSURANCE AND DISABILITY BENEFITS REQUIREMENTS

Workers’ Compensation Law (WCL) §57 and §220 requires the heads of all municipal and state entities to ensure that businesses applying for permits, licenses or contracts document it has appropriate workers’ compensation and disability benefits insurance coverage.

These requirements apply to both original contracts and renewals, whether the Department is having the work done or is simply issuing the permit, license or contract. Failure to provide proof of such coverage or a legal exemption will result in a rejection of your bid or renewal of contract.

1. Proof of Compliance with Workers’ Compensation Coverage Requirements:

An ACORD form is NOT acceptable proof of workers’ compensation coverage. In order to provide proof of compliance with the requirements of the Workers’ Compensation Law pertaining to workers’ compensation coverage, a contractor shall:

A) Be legally exempt from obtaining Workers’ Compensation insurance coverage; or B) Obtain such coverage from an insurance carrier; or

C) Be a Workers’ Compensation Board-approved self-insured employer or participate in an authorized self-insurance plan.

A Contractor seeking to enter into a contract with the State of New York shall provide one of the following forms to the Department of Transportation (Office of Contract Management Purchasing Office) at the time of bid submission or shortly after the opening of bids:

A) Form CE-200, Certificate of Attestation for New York Entities with No Employees and Certain

Out of State Entities, that New York State Workers’ Compensation and/or Disability Benefits Insurance Coverage is Not Required, which is available on the Workers’ Compensation Board’s website (www.wcb.ny.gov). Reference applicable IFB/RFQ # on the form.

B) Certificate of Workers’ Compensation Insurance:

http://www.tax.ny.gov/pubs_and_bulls/publications/sales_pubs.htm http://www.wcb.ny.gov/

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 11 of 28

1) Form C-l05.2 (9/07) if coverage is provided by the contractor’s insurance carrier, contractor must request its carrier to send this form to the DOT Office of Contract Management Purchasing Office, or

2) Form U-26.3 if coverage is provided by the State Insurance Fund, contractor must request that the State Insurance Fund send this form to the DOT Office of Contract Management Purchasing Office.

C) Form SI-l2, Certificate of Workers’ Compensation Self-Insurance available from the New

York State Workers’ Compensation Board’s Self-Insurance Office.

D) Form GSI-105.2, Certificate of Participation in Workers’ Compensation Group Self-Insurance available from the contractor’s Group Self-Insurance Administrator.

2. Proof of Compliance with Disability Benefits Coverage Requirements:

In order to provide proof of compliance with the requirements of the Workers’ Compensation Law pertaining to disability benefits, a contractor shall:

A) Be legally exempt from obtaining disability benefits coverage; or B) Obtain such coverage from an insurance carrier; or C) Be a Board-approved self-insured employer.

A Contractor seeking to enter into a contract with the State of New York shall provide one of the following forms to the DOT Office of Contract Management Purchasing Office at the time of bid submission or shortly after the opening of bids:

A) Form CE-200, Certificate of Attestation for New York Entities with No Employees and Certain

Out of State Entities, That New York State Workers’ Compensation and/or Disability Benefits Insurance Coverage is Not Required, which is available on the Workers’ Compensation Board’s website (www.wcb.ny.gov). Reference applicable Solicitation or Contract # on the form.

B) Form DB-120.1, Certificate of Disability Benefits Insurance. Contractor must request its business insurance carrier to send this form to the DOT Office of Contract Purchasing Office; or

C) Form DB-120.2, Certificate of Participation in Disability Benefits Group Self-Insurance.

Contractor must obtain, complete and send this form to the DOT Office of Contract Management Purchasing Office; or

D) Form DB-155, Certificate of Disability Benefits Self-Insurance. The Contractor must call the Board’s Self-Insurance Office at (518) 402-0247 to obtain this form.

ALL OF THE ABOVE REFERENCED FORMS, EXCEPT CE-200, SI-12 & DB-155 MUST NAME: the New York State Department of Transportation / the People of the State of New York (50 Wolf Road, Albany, NY 12232) as the Entity Requesting Proof of Coverage (Entity being listed as the Certificate Holder).

WORKERS’ COMPENSATION LAW (WCL) CONTRACTOR DEBARMENT

For any public work contract subject to Article 8 of the New York State Labor Law, such contract, including amendments or renewals that extend the term of an existing contract, cannot be awarded to a vendor or any substantially owned affiliate of a vendor, that is debarred pursuant to WCL Section 141-b. Additionally, a contractor shall be required to replace any subcontractor, at no additional cost to the State, found to be debarred pursuant to WCL Section 141-b during the course of the contract.

http://www.wcb.ny.gov/

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 12 of 28

INSURANCE

In addition to the Worker’s Compensation and Disability Benefits Insurance requirements set forth above, if in furnishing items hereunder the Contractor will perform any installation or training on State property, or if the Contractor is providing Contract for Services hereunder, then the Contractor shall procure and maintain at its own expense and without compensation by the State, until final acceptance by the State of services provided by the contract, insurance for liability for damages imposed by law, of the kinds and in the amounts hereinafter provided, with insurance companies authorized to do such business in the State, covering such on-site work or Contract for Services.

The types and limits of insurance are as follows:

1. COMMERCIAL GENERAL LIABILITY INSURANCE with a limit of not less than $1,000,000 each occurrence ($2,000,000 aggregate).

2. COMPREHENSIVE BUSINESS AUTOMOBILE LIABILITY INSURANCE with a limit of not less than $1,000,000 each accident. Such liability insurance is to cover liability arising out of any vehicle including owned, leased, hired, and non-owned vehicles bearing, or required by NYS Vehicle and Traffic Law to bear license plates.

Before commencing work, the Contractor shall furnish to the State a certificate or certificates of insurance in form satisfactory to the State showing compliance with this paragraph, which certificate or certificates are to name the “State of New York/New York State Department of Transportation and their agents or employees” as additional insured. Such policies may not be changed or canceled until thirty (30) days written notice has been given to the State.

The Contractor shall procure, at its own sole cost and expense, and shall maintain in force at all times during the term of this contract including any extensions or renewals until final payment is disbursed, the policies of insurance covering all operations under the contract whether written by companies authorized by the New York State Insurance Department to issue insurance in the State of New York and that have an A.M. Best Company rating of (A -) or better or approved by the Department. The Contractor shall deliver to the Department evidence of such policies as the Department deems necessary to verify that the required insurance is in effect.

Certificates or transmittal correspondence shall reference the NYSDOT Contract Number. Contractor is strongly encouraged to transmit certificates and other materials concerning insurance coverage, referencing the contract number and the name of the Contractor in the Subject Line, by email to:

Purch-Assist@dot.ny.gov

Certificates may also be mailed to the:

New York State Department of Transportation Main Office of Contract Management Purchasing Office 50 Wolf Road, Suite 1PC Albany, NY 12232

CONSULTANT REPORTING REQUIREMENTS

If this solicitation seeks offers in relation to a contract for analysis; evaluation; research; training; data processing; computer programming; engineering; environmental, health, and/or mental health services;

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 13 of 28 accounting; auditing; legal, paralegal or similar services, State of New York Consultant Contract Disclosure Requirements (established by Chapter 10 of the Laws of 2006) apply. Under these requirements, “Consultants” are required to disclose, by employment occupational category, the number of persons employed to provide services under a contract, the number of hours worked and the amount paid to the contractor by the State as compensation for work performed by these employees.

REMANUFACTURED, RECYCLED, RECYCLABLE OR RECOVERED MATERIALS

In accordance with the laws of the State of New York, use of recycled, recyclable, or recovered materials in the manufacture of products and packaging is encouraged to the maximum extent practicable without jeopardizing the performance or intended end use of the product or packaging unless such use is precluded due to health, welfare, safety requirements or in the Bid Specifications. Bidders are further encouraged to offer remanufactured products to the maximum extent practicable without jeopardizing the performance or intended end use of the product and unless such use is precluded due to health, welfare, safety requirements or by the Bid Specifications. Where such use is not practical, suitable, or permitted by the Bid Specifications, new materials shall be furnished.

CONFLICT OF TERMS AND CONDITIONS

In the event of conflict of terms and conditions between documents incorporated herein, the following order of precedence shall control:

1) Standard Clauses for All NYS Contracts (Appendix A)

2) This Invitation For Bids (IFB)

3) NYSDOT General Specifications (Publication PUR 102)

4) Other Appendices and Attachments to this IFB

5) Federal Clauses (If Incorporated)

6) Bidder’s Bid

RESPONSIBILITY

The Contractor shall at all times during the Contract term remain responsible. The Contractor agrees, if requested by the Commissioner of the Department of Transportation or his or her designee, to present evidence of its continuing legal authority to do business in New York State, integrity, experience, ability, prior performance, and organizational and financial capacity.

SUSPENSION OF WORK (FOR NON-RESPONSIBILITY)

The Commissioner of Transportation or his or her designee, in his or her sole discretion, reserves the right to suspend any or all activities under this Contract, at any time, when he or she discovers information that calls into question the responsibility of the Contractor. In the event of such suspension, the Contractor will be given written notice outlining the particulars of such suspension. Upon issuance of such notice, the Contractor must comply with the terms of the suspension order. Contract activity may resume at such time as the Commissioner of Transportation or his or her designee issues a written notice authorizing a resumption of performance under the Contract.

TERMINATION (FOR NON-RESPONSIBILITY)

Upon written notice to the Contractor, and a reasonable opportunity to be heard with appropriate Department officials or staff, the Contract may be terminated by the Commissioner of Transportation or his

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 14 of 28 or her designee at the Contractor’s expense where the Contractor is determined by the Commissioner of Transportation or his or her designee to be non-responsible. In such event, the Commissioner or his or her designee may complete the contractual requirements in any manner he or she may deem advisable and pursue available legal or equitable remedies for breach.

VENDOR RESPONSIBILITY QUESTIONNAIRE

Bidders are invited to file the required Vendor Responsibility Questionnaire online via the New York State Vend/Rep System, or may choose to complete and submit a paper questionnaire. The New York State (OSC) Vendor Responsibility Web Site may be accessed at www.osc.state.ny.us/vendrep. This site provides for “One-Stop Shopping” for all matters related to NYS Vendor Responsibility, including enrollment, instructions, email inquiries, FAQ’s and more. For direct VendRep System user assistance, the OSC Help Desk may be reached at (866) 370-4672 or (518) 408-4672 or by e-mail at helpdesk@osc.state.ny.us.

Bidders opting to file a paper questionnaire can obtain the appropriate questionnaire from DOT Contract Management Purchasing Office by calling (518) 457-4401 or via email from the Contract Management Specialist(s) listed on the face page of this Solicitation. The Bidder acknowledges that NYSDOT’s execution of a Contract will be contingent upon its determination that the Bidder is “Responsible,” and that NYSDOT will be relying partly upon the Bidder’s responses to the Questionnaire in making a responsibility determination. The Department will conduct a Bidder Responsibility Review prior to considering any bidder for award of a contract or contracts, and also reserves the right to require references from bidders and additional supporting information related to Questionnaire responses. Upon documented verification of negative financial and/or organizational capacity; integrity; and/or performance indicators, the Department may recommend denial of award. If it is found that the Bidder’s responses to the Questionnaire were intentionally false or incomplete, on such finding, the Contract may be terminated by provision of ten

(10) days written notification to the Contractor. In no case shall such termination of the Contract hereunder be deemed a breach thereof, nor shall the State be liable for any damages for lost profits or otherwise, which may be sustained by the Contractor as a result of such termination.

BIDDING (BID PROPOSAL FORMS)

Each bid must be typewritten or in indelible ink and legibly submitted on the designated forms provided separately (and must be signed in indelible ink). If the Department provides one, or several, Bidders Worksheet(s) in electronic form for bid submission, a bidder MUST enter all pricing information into the electronic version (excel spreadsheet) of the Bidders Worksheet(s) in the entry fields so provided, in the format provided. A bidder must also utilize electronic formula functions, without altering such formulas or functions, of the Bidders Worksheet(s) as instructed herein, and as instructed within any applicable or referenced document(s).