Request for Proposal

WASTEWATER TREATMENT PLANT DESIGN SERVICES

TOWN OF WILLSBORO

5 FARRELL ROAD

WILLSBORO, NY 12996

518|963|8668

Request for Proposal – Engineering Services

Introduction

Overview

B. Time of Response

C. Contract Negotiations

D. Funding Agency Requirements

Professional Service Requirements

A. Scope of Work

B. Quality of Work

C. Records

D. Additional Requirements

Submittal Requirements

A. Required with Proposal Submission

B. Required Prior to Contract Award

C. Letter of Interest

D. Main Proposal

E. Technical Proposal

F. Cost Proposal

Selection Process

Evaluation Criteria

Submission Process

Questions

Submittal Due Date

Solicitation Submittal Requirements Checklist

Forms To Submit

Respondent Documentation

Request for Proposal – Engineering Services NOTICE IS HEREBY GIVEN – that the Undersigned, on behalf of the Town of Willsboro will accept proposals until August 7th 2026 by 2:00pm for the Wastewater Treatment Plant Engineering Services.

PLEASE TAKE FURTHER NOTICE that the Town affirmatively states that in regard to any contract entered into pursuant to this notice, without regard to race, color, sex, religion, age national origin, disability, sexual preference or veteran status, disadvantaged and minority or women-owned businesses will be afforded equal opportunity to submit bids in response hereto.

Minority and Women-Owned Business Enterprise (M/WBE) businesses and Section 3 businesses are strongly encouraged to apply. This Town is an equal opportunity employer.

In addition to the proposal, Respondents shall submit executed non-collusion certificates signed by the proposer of one of its officers as required by General Municipal Law Sec 103d. The respondents shall also submit an executed certificate of compliance with the Iran Divestment Act signed by the proposer or one of its officers as required by the General Municipal Law Sec 103g.

The Town reserves the right to except any and all proposal(s), reject any and all proposal not considered to be in the best interest of the Town, and to waive any technical or formal defect in the proposals which is considered by the Town to be merely irregular, immaterial, or unsustainable.

A copy of the RFP and related information can be obtained at the NYS Contract Reporter account: https://www.nyscr.ny.gov/agency/index.cfm

Search: Essex County Comm. Resources

All proposals submitted in response to this notice shall be marked “Willsboro WWTP Design Services RFP” clearly on all email traffic and digital submissions.

Published: Monday, July 13th, 2026.

https://www.nyscr.ny.gov/agency/index.cfm

Introduction

Overview This Solicitation is issued by the Town of Willsboro ("Town") to solicit proposals from qualified engineering firms to provide professional engineering services for the Town of Willsboro Wastewater Treatment Plant Improvements Project. Services shall include schematic design, final design, regulatory permitting, bidding assistance, construction administration, and related engineering services, as authorized by the Town.

The Project is anticipated to be financed, in whole or in part, through the New York State Environmental Facilities Corporation (NYSEFC) Clean Water State Revolving Fund (CWSRF), Water Infrastructure Improvement Act (WIIA), and other available State and Federal funding programs.

The Town reserves the right to authorize additional phases of work through contract amendment or written authorization as funding becomes available. All services performed under the resulting Agreement shall comply with applicable federal, state, and local laws, regulations, funding requirements, and the NYSEFC Mandatory Terms and Conditions incorporated into this Solicitation by reference (Appendix A).

Companies with demonstrated experience in Municipal Wastewater Treatment Plant &

Collection System Design Services and public funding agency administration interested in making their services available to the Town are invited to respond to this Solicitation.

“Respondents” means the companies or individuals that submit proposals in response to this Solicitation. It is understood that the selected Respondent acting as an individual, partnership, corporation or other legal entity, is licensed to provide such services in New York State. The Respondent shall be financially solvent and each of its members if a joint venture, its employees, agents or sub-consultants of any tier shall be competent to perform the services required under this document.

The Town is seeking to encourage participation by respondents who are DBE/MBE/WBE, Section 3 and/or Veterans’ business enterprises.

Nothing in this Solicitation shall be construed to create any legal obligation on the part of the Town or any respondents. The Town reserves the right, in its sole discretion, to amend, suspend, terminate, or reissue this Solicitation in whole or in part, at any stage. In no event shall the Town be liable to respondents for any cost or damages incurred in connection with the Solicitation process, including but not limited to, any and all costs of preparing a response to this Solicitation or any other costs incurred in reliance on this Solicitation. No respondent shall be entitled to repayment from the Town for any costs, expenses or fees related to this Solicitation. All supporting documentation submitted in response to this Solicitation will become the property of the Town. Respondents may also withdraw their interest in the Solicitation, in writing, at any point in time as more information becomes known.

B. Time of Response Respondents will have approximately three (3) weeks to provide a response to this Solicitation. The Town and resources from Essex County will review the proposals and respond within the following general time periods:

1. Solicitation Posted: Monday, July 13th, 2026

2. Statements Due: Monday, August 7th , 2026

3. Town Board Proposal Review and Interviews: August 2026

4. Contract Award Notification: September 2026

C. Contract Negotiations After review and interviews are completed, the Town will approve the successful proposal via Board Resolution and then provide a Notice of Award to the respondent.

D. Funding Agency Requirements The successful Respondent shall comply with all applicable requirements of the New York State Environmental Facilities Corporation (NYSEFC), including the latest funding guidance, policies, and mandatory contract provisions. The following documents are included as appendices to this Solicitation or are incorporated by reference:

• Appendix A – Deliverables Table and Fee Proposal

• Appendix B – Non-Collusive Bidding Certification.

• Appendix C – Iran Divestment Act Certification.

• Appendix D – Vendor Responsibility Questionnaire.

• Appendix E – NYS Sexual Harassment Prevention Policy Certification.

• Appendix F – Gender-Based Violence and the Workplace Model Policy for NYS

Bidders.

• Appendix G – Town of Willsboro Wastewater Treatment Plant Engineering Planning

Grant (EPG) Engineering Report (Basis of Design).

• Appendix H –NYSEFC Mandatory Terms & Conditions and current funding guidance

(available on the NYSEFC website).

The Respondent shall be responsible for reviewing all applicable NYSEFC requirements and shall incorporate all applicable funding, procurement, regulatory, and contract compliance requirements into the performance of the Work. The Engineering Planning Grant (EPG) Engineering Report included as Appendix H shall serve as the basis of design for this Project.

Professional Service Requirements

A. Scope of Work The Town of Willsboro owns and operates Sewer District No. 1, which serves the Hamlet of Willsboro through a centralized wastewater collection system and Wastewater Treatment Plant (WWTP). The existing WWTP was upgraded to a membrane bioreactor (MBR) treatment process in 2019. Since that time, the facility has experienced recurring hydraulic capacity limitations, flow exceedances, and overflow events during wet weather conditions. Engineering evaluations have identified deficiencies associated with the existing equalization system, treatment capacity, solids handling facilities, and supporting infrastructure.

In 2024, the Town received funding through the New York State Environmental Facilities Corporation (NYS EFC) Engineering Planning Grant Program to evaluate the facility and identify the preferred improvement alternative. The resulting Engineering Report, dated May 2025, evaluated multiple alternatives and recommended expansion of the existing MBR treatment system (Alternative 6) as the preferred solution for implementation.

The Town is now seeking professional engineering services to advance the recommended alternative through schematic design, final design, regulatory approvals, bidding, construction, and project closeout. The selected consultant shall utilize the completed Engineering Report as the basis for design while incorporating any modifications required by regulatory agencies, funding agencies, or changing site conditions.

The Town anticipates pursuing financial assistance through the New York State Environmental Facilities Corporation (EFC), including Clean Water State Revolving Fund (CWSRF), WIIA, and other available State and Federal funding opportunities. The selected consultant shall provide all engineering services necessary to maintain project eligibility and compliance with applicable funding requirements.

Recipients shall submit proposals addressing the following anticipated tasks.

A. General Requirements The consultant shall:

• Attend project coordination meetings with the Town of Willsboro, Essex County Office of Community Resources, NYS DEC, NYS EFC, and other agencies as required.

• Prepare meeting agendas and meeting minutes.

• Maintain an updated project schedule utilizing Gantt format.

• Coordinate with Essex County Office of Community Resources regarding grant administration, funding compliance, reimbursement requests, and regulatory coordination.

• Provide all engineering documentation necessary to support permitting and funding requirements.

• Coordinate with NYS DEC, NYS EFC, APA, SHPO, FEMA, and all other regulatory agencies as required.

• Assist with DBE, M/WBE, SDVOB, Section 3, Build America Buy America (BABA), AIS, and other applicable federal and state funding requirements

B. Schematic Design The consultant shall:

• Review the completed Engineering Report and recommended alternative.

• Verify existing field conditions and available record information.

• Perform any additional survey, geotechnical investigation, utility verification, or subsurface investigation necessary for final design.

• Refine the recommended process configuration.

• Prepare preliminary site layouts.

• Prepare process flow diagrams and hydraulic profiles.

• Prepare preliminary equipment layouts.

• Develop preliminary construction sequencing and phasing to maintain continuous plant operation.

• Update planning level cost estimates.

• Conduct a design review meeting with the Town and Essex County.

Deliverable:

• 30% Design Package

• Updated Opinion of Probable Construction Cost

C. Final Design The consultant shall prepare complete construction documents including:

• Civil

• Structural

• Architectural

• Mechanical

• Process

• Electrical

• Instrumentation & Controls (SCADA)

• HVAC

• Plumbing

• Site improvements

• Utility modifications

• Erosion and sediment control

• Temporary bypass and operational sequencing

Design shall conform with:

• NYS DEC Design Standards

• Ten State Standards

• Applicable SPDES Permit requirements

• Applicable building and fire codes

• EFC funding requirements

Deliverables shall include:

• 60% Design

• 90% Design

• Final Bid Documents

• Updated engineer's estimate

D. Environmental Review and Permitting The consultant shall prepare or assist with all required environmental and regulatory approvals including:

• SEQR

• NEPA (if applicable)

• SPDES permit modifications

• NYS DEC approvals

• APA review

• SHPO coordination

• USACE permitting (if required)

• FEMA Floodplain coordination

• Stormwater permitting (SWPPP)

• Utility coordination

E. Funding and Regulatory Compliance The consultant shall provide technical assistance necessary for:

• NYS EFC funding applications

• CWSRF financing

• WIIA applications

• Funding amendments

• Environmental review documentation

• Technical certifications

• Engineer's cost estimates

• Benefit Cost documentation

• Funding agency technical review comments

Essex County Office of Community Resources will provide grant administration, funding compliance oversight, financial coordination, and compliance coordination. The consultant shall provide all technical documentation necessary to support these efforts.

F. Bidding Services The consultant shall:

• Prepare bid documents

• Respond to contractor questions

• Issue addenda

• Attend pre-bid meetings

• Review bids

• Prepare bid tabulations

• Provide award recommendations

G. Construction Phase Services The consultant shall provide:

• Shop drawing review

• RFI responses

• Site visits

• Construction observation

• Progress meetings

• Change order review

• Pay application review

• Record drawings

• Start-up assistance

• Equipment testing

• Operator training

• Substantial completion inspections

• Final inspections

• Project closeout documentation

H. Optional Services At the Town's discretion, additional services may include:

• Collection system investigations

• I&I studies

• Additional hydraulic modeling

• Future WWTP expansion planning

• SCADA integration enhancements

• Asset management planning

• Grant amendments

• Additional funding applications

• Post-construction operational optimization

The Consultant shall be responsible for coordinating all technical and regulatory aspects of the Project, including preparation of engineering documents, design reports, plans and specifications, permit applications, regulatory coordination, bidding assistance, construction administration, and project closeout. The Consultant shall coordinate with NYSDEC, NYSEFC, APA, SHPO, FEMA, and other regulatory agencies, as applicable, including compliance with SEQR, NEPA (if required), and all funding program requirements.

The Consultant shall also support compliance with applicable DBE, M/WBE, SDVOB, Section 3, Build America Buy America (BABA), American Iron and Steel (AIS), and other State or Federal funding requirements.

B. Quality of Work All engineering services shall be performed in accordance with accepted professional engineering practices and shall comply with applicable Federal, State, and local laws, regulations, design standards, and permitting requirements. Construction documents shall be suitable for public bidding and regulatory approval.

C. Records Consultant shall maintain all project records for a minimum of seven (7) years following final payment and shall provide copies to the Town upon request. Regular coordination meetings with the Town and Essex County Office of Community Resources shall be held throughout the Project.

D. Additional Requirements Professional services shall comply with all codes, standards, regulations, and workers' safety rules that are administered by federal agencies (EPA, OSHA, and DOT), state agencies (APA, NYSDEC, NYS EFC, OSHA, NYSDOL, and SHPO), and any other local regulations and standards (i.e. local ordinance and building codes) that may apply.

Further requirements are identified in the accompanying Appendix of this Solicitation.

Inquiries:

Submittal Requirements

A. Required with Proposal Submission The following documents shall be submitted with the Proposal. Failure to provide the required documents may result in the Proposal being deemed non-responsive.

1. Certificate of Authority (Corporation) or Certificate of Existence (e.g., Professional Limited Liability Company (PLLC)) issued by the New York Secretary of State.

2. References: Provide at least three (3) references for projects of similar scope and complexity, including the project name, owner, project completion date, contact person, telephone number, and a brief description of the services provided.

3. Non-Collusive Bidding Certification: Submit a completed, signed, and notarized form (Appendix B).

4. Iran Divestment Act Compliance Certification: Submit a completed and signed form (Appendix C).

B. Required Prior to Contract Award The successful Respondent shall provide the following documents prior to execution of the Professional Services Agreement:

1. Evidence of Insurance: Certificates of Insurance demonstrating the following minimum coverage:

o Commercial General Liability: $2,000,000 per occurrence;

o Automobile Liability: $1,000,000 combined single limit;

o Workers' Compensation: Statutory limits as required by New York State;

o Employers' Liability: $1,000,000 minimum;

o Professional Liability (Errors & Omissions): $2,000,000 each claim and $2,000,000.00 aggregate.

The Town of Willsboro shall be named as an Additional Insured on the Commercial General Liability and Automobile Liability policies. Insurance shall remain in effect for the duration of the Agreement.

2. Conflict of Interest Disclosure: The Respondent shall disclose any actual or potential conflicts of interest, including any financial, business, or personal relationships that could impair the Respondent's ability to provide impartial professional services to the Town. The Respondent shall also disclose any arrangements under which additional compensation may be received from financial institutions, investment products, or other third parties related to the Project.

3. IRS Form W-9.

4. Vendor Responsibility Questionnaire, if required pursuant to New York State requirements and the resulting contract value.

5. NYS Sexual Harassment Prevention Policy and Training Certification.

6. Gender-Based Violence and the Workplace Policy Acknowledgment.

Failure to provide the required documents within the time specified by the Town may result in the Town rescinding the Notice of Award and entering negotiations with the next highest-ranked Respondent.

C. Letter of Interest Submit a Cover Letter of Interest signed by a duly authorized officer or representative of the Respondent, not to exceed two pages in length. The Letter of Interest must also include the following information:

• The principal place of business and the contact person, title, telephone/fax numbers and email address.

• A brief summary of the qualifications of the Respondent and team.

• Description of organization (i.e. Professional Corporation, or Professional Limited

Liability Company).

• The names and business addresses of all Principals of the Respondent. For purposes of this Solicitation “Principals” shall mean persons possessing an ownership interest in the Respondent.

• If the Respondent is a partially owned or fully-owned subsidiary of another organization, identify the parent organization and describe the nature and extent of the parent organization’s approval rights, if any, over the activities of the Respondent.

D. Main Proposal The purpose of the Proposal is to demonstrate the Respondent's qualifications, technical expertise, experience, and capacity to successfully perform the professional engineering services described in this Solicitation. Greater emphasis will be placed on the qualifications, experience, technical approach, and demonstrated understanding of the Project than on the form or volume of the Proposal.

The Proposal shall clearly identify the qualifications of the Respondent, the Project Manager, key personnel, and any subconsultants proposed for the Project. The Proposal shall demonstrate the Respondent's understanding of the Project objectives, regulatory requirements, funding compliance obligations, and the technical approach that will be utilized to successfully complete the work.

Proposals should be prepared in a clear, concise, and organized manner. While additional information may be included, the following minimum information shall be provided and will serve as the basis for evaluation.

1. Qualifications Proposal

Provide a summary of the firm's experience and qualifications in providing professional engineering services for municipal wastewater treatment facilities, wastewater collection systems, treatment plant upgrades, hydraulic capacity improvements, and related infrastructure projects.

The Qualifications Proposal shall include, at a minimum:

• Description of the firm and areas of expertise.

• Years in business and office locations.

• Resumes of the proposed Project Manager and key personnel assigned to the

Project.

• Identification of subconsultants and their proposed responsibilities.

• New York State Professional Engineering licensure information.

Narrative descriptions of at least three (3) completed projects of similar scope and complexity, including project cost, funding source, schedule, services provided, and owner contact information for reference purposes.

Experience with projects funded through the New York State Environmental Facilities Corporation (NYSEFC), Clean Water State Revolving Fund (CWSRF), Water Infrastructure Improvement Act (WIIA), Engineering Planning Grant (EPG) Program, and other applicable State or Federal funding programs.

E. Technical Proposal The Technical Proposal shall demonstrate the Respondent's understanding of the Project and describe the methodology that will be used to complete the required services.

a. Project Execution Plan Describe the proposed approach for advancing the recommended improvements identified in the Town of Willsboro Engineering Planning Grant Report through schematic design, final design, regulatory permitting, bidding, construction administration, and project closeout.

The Project Execution Plan shall include:

• Understanding of the Project objectives and existing Engineering Report.

• Design methodology and quality assurance/quality control procedures.

• Approach to maintaining WWTP operations during construction.

• Regulatory permitting and agency coordination strategy.

• Coordination with the Town of Willsboro and Essex County Office of Community Resources.

• Proposed project organization, staffing plan, and identification of key personnel and subconsultants.

• Risk management and cost control strategies.

b. Project Schedule Provide a detailed project schedule demonstrating the Respondent's ability to complete the required scope of services. The schedule shall identify major milestones including schematic design, final design, regulatory approvals, bidding, construction administration, and project closeout.

c. Funding and Regulatory Experience Describe the Respondent's experience administering projects funded through NYSEFC and other State or Federal funding programs, including compliance with applicable funding requirements.

Respondents should identify experience with:

• NYSEFC funding programs

• Clean Water State Revolving Fund (CWSRF)

• Water Infrastructure Improvement Act (WIIA)

• Engineering Planning Grants (EPG)

• Build America, Buy America (BABA)

• American Iron and Steel (AIS), where applicable

• DBE, M/WBE, SDVOB, and Section 3 participation requirements

If utilizing certified DBE, M/WBE, SDVOB, or other disadvantaged business enterprises as part of the proposed team, Respondents shall identify those firms, describe their proposed responsibilities, and provide current certification documentation.

F. Cost Proposal Cost shall not be the primary factor in the selection of the successful Respondent. The Town reserves the right to negotiate the final scope of services and fee with the highest-ranked Respondent in accordance with applicable New York State procurement requirements for professional engineering services.

The Cost Proposal shall include:

• A completed Deliverables Table (Appendix A) identifying proposed lump sum fees for each phase of work.

• A breakdown of labor classifications and hourly billing rates for all personnel anticipated to work on the Project.

• A schedule of reimbursable expenses.

• A description of the assumptions used in developing the proposed fee.

• Identification of opportunities to improve project efficiency or reduce costs without compromising quality.

Appendix A – Deliverables Table shall be completed and submitted with the Proposal.

Respondents shall provide a lump sum fee for each phase of work, hourly billing rates, reimbursable expenses, and a Not-to-Exceed (NTE) amount for Construction Administration Services.

Construction Administration Services

Because the duration and level of effort required during construction cannot be fully determined until the Project is bid and awarded, Respondents shall provide a separate Not-to-Exceed (NTE) fee for Construction Administration services. The proposal shall identify:

• The proposed Not-to-Exceed amount for Construction Administration.

• The hourly billing rates for all personnel assigned to construction support services.

• An estimated level of effort (hours) by staff classification.

• The specific services included within the NTE amount, such as:

o Shop drawing and submittal review;

o Requests for Information (RFIs);

o Progress meetings;

o Site visits and construction observations;

o Review of contractor payment applications;

o Review of change order requests;

o Preparation of record drawings;

o Substantial Completion and Final Completion inspections;

o Startup, testing, operator training, and project closeout assistance.

The Town reserves the right to negotiate the final scope and Not-to-Exceed amount for Construction Administration services based upon the construction contract value, contractor schedule, and anticipated project complexity. Construction Administration services may be authorized under the initial agreement or by subsequent amendment, at the Town's discretion.

Cost proposals will be evaluated for completeness, reasonableness, and the Respondent's demonstrated understanding of the Project. Cost shall be considered as one component of the overall evaluation and will not be the sole determining factor in consultant selection.

Selection Process The Selection Committee comprised of the Town and resources from Essex County staff will review qualifications in accordance with the evaluation criteria set forth herein.

Proposals that are submitted timely and comply with the mandatory requirements of the Solicitation will be evaluated in accordance with the terms of the Solicitation. Any professional services contract resulting from this Solicitation will not necessarily be awarded to the Respondent submitting the lowest cost proposal. The Town intends to select the Respondent determined to be the most qualified and whose proposal is determined to be in the best interest of the Town, based upon the evaluation criteria established in this Solicitation. Following evaluation of proposals, the Town reserves the right to interview one or more of the highest-ranked Respondents, request clarifications, and negotiate the final scope of services and compensation with the highest-ranked Respondent prior to contract award. If negotiations are unsuccessful, the Town reserves the right to terminate negotiations and proceed with the next highest-ranked Respondent.

Following evaluation of proposals, the Town reserves the right to interview the highest-ranked firms prior to contract negotiations.

Evaluation Criteria In evaluating responses to this Solicitation, the Town will take into consideration the experience, capacity and costs that are being proposed by the Respondent. The following Evaluation Criteria will be considered in reviewing submittals.

Respondents will be awarded up to 40 Points for Qualifications Proposal Related Project Experience 25 Points Experience of firm 5 points Experience of project team 10 points Quality of Vignettes 5 points Unique qualifying attributes 5 points Public Funding Experience 15 Points Experience on publicly funded projects 10 points Inclusion of DBE partners, applicable to scope

5 points

Respondents will be awarded up to 45 points for Technical Proposal Project Management Plan 35 Points Understanding of Scope 10 Points Technical Approach 15 Points Quality Assurance/Quality Control Plan 5 Points Regulatory/Funding Requirements Plan 5 Points Schedule 10 Points Capacity to complete deliverables in time 5 Points Detailed Project Schedule 5 Points

Respondents will be awarded up to 15 Points for Cost Proposal

Submission Process

Questions Questions regarding this Solicitation shall be submitted in writing by email to the appropriate contact listed below.

All questions must be received no later than 4:00 p.m. (Eastern Time) on Friday, July 31, 2026. Questions received after this deadline may not be answered at the Town's sole discretion.

Responses to questions that materially affect this Solicitation will be issued by written addendum, as determined by the Town. Addenda, if issued, will be distributed to all known prospective Respondents and made available with the Solicitation documents.

Respondents are responsible for monitoring the procurement documents and acknowledging receipt of all issued addenda in their Proposal.

Technical Questions

Justin Drinkwine, Water and Wastewater Superintendent Town of Willsboro Phone: (518) 572-2873 Email: watersewer@townofwillsborony.gov

Administrative or Procurement Questions

Tracie McGill, Town Supervisor Town of Willsboro Phone: (518) 963-8668 Email: supervisor@townofwillsborony.gov or

Hannah Neilly, Deputy Director Essex County Office of Community Resources Phone: (518) 873-3686 Email: hannah.neilly@essexcountyny.gov

Submittal Due Date Submittal Due Date

Proposals shall be received no later than 2:00 p.m. on Friday, August 7, 2026. Late submissions will not be considered.

Responses shall be submitted electronically in PDF format using the following Smartsheet submission portal:

https://app.smartsheet.com/b/form/019f47b00f737421bfede0889d7e6a7c

The Town anticipates selecting the highest-ranked Respondent and issuing a Notice of Award on or about September 9, 2026. The Town reserves the right to modify this schedule as necessary.

The Town of Willsboro Wastewater Treatment Plant Engineering Planning Grant (EPG) Engineering Report (Appendix H), along with other supporting reference documents, is available at:

https://www.dropbox.com/scl/fo/q8ucrgmgkxzobbkvq3e2f/APtwSptnDkSOYCaH25BjWUg?

rlkey=h2irfybgnxl45lijr7vta10kg&st=jv2du4r7&dl=0

If technical difficulties prevent electronic submission through the Smartsheet portal, Respondents may submit their Proposal electronically via email or on a USB flash drive in PDF format to:

Essex County Office of Community Resources Email: communityresources@essexcountyny.gov

Hard copy submissions will not be accepted.

Respondents are responsible for ensuring that their Proposal is received by the Town prior to the submission deadline. Failure to comply with the requirements of this Solicitation may result in the Proposal being deemed non-responsive.

https://app.smartsheet.com/b/form/019f47b00f737421bfede0889d7e6a7c https://www.dropbox.com/scl/fo/q8ucrgmgkxzobbkvq3e2f/APtwSptnDkSOYCaH25BjWUg?rlkey=h2irfybgnxl45lijr7vta10kg&st=jv2du4r7&dl=0 https://www.dropbox.com/scl/fo/q8ucrgmgkxzobbkvq3e2f/APtwSptnDkSOYCaH25BjWUg?rlkey=h2irfybgnxl45lijr7vta10kg&st=jv2du4r7&dl=0

Solicitation Submittal Requirements Checklist

Forms To Submit Required with Proposal Submission o Certificate of Authority (Corporation) or Certificate of Existence (ex: Professional Limited Liability Company or “PLLC”) issued by the NY Secretary of State.

o Appendix B - Non-Collusion Biding Affidavit: Provide completed, signed & notarized form back with Response.

o Appendix C - Iran Divestment Act Compliance Form: Provide completed & signed form back with Response

Required Prior to Contract Award

The following documents shall be provided by the successful Respondent prior to the execution of the Professional Services Agreement:

o Appendix D – Vendor Responsibility Questionnaire (if applicable based on contract value) o Appendix E – NYS Sexual Harassment Prevention Policy Certification o Appendix F – Gender-Based Violence and the Workplace Policy Acknowledgment o Evidence of Insurance meeting the minimum insurance requirements identified in this Solicitation.

o W-9 Form

Failure to provide the required documents within ten (10) business days of Notice of Award may be grounds for the Town to withdraw the award and enter negotiations with the next highest-ranked Respondent.

Respondent Documentation

� Letter of Interest � Qualifications Proposal

• Firm overview and qualifications.

• Resumes of key personnel.

• New York State Professional Engineering licensure.

• Identification of subconsultants (if applicable).

• Three (3) comparable municipal wastewater or wastewater treatment facility projects.

Provide references for at least (3) completed municipal wastewater treatment or wastewater infrastructure projects of similar size and complexity.

� Technical Proposal

• Project Execution Plan.

• Project Organization and Staffing.

• Quality Assurance / Quality Control (QA/QC) Plan.

• Regulatory and Funding Compliance Approach.

• Project Schedule (Gantt Chart).

• Experience with NYSEFC-funded projects and State/Federal funding requirements.

� Cost Proposal

• Completed Deliverables Table.

• Lump Sum Fees by Task.

• Hourly Billing Rates.

• Construction Administration Not-to-Exceed (NTE) Fee.

• Reimbursable Expenses.

APPENDICES

Solicitation Forms

Appendix A – Deliverables Table & Fee Proposal

Appendix B – Non-Collusive Bidding Certification

Appendix C – Iran Divestment Act Certification

Appendix D – Vendor Responsibility Questionnaire

Appendix E – NYS Sexual Harassment Prevention Policy Certification

Appendix F – Gender-Based Violence and the Workplace Model Policy for NYS Bidders

Reference Documents

Appendix G – Project Background Information- Town of Willsboro WWTP Engineering Planning Grant (EPG) Engineering Report

Appendix H – NYS Environmental Facilities Corporation (NYSEFC) Mandatory Terms & Conditions and Current Guidance

Appendix A - Deliverables Table & Fee Proposal

Deliverables Table & Fee Proposal

Respondent Information

Firm Name: _____________________________________________

Address: ________________________________________________

Project Manager: _________________________________________

Telephone: ______________________________________________

Email: _________________________________________________

Fee Proposal

Respondents shall provide a lump sum fee for each task listed below. Fees shall include all labor, overhead, profit, travel, meetings, coordination, and incidental expenses unless otherwise identified as reimbursable.

Task Deliverable Lump Sum Fee

Project Management & Coordination & QA/QC (includes meetings, schedule, progress reporting, coordination with the Town, Essex County, NYSEFC, NYSDEC, and quality assurance/quality control)

Existing Information Review, Field Verification & Schematic Design (30%)

3 Design Development (60%) $________

4 Final Design (90%) $________

5 Final Plans, Specifications & Engineers Estimate (100%) $________

Regulatory Permitting & Agency Coordination (SEQR/NEPA, NYSDEC, NYSEFC, and other applicable agencies)

7 Bidding & Procurement Services $________

8 Record Drawings & Project Closeout $________

Total Lump Sum Design Fee

TOTAL LUMP SUM FEE: $________________________

Construction Administration Services

Because the level of effort required during construction cannot be fully determined until the Project is bid and awarded, Respondents shall provide a Not-to-Exceed (NTE) amount for Construction Administration Services.

The NTE shall include, at a minimum:

Shop Drawing Review

Requests for Information (RFIs)

Construction Meetings

Site Visits / Construction Observation

Contractor Payment Application Review

Change Order Review

Startup Assistance

Equipment Testing

Operator Training

Record Drawing Preparation

Substantial Completion Inspection

Final Completion Inspection

Project Closeout Documentation

Construction Administration Fee

Item Amount

Construction Administration (Not-to-Exceed) $____________

Hourly Billing Rates

These rates shall apply to services requested outside the approved scope of work or exceeding the Construction Administration Not-to-Exceed amount.

Classification Hourly Rate

Principal $______

Project Manager $______

Senior Engineer $______

Design Engineer $______

Electrical / Controls Engineer $______

Structural Engineer $______

Civil Engineer $______

CAD Technician $______

Construction Observer $______

Administrative Support $______

Reimbursable Expenses

The following expenses, if applicable, shall be billed at actual cost without markup unless otherwise noted.

Expense Rate

Mileage IRS Rate

Printing & Reproduction Actual Cost

Shipping/Postage Actual Cost

Overnight Delivery Actual Cost

Other (Specify) __________

Assumptions / Exclusions

Respondents shall identify any assumptions, exclusions, or clarifications associated with the proposed fee.

Certification

The undersigned certifies that the fees submitted herein are valid for a period of 90 days from the Proposal due date and are based upon the Scope of Work identified in this Solicitation.

Authorized Representative: ______________________________________

Title: ______________________________________

Signature: __________________________________

Date: ___________________

Appendix B – Non-Collusive Bidding Certification

NON-COLLUSION AFFIDAVIT

The undersigned bidder or agent, being duly sworn on oath, says that he/she has not, nor has any other member, representative, or agent of the firm, company, corporation or partnership represented by him, entered into any combination, collusion or agreement with any person relative to the price to be bid by anyone at such letting nor to prevent any person from bidding nor to include anyone to refrain from bidding, and that this bid is made without reference to any other bid and without any agreement, understanding or combination with any other person in reference to such bidding.

He/She further says that no person or persons, firms, or corporation has, have or will receive directly or indirectly, any rebate, fee gift, commission or thing of value on account of such sale.

OATH AND AFFIRMATION

I HEREBY AFFIRM UNDER THE PENALTIES FOR PERJURY THAT THE FACTS

AND INFORMATION CONTAINED IN THE FOREGOING BID FOR PUBLIC

WORKS ARE TRUE AND CORRECT.

Dated this ___ day of ____________________, ________

(Name of Organization)

(Title of Person Signing)

(Signature)

ACKNOWLEDGEMENT

STATE OF _______________________)

) ss

COUNTY OF_____________________)

Before me, a Notary Public, personally appeared the above named and swore that the statements contained in the foregoing document are true and correct.

Subscribed and sworn to me this _______ day of _____________, _______.

Notary Public Signature

My Commission Expires: __________________________________________________

Appendix C – Iran Divestment Act Certification

BIDDER’S CERTIFICATION OF COMPLIANCE WITH IRAN DIVESTMENT ACT

The law is known as the "Iran Divestment Act of 2012" (the "Act") and can be found at § 165-a of the NY State Finance Law. The Act became effective on April 12, 2012. The Act imposes limitations on "persons" that are determined to be engaged in investment activities in the Iranian energy sector, as defined in the Act.

[Please Check One]

BIDDER’S CERTIFICATION

By submission of this bid or proposal, each bidder/proposer and each person signing on behalf of any bidder/proposer certifies, and in the case of a joint bid each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief, that each bidder/proposer is not on the list created pursuant to paragraph (b) of subdivision 3 of Section 165-a of the State Finance Law.

I am unable to certify that my name and the name of the bidder/proposer does not appear on the list created pursuant to paragraph (b) of subdivision 3 of Section 165-a of the State Finance Law. I have attached a signed statement setting forth in detail why I cannot so certify.

Dated: , New York

, 2026

SIGNATURE

PRINTED NAME

TITLE

Sworn to before me this day of , 2026

Notary Public

Appendix D – Vendor Responsibility Questionnaire

AC 3290-S (Rev. 03/2022) NYS Vendor ID: 000000000

NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE

FOR-PROFIT BUSINESS ENTITY

You have selected the For-Profit Non-Construction questionnaire which may be printed and completed in this format or, for your convenience, may be completed online using the New York State VendRep System.

COMPLETION & CERTIFICATION

The person(s) completing the questionnaire must be knowledgeable about the vendor’s business and operations. An owner or owner’s official representative authorized to legally bind the Reporting Entity must certify the truth of the questionnaire answers.

NEW YORK STATE VENDOR IDENTIFICATION NUMBER (VENDOR ID)

The Vendor ID is a ten-digit identifier issued by New York State when the vendor is registered on the Statewide Vendor File. This number must now be included on the questionnaire. If the business entity has not obtained a Vendor ID, contact the IT Service Desk at ITServiceDesk@osc.state.ny.us or call 866-370-4672.

DEFINITIONS

All underlined terms are defined in the “New York State Vendor Responsibility Definitions List,” found at https://www.osc.state.ny.us/files/vendors/2017-11/vendor-questionnaire-definitions.pdf. These terms may not have their ordinary, common or traditional meanings. Each vendor must read the respective definitions for any and all underlined terms. By submitting this questionnaire, the vendor agrees to be bound by the terms as defined in the "New York State Vendor Responsibility Definitions List" existing at the time of certification.

RESPONSES

Every question must be answered fully. Each response must provide all relevant information to appropriately explain the answer. If you have concerns as to the legal requirements behind your answers, please seek clarification from your counsel. However, information regarding a determination or finding made in error which was subsequently corrected or overturned, and/or was withdrawn by the issuing government entity is not required to be identified. Individuals and Sole Proprietors may use a Social Security Number but are encouraged to obtain and use a federal Employer Identification Number (EIN).

REPORTING ENTITY

Each vendor must indicate if the questionnaire is filed on behalf of the entire Legal Business Entity or an Organizational Unit within or operating under the authority of the Legal Business Entity and having the same EIN. Generally, the Organizational Unit option may be appropriate for a vendor that meets the definition of “Reporting Entity” but due to the size and complexity of the Legal Business Entity, is best able to provide the required information for the Organizational Unit, while providing more limited information for other parts of the Legal Business Entity and Associated Entities.

ASSOCIATED ENTITY

An Associated Entity is one that owns or controls the Reporting Entity, or any entity owned or controlled by the Reporting Entity.

However, the term Associated Entity does not include “sibling organizations” (i.e., entities owned or controlled by a parent company that owns or controls the Reporting Entity), unless such sibling entity has a direct relationship with or impact on the Reporting Entity. Please refer to the Definitions List for the complete definition.

STRUCTURE OF THE QUESTIONNAIRE

The questionnaire is organized into eleven sections. Section I is to be completed for the Legal Business Entity. Section II requires the vendor to specify the Reporting Entity for the questionnaire. Section III refers to the individuals of the Reporting Entity, while Sections IV-VIII require information about the Reporting Entity. Section IX pertains to any Associated Entities, with one question about their Officials/Owners. Section X relates to disclosure under the Freedom of Information Law (FOIL). Section XI requires an authorized contact for the questionnaire information.

http://www.osc.state.ny.us/vendrep/ mailto:ITServiceDesk@osc.state.ny.us https://www.osc.state.ny.us/files/vendors/2017-11/vendor-questionnaire-definitions.pdf

VENDOR RESPONSIBILITY QUESTIONNAIRE

FOR-PROFIT BUSINESS ENTITY

I. LEGAL BUSINESS ENTITY INFORMATION

Legal Business Entity Name* EIN

Address of the Principal Place of Business (street, city, state, zip code) New York State Vendor Identification Number

Telephone Ext.

Fax

Email Website

Additional Legal Business Entity Identities: If applicable, list any other DBA, Trade Name, Former Name, Other Identity, or EIN used in the last five (5) years and the status (active or inactive).

Type Name EIN Status

1.0 Legal Business Entity Type – Check appropriate box and provide additional information:

Corporation (including PC) Date of Incorporation

Limited Liability Company (LLC or PLLC) Date of Organization

Partnership (including LLP, LP or General) Date of Registration or Establishment

Sole Proprietor How many years in business?

Other Date Established

If Other, explain:

1.1 Was the Legal Business Entity formed or incorporated in New York State? Yes No

If ‘No,’ indicate jurisdiction where Legal Business Entity was formed or incorporated and attach a Certificate of Good Standing from the applicable jurisdiction or provide an explanation if a Certificate of Good Standing is not available.

United States State

Other Country

Explain, if not available:

1.2 Is the Legal Business Entity publicly traded? Yes No

If “Yes,” provide CIK Code or Ticker Symbol

1.3 Does the Legal Business Entity have a DUNS Number? Yes No

If “Yes,” Enter DUNS Number

*All underlined terms are defined in the “New York State Vendor Responsibility Definitions List,” which can be found at

VENDOR RESPONSIBILITY QUESTIONNAIRE

FOR-PROFIT BUSINESS ENTITY

I. LEGAL BUSINESS ENTITY INFORMATION

1.4 If the Legal Business Entity’s Principal Place of Business is not in New York State, does the Legal Business Entity maintain an office in New York State?

(Select “N/A,” if Principal Place of Business is in New York State.)

Yes No N/A

If “Yes,” provide the address and telephone number for one office located in New York State.

1.5 Is the Legal Business Entity a New York State certified Minority-Owned Business Enterprise (MBE), Women-Owned Business Enterprise (WBE), Service-Disabled Veteran-Owned Business (SDVOB), New York State Small Business (SB) or a federally certified Disadvantaged Business Enterprise (DBE)?

If “Yes,” check all that apply:

New York State certified Minority-Owned Business Enterprise (MBE) New York State certified Women-Owned Business Enterprise (WBE) New York State certified Service-Disabled Veteran-Owned Business (SDVOB) New York State Small Business (SB) Federally certified Disadvantaged Business Enterprise (DBE)

Yes No

1.6 Identify Officials and Principal Owners of the Reporting Entity, if applicable. For each person, include name, title, date of birth, and percentage of ownership. For each Business Entity that is a Principal Owner, include name, address, EIN, and percentage ownership. Identify all Business Entities owning 25% or more of the Reporting Entity and include name, address, EIN and percentage of ownership. Attach additional pages if necessary. If applicable, reference to relevant SEC filing(s) containing the required information is optional. Each Business Entity identified as a Principal Owner must also submit a vendor responsibility questionnaire.

If there is no person or Business Entity that owns 25% or more of the Reporting Entity (or 10% or more if the Reporting Entity is publicly traded), check here.

Name of Officials and Principal Owners (for each person, please include a middle initial)

Title

Date of Birth Percentage Ownership (Enter 0% if not applicable)

Name of each Business Entity owning 25% or more of Reporting Entity

Address

EIN

Percentage Ownership

II. REPORTING ENTITY INFORMATION

2.0 The Reporting Entity for this questionnaire is:

Note: Select only one.

Legal Business Entity Note: If selecting this option, “Reporting Entity” refers to the entire Legal Business Entity for the remainder of the questionnaire. (SKIP THE REMAINDER OF SECTION II AND PROCEED WITH SECTION III.)

Organizational Unit within and operating under the authority of the Legal Business Entity

SEE DEFINITIONS OF “REPORTING ENTITY” AND “ORGANIZATIONAL UNIT” FOR ADDITIONAL

INFORMATION ON CRITERIA TO QUALIFY FOR THIS SELECTION.

Note: If selecting this option, “Reporting Entity” refers to the Organizational Unit within the Legal Business Entity for the remainder of the questionnaire. (COMPLETE THE REMAINDER OF SECTION II AND ALL REMAINING

SECTIONS OF THIS QUESTIONNAIRE.)

IDENTIFYING INFORMATION

a) Reporting Entity Name

Address of the Primary Place of Business (street, city, state, zip code) Telephone ext.

b) Describe the relationship of the Reporting Entity to the Legal Business Entity

c) Attach an organizational chart

d) Does the Reporting Entity have a DUNS Number? Yes No

If “Yes,” enter DUNS Number

e) Identify the designated manager(s) responsible for the business of the Reporting Entity.

For each person, include name and title. Attach additional pages if necessary.

Name Title

INSTRUCTIONS FOR SECTIONS III THROUGH VII

For each “Yes,” provide an explanation of the issue(s), relevant dates, the government entity involved, any remedial or corrective action(s) taken and the current status of the issue(s). For each “Other,” provide an explanation which provides the basis for not definitively responding “Yes” or “No.” Provide the explanation at the end of the section or attach additional sheets with numbered responses, including the Reporting Entity name at the top of any attached pages.

III. LEADERSHIP INTEGRITY

Within the past five (5) years, has any current or former reporting entity official or any individual currently or formerly having the authority to sign, execute or approve bids, proposals, contracts or supporting documentation on behalf of the reporting entity with any government entity been:

3.0 Sanctioned relative to any business or professional permit and/or license? Yes No Other

3.1 Suspended, debarred, or disqualified from any government contracting process? Yes No Other

3.2 The subject of an investigation, whether open or closed, by any government entity for a civil or criminal violation for any business-related conduct?

Yes No Other

3.3 Charged with a misdemeanor or felony, indicted, granted immunity, convicted of a crime or subject to a judgment for:

a) Any…