IFB BA26-012 Region 8 Traffic Signs.pdf

(Rev. 11/03/25)

INVITATION FOR BIDS

Solicitation (IFB) #BA26-012 Proposals Due/Bid Opening 10/05/2026 at

11:00 AM (EST)

This Solicitation Seeks:

Region 8 Traffic Signs

(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

Pursuant to provisions of the State Finance Law or the State Printing Law, sealed proposals will be received

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 mailto:Purch-Assist@dot.ny.gov http://www.dot.ny.gov/ 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. 21)

DETAILED SPECIFICATIONS … (SRL PG. 24)

STOCK EXHIBIT … (ATTACHED)

INVITATION FOR BIDS # BA26-012

for … Region 8 Traffic Signs

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 4 of 33

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 5)

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”

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

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

“SECONDARY DESIGNATED CONTACT PERSON”

MELANIE MARTIN – MELANIE.MARTIN@DOT.NY.GOV – 518-457-3508

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., 09/16/2026 NYSDOT Purchasing Office will issue responses to the inquires and requests for clarification by

09/23/2026 (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/

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 5 of 33

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 6 of 33

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.

GENDER-BASED VIOLENCE IN THE WORKPLACE CERTIFICATION

Pursuant to NYS State Finance Law §139-M, by submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the case of a joint bid each party thereto certifies as to its own organization, under penalty of perjury, that the bidder has and has implemented a written policy addressing gender-based violence and the workplace and has provided such policy to all of its employees, directors and board members. Such policy shall, at a minimum, meet the requirements of subdivision 11 of section five hundred seventy-five of the executive law.

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 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-

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 7 of 33 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 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 3

New York State Veterans' Services Law Article 3 governs requirements for the participation by certified Service-Disabled Veteran-Owned Business Enterprises (SDVOBs) in New York State contracting. Article 3 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 hereby establishes a goal of:

1 % for Minority-Owned Business Enterprises (“MBE”) participation; and

8 % for Women-Owned Business Enterprises (“WBE”) participation; and

6 % for Service-Disabled Veteran-Owned Business Enterprises (“SDVOB”) participation based on the current availability of qualified MWBE and/or SDVOB. For purposes of this procurement, the term “Goal” refers to the percentage of expenditures targeted for participation by certified minority-and/or women-owned business enterprises as prime contractors, subcontractors, suppliers, consultants, joint ventures, teaming agreements, or other similar arrangements under the subsequent awarded and subject contract (“Contract”). The value of work to be performed by a certified MWBE or SDVOB Prime Contractor (“Contractor”) awarded the contract, with its own equipment, with its own forces, and under its own supervision, will be counted toward the applicable contract participation goal provided the certified Contractor performs a commercially useful function.

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 8 of 33

If the established contract goal is not met directly by the Contractor (as a certified MWBE or SDVOB), the Contractor must document good faith efforts to provide meaningful participation by MWBE and/or SDVOB enterprises as subcontractors, service providers, and suppliers in the performance of the Contract and Contractor agrees that the Department may withhold payment pending receipt of the required MWBE and/or SDVOB documentation.

The Directory of New York State Certified MWBE can be viewed at:

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

Additionally, the Contractor is encouraged to contact the Division of Minority and Woman Business Development (518) 292-5250; or (212) 803-2412; to discuss additional methods of maximizing participation by MWBEs on the Contract.

SDVOBs 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.

Pursuant to 5 NYCRR § 142.8, Contractor must document “good faith efforts” to provide meaningful participation by MWBEs as subcontractors or suppliers in the performance of the Contract. For guidance on how the Department will determine a Contractor’s “good faith efforts,” refer to 5 NYCRR §142.8.

By submitting a bid or proposal, a bidder on the Contract (“Bidder”) agrees to submit the following documents and information as evidence of compliance with the foregoing (as applicable to the goals for this procurement identified above):

A. Bidders are required to submit a MWBE Utilization Plan (Form MWBE 100) and/or SDVOB Utilization Plan (Form SDVOB 100) with the bid or proposal. Each Utilization Plan shall list the MWBEs and SDVOBs (as applicable) the Contractor intends to use to perform the State Contract and a description of the contract scope of work that the Contractor intends to structure to meet the goals on the State Contract, and the estimated or, if known, actual dollar amounts to be paid to and performance dates of each component of a State Contract that the Contractor intends to be performed by a NYS certified minority or woman-owned business enterprise (MWBE) and/or service-disabled veteran-owned business enterprise (SDVOB). Any modifications or changes to the agreed participation by NYS certified MWBEs and/or SDVOBs set forth in each Utilization Plan submitted with the bid or proposal, after the Contract award and during the term of the Contract, must be reported on a revised MWBE Utilization Plan or SDVOB Utilization Plan and submitted to the Department.

B. The Department will review the submitted MWBE and/or SDVOB Utilization Plans and advise the Bidder of the Department’s acceptance or issue a notice of deficiency within 20 days of receipt.

C. If a notice of deficiency is issued, bidder agrees that it shall respond to the notice of deficiency within seven (7) business days of receipt by submitting to the Department a written remedy in response to the notice of deficiency. If the written remedy that is submitted is not timely or is found by the Department to be inadequate, the Department 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 or SDVOB participation goal as applicable on company letterhead. Failure to file 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 9 of 33 a waiver request letter in a timely manner may be grounds for disqualification of the bid or proposal.

D. The Department may disqualify a Bidder as being non-responsive under the following circumstances:

1. If a Bidder fails to submit a MWBE or SDVOB Utilization Plan;

2. If a Bidder fails to submit a written remedy to a notice of deficiency;

3. If a Bidder fails to submit a Waiver of Goal Requirements; or

4. If the Department determines that the Bidder has failed to document good faith efforts.

MWBE & SDVOB UTILIZATION PLAN

The Department's acceptance of the Apparent Low Bidder's proposal is conditioned upon the Apparent Low Bidder's fulfillment of the MWBE and/or SDVOB utilization requirements. If the Apparent Low Bidder fails to submit completed MWBE Utilization Plan and/or SDVOB Utilization Plan packages within seven (7) calendar days after the bid opening and/or fails to show attainment of the MWBE and SDVOB utilization goal(s) and/or to satisfactorily document good faith efforts, the bid may be declared non-responsive.

Contractors are required to submit monthly a MWBE Contractor Compliance & Payment Report (Form MWBE 101) and/or a monthly SDVOB Contractor Compliance & Payment Report (Form SDVOB 101) to the Department by the 10th day of the month during the term of the Contract documenting the progress made toward achievement of the MWBE and/or SDVOB goals of the Contract, as applicable.

GOOD FAITH EFFORTS (MWBE)

Bidder/Contractor must attempt to utilize, in good faith, any MBE or WBE identified within its MWBE Utilization Plan, during the performance of the Contract. For additional information and guidance on how the Department determines a Contractor’s “good faith efforts” (GFE), refer to 5 NYCRR §142.8 (pages 31 –

33) at: http://esd.ny.gov/MWBE/Data/01282015_OFFICIAL_COMPILATION_OF_MWBE_REGS.pdf

WAIVER OF GOAL REQUIREMENTS

In accordance with 5 NYCRR § 142.7 and Veterans' Services Law Article 3, contracts where goals have been established may not be awarded until the Apparent Low Bidder has documented commitments with MWBE and/or SDVOB firms which meet or exceed the MWBE and SDVOB contract goals established, unless a partial or total Waiver of Goal Requirements is granted by the Department. Application for such waiver must be submitted to the Department within fourteen (14) calendar days of bid-opening.

To apply for a Waiver, the Apparent Low Bidder must submit an individual MWBE Utilization Plan and/or SDVOB Utilization Plan that demonstrate appropriate good faith efforts have already been performed, in accordance with 5 NYCRR § 142.8 and Article 3, and provide sufficient justification as to why the MWBE and/or SDVOB goal(s) should be waived or reduced based upon the Plan submitted, as follows:

(a) The Department has express authority and may grant (or deny) a partial or total waiver of MWBE or SDVOB goal requirements established herein prior to award of the Contract based upon consideration of the following factors:

(1) the number and types of certified minority- or women-owned business enterprises and/or service-disabled veteran owned business enterprises available to perform on subcontractable scopes of the Contract;

(2) the total dollar value of the State Contract;

(3) the contract scope of work to be performed;

http://esd.ny.gov/MWBE/Data/01282015_OFFICIAL_COMPILATION_OF_MWBE_REGS.pdf

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 10 of 33

(4) the project size;

(5) the project term;

(6) the availability of other business enterprises located in the region qualified to do the work to be performed; and

(7) the ability of certified MWBE and/or SDVOB located outside the region to perform the State Contract.

(b) Requests for a partial or total waiver of MWBE and/or SDVOB goal requirements established on a State Contract made prior to the award of the contract may be made simultaneously with the submission of the applicable Utilization Plan for that State Contract. If a contractor is deemed non-responsive or non-responsible by the Department, the request for a waiver shall be deemed to be moot.

(c) Requests for a partial or total waiver made subsequent to award of a State Contract may be made at any time during the term of the State Contract once awarded, but prior to the submission of a request for final payment on that Contract.

(d) Requests of a partial or total waiver of goal requirements established on a State Contract once awarded should include a request for the following information, where applicable:

(1) the names of general circulation, trade association, minority- and women-oriented, and/or veteran- oriented publications in which bids were solicited for purposes of complying with the goal requirements established for certified MWBE and/or SDVOB participation;

(2) the dates bid solicitations for certified minority- and women-owned and service-disabled veteran owned business participation were published in any of the publications named pursuant to paragraph (1) of this subdivision and the text of the bid solicitation;

(3) a list of the certified MWBE and/or the SDVOB appearing in the Directory which were solicited in writing to provide bids for purposes of complying with a State agency's goal requirements for certified MWBE and/or SDVOB participation;

(4) proof of dates on which such solicitations were made in writing and copies of solicitations made, or a sample copy of the solicitation if an identical solicitation was made of all certified MWBE and/or SDVOB;

(5) copies of responses made by certified MWBE and/or SDVOB to solicitations made by the Contractor;

(6) a description of any Contract documents, plans or specifications made available to certified MWBE and/or SDVOB for purposes of soliciting their bids, and the dates and manner in which these documents were made available;

(7) documentation of any negotiations between the Contractor and certified MWBE and/or SDVOB undertaken for purposes of complying with goal requirements established for certified MWBE and/or SDVOB participation;

(8) any other information determined relevant by the State agency or the Contractor; and

(9) a statement setting forth the Contractor's basis for requesting a partial or total waiver.

CHANGES IN CIRCUMSTANCES – REQUESTS FOR M/WBE & SDVOB UTILIZATION PLAN REVISIONS and

POST AWARD WAIVERS

(Issued By: NYSDOT Office of Contract Management Purchasing Office) Page 11 of 33

The Contractor shall obtain Department approval for substantial revisions in MWBE utilization and/or SDVOB utilization prior to implementing any proposed change through submission of a revised MWBE and/or SDVOB Utilization Plan. If the reduction of the MWBE or SDVOB work or the removal of the MWBE or SDVOB, including for reasons of commercially useful function violations, causes the MWBE and/or SDVOB utilization to fall below the goal(s), the Contractor shall substitute another MWBE and/or SDVOB for the original proposed certified firm, in order to backfill and perform at least the same amount of work as the terminated MWBE and/or SDVOB, to the extent practicable necessary to meet the Contract goals. If in the case of substantial reduction, removal or substitution, the Contractor must provide written justification with a substantive basis for the change and submit a Request for Full or Partial Waiver of the Contract Goal(s) and Revised MWBE Utilization Plan and/or SDVOB Utilization Plan as applicable. A Contractor's ability to negotiate a more advantageous contract with another Subcontractor will not be considered a valid basis for any change.

If the Contractor is unable to meet its MWBE and/or SDVOB goals during the term of the Contract, Contractor must submit a Request for Partial or Full Waiver for each program in accordance with the Waiver of Goals Requirements section above.

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, demolition, 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.

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

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.

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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.

LIQUIDATED DAMAGES – Applicable ONLY to MWBE Program In accordance with Section 316-a of Article 15-A and 5 NYCRR §142.13, Contractor acknowledges that if it is found to have willfully and intentionally failed to comply with the MWBE participation goals set forth in the Contract, such finding constitutes a breach of Contract and the Department may withhold payment from the Contractor 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.

If a determination has been made which requires the payment of liquidated damages such identified sums have not been withheld by the Department, Contractor shall pay liquidated damages to the Department within sixty (60) days after they are assessed, prior to the expiration of such sixtieth day, the Contractor has filed a complaint with Director of the Division of Minority and Woman Business Development pursuant Subdivision 8 of Section 313 of the Executive Law in which event the liquidated damages shall be payable if Director renders a decision in favor of the Department.

The Department may file a complaint with the NYS Department of Economic Development, Division of Minority and Women's Business Development pursuant Executive Law Article 15-A, or other sanctions may also be imposed and remedies as provided under the authority of Executive Law Article 15A, 5 NYCRR 140- 145, rule, regulation, or order of the Commissioner or as otherwise provided by law.

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 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.

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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…