RFP 8918 8-21-26.pdf

REQUEST FOR PROPOSAL (#8918)

BY

THE CITY OF WATERBURY

FOR

CONGRESS AVE WALL AT WASHINGTON AVE

The City of Waterbury, Department of Engineering (hereinafter “City”), is seeking Proposals from qualified Proposers for Congress Ave Wall at Washington Ave (the “Project”) as detailed and described in the Request for Proposal Documents (the “RFP”).

A. Background and Intent

It is the intent of the City for the Successful Proposer to furnish all labor, services, materials, tools, equipment, transportation and incidentals necessary to execute and properly finish the Project, as detailed and described herein. The purpose of the project is to improve the safety at the intersection of Congress Ave and Washington Ave by constructing a parapet wall that will help traffic and pedestrians.

B. Qualifications

Eligible Proposers will be those individuals, businesses, and institutions that have the following qualifications:

1. Experience and expertise in regard to providing the Work, Services and/or Items to be procured as detailed and described in the RFP.

2. Ability to undertake and complete the Scope of Services.

3. Proven track record in providing the type of Work, Services and/or Items required by the RFP.

4. Proven track record of meeting project budgets and contract timelines.

5. Adequate staff/employees to complete the Scope of Services in a timely manner.

6. Knowledge of, and compliant with, all applicable Federal, State, and City of

Waterbury laws and regulations governing the services to be provided under this

RFP.

7. At the time of contract award, has or will have sufficient capacity, facilities, equipment, labor, financial capability, and experience to provide all services required hereunder throughout the Agreement Period, plus any extensions thereof, and to conduct all such services in a regulatory-compliant and reliable manner.

8. Proposers shall be registered with the State of Connecticut Secretary of State to do business in the State of Connecticut.

C. Scope of Services

1. Scope of Work Summary. This project will construct a parapet wall with simulated stone masonry, at the back of the sidewalk on Congress Avenue to help prevent cars from going over the wall onto lower Washington Avenue, and to protect pedestrians. Install black metal hand-railings, replace 3 sets of granite steps with new concrete steps, replace the concrete ramp, widen the concrete sidewalk and miscellaneous roadway reconstruction.

2. Proposer’s attention is directed to the Schedule of Items (Attachment E), the Technical Specifications, the General Conditions and the Special Conditions (Attachment G) which detail and describe the work and services associated with this RFP.

D. Agreement Period

1. Any award of work equal to or greater than $50,000.00 shall require a formal Contract. If a Contract is awarded as a result of this RFP, the Successful Proposer agrees and covenants that the Contract Time shall commence upon delivery of the City’s written Notice to Proceed, which shall occur after contract execution by both parties.

2. It is anticipated that the Successful Proposer shall reach Substantial Completion of the Work on or before Decmeber 17, 2026 and shall reach Final Completion of all Work and Services required by this RFP on or before December 30, 2026.

E. Insurance

The Successful Proposer (also referred to herein as “Contractor”) shall provide insurance as set for in Attachment D provided by insurers, satisfactory to the City and authorized to do business in the State of Connecticut, with a minimum “A-“Best’s Rating and at least a Class V3 or better financial category as shown in the most current A.M. Best Company ratings.

F. General Information

1. The City is an Equal Opportunity and Affirmative Action employer and does not discriminate in its hiring, employment, or business practices. Small, minority and women business enterprises are encouraged to submit a Proposal in response to this RFP. The City is committed to complying with the Americans with Disabilities Act of 1990 (ADA) and does not discriminate on the basis of disability, in admission to, access to, or operation of its programs, services, or activities.

2. RFP Documents

a. In order to view, download and receive all RFP related documents and notifications issued by the City, potential Proposers must register online at the City’s ProcureWare website City of Waterbury’s procurement website (https://waterburyct.procureware.com/register). Please note that completion of the registration process requires entry of a valid email address and selection of at least one category classification.

b. A copy of the RFP and all associated documents, including any City issued addenda and notifications, will also be available for review at the Office of the Director of Purchasing located at City Hall Building, Room 103, 235 Grand Street, Waterbury, CT 06702.

3. There will be a Mandatory Information Session with respect to this RFP on August 31, 2026 at 10 AM on-site at the intersection of Congress Ave and Washington Ave, Waterbury, CT. ATTENDANCE AND ON-TIME SIGN-IN at the information session IS MANDATORY. THOSE LATE/NOT ATTENDING WILL

NOT BE ELIGIBLE TO SUBMIT A PROPOSAL.

4. All questions, requests for clarification and communications about this RFP and submission requirements must be submitted through the City of Waterbury ProcureWare website and must be received by 2:00 PM on September 3, 2026. Prospective Proposers must limit their contact regarding this RFP to the Purchasing Director or such other person otherwise designated by the Purchasing Director.

5. Addenda responding to questions submitted by the above date or identified at any Information Session to be held in regard to this RFP, along with any changes or amendments to this RFP, will be available via the City of Waterbury ProcureWare website by 2:00 PM on September 8, 2026. It shall be the responsibility of the Proposer to download this information. If you have any procedural questions in this regard, please call the Purchasing Director at (203)574-6748.

G. Management

Any contract or purchase order resulting from this RFP will be managed by the Department of Engineering of the City of Waterbury.

H. Conditions

The submission of a Proposal will be considered conclusive evidence that the Proposer is willing to adhere to, and is in agreement with, the following conditions, as well as all other terms, conditions and requirements of the RFP:

1. All proposals in response to this RFP are to be the sole property of the City.

Proposers are encouraged not to include in their proposals any information which is proprietary. All materials associated with this procurement process are subject to the terms of state laws defining freedom of information and privacy and all rules, regulations and interpretations resulting from those laws.

2. Any product, whether acceptable or unacceptable, developed under a contract or purchase order awarded as a result of the RFP is to be the sole property of the City.

3. The timing and sequence of events resulting from this RFP will ultimately be determined by the City.

4. The Proposer agrees that the proposal will remain valid for a period of One Hundred Twenty (120) consecutive calendar days after the closing date for the proposal submission and may be extended beyond that time by mutual agreement.

5. The City may amend the terms or cancel this RFP any time prior to the execution of a contract or purchase order for these services if the City deems it to be necessary, appropriate or otherwise in the best interests of the City. Failure to acknowledge receipt of amendments may result in a proposal not being considered. At the option of the City’s Director of Purchasing, the City may provide all Proposers with a limited opportunity to remedy any technical deficiencies identified by the City in their initial review of proposals.

6. The Proposer must certify that the personnel identified in its response to this RFP will be the persons actually assigned to the project. Any additions, deletions or changes in personnel from the Proposal during the course of the agreement period must be approved by the City, with the exception of personnel who have terminated employment. Replacements for personnel who have terminated employment are subject to approval by the City. At its discretion, the City may require the removal and replacement of any of the Proposer's personnel who do not perform adequately, regardless of whether they were previously approved by the City.

7. All subcontractors hired by the Proposer awarded a contract or purchase order as a result of this RFP must have prior approval of the City prior to and during the Agreement Period.

8. Any costs and expenses incurred by Proposers in preparing or submitting Proposals are the sole responsibility of the Proposer.

9. A Proposer must be prepared to present evidence of experience, ability, financial standing, and any other information deemed necessary by the City to satisfactorily meet the requirements set forth or implied in the Proposal.

10. No additions or changes to the original Proposal will be allowed after submittal, except as may be allowed by the City, at its option, in accordance with Section H.5. of this RFP. While changes are not permitted, clarification of Proposals may be required by the City at the Proposer’s sole cost and expense. The final price and scope of services of any contract or purchase order resulting from this RFP may be negotiated with responsible Proposers.

11. The Proposer may be required to give presentations to the extent necessary to satisfy the City’s requirements or needs. In some cases, Proposers may have to give presentations or further explanation to the RFP selection committee established by the City.

12. The Proposer represents and warrants that the Proposal is not made in connection with any other Proposer and is in all respects fair and without collusion or fraud. The Proposer further represents and warrants that it did not participate in any part of the RFP development process, had no knowledge of the specific contents of the RFP prior to its issuance, and that no agent, representative or employee of the City participated directly in the Proposer’s Proposal preparation.

13. The Proposer represents and warrants that it has (a) examined the RFP thoroughly, (b) familiarized itself with all Federal, State and local laws, ordinances, rules and regulations that may in any manner affect cost, progress or performance of the Work; and (c) studied and carefully correlated the

Proposer’s observations and findings with the requirements of the RFP Documents.

14. All responses to the RFP must conform to instruction. Failure to include any required signatures, provide the required number of copies, to meet deadlines, answer all questions, follow the requested format, or failure to comply with any other requirements of this RFP may be considered appropriate cause for rejection of the response.

15. If a Contract is awarded as a result of this RFP, the Successful Proposer must accept the City’s standard agreement language (see Attachment B and Attachment B-1). Further, submission of a Proposal will constitute an incontrovertible representation by the Proposer that Proposer accepts the terms contained in Attachment B and Attachment B-1, or City’s Purchase Order, as applicable.

16. Execution of Contract and Conditions. Time is of the essence, and subsequent to a Notice of Award, if any, to the Successful Proposer, multiple unsigned copies of a Contract and all other applicable contract documents (if a Contract is awarded as a result of this RFP) is will be made available to the Successful Proposer for execution. Within ten (10) consecutive calendar days, thereafter, Successful Proposer shall fully complete, execute and return all copies of the contract and all other applicable contract documents, including without limitation, acceptable certificates of insurance, a Corporate/LLC Resolution, and all required bonds to the City. Thereafter, upon all required reviews, approvals, and the City’s signature, the City will deliver one fully executed copy of the contract to Successful Proposer.

17. Should the Successful Proposer fail to timely execute and deliver the Contract, evidence of insurance, or fail to timely fulfill any other such preconditions, the City may, at its option and discretion rescind the Notice of Award and thereafter negotiate with the next ranked Proposer, or may reject all Proposals.

18. Any contract or purchase order resulting from this RFP process will represent the entire agreement between the Proposer and the City and will supersede all prior negotiations, representations or agreements, alleged or made, between the parties.

19. The City shall assume no liability for payment of services under the terms of the contract or purchase order until the successful Proposer is notified that the contract or purchase order has been accepted and approved by the City. Any contract resulting from this RFP may be amended only by means of a written instrument signed by the Proposer and signed by the Mayor.

I. Proposal Requirements & Required Format

1. One original (clearly identified as such) and four paper copies of the Proposal, as well as a copy of the original Proposal in pdf format on a CD or flash drive, must be received at the following address no later than 11:30 AM on September 16, 2026. Proposals received after that time shall not be considered.

Mr. Kevin McCaffery Director of Purchasing

City of Waterbury 235 Grand Street

Room 103 Waterbury, CT 06702

a. Proposals shall be submitted as directed herein. At the City’s discretion, failure to do so may result in disqualification.

b. Proposals must set forth accurate and complete information in connection with each of the items/documents listed below, and all forms shall be fully completed and properly executed, and completed in ink or typed written, with all requested contact information (name, address, etc.) provided. All required signatures and notarizations shall also be provided.

c. Proposals must be single sided, bound or stapled and Proposers shall make the requisite copies of all forms, etc., as required.

d. Proposer is solely responsible for ensuring its Proposal is received by the Director of Purchasing, at the location indicated, on or before the above-stated time and date. The City will in no way be responsible for any delays in delivery, regardless of cause.

2. Proposals must include the following items (summarized below) as part of their Proposal submission:

• Contract Compliance Documents (Attachment A)

• Non-Collusion Affidavit and Addenda Acknowledgment (Attachment C)

• Schedule of Items (Attachment E)

• Sample Proposal Security (Attachment F) (as required)

• Contractor’s Qualification Statement (Attachment H)

• CHRO Contract Compliance Monitoring Report (Attachment J)

3. Contract Compliance Documents (Attachment A)

i. Proposer shall fully complete and include as part of its Proposal submission the following Contract Compliance Documents (Attachment A):

• Certification Regarding Debarment

• Annual Statement of Financial Interests

• Disclosure & Certification Affidavit Regarding Outstanding Obligations

ii. If a Contract is awarded as a result of this RFP, the Successful Proposer shall complete and sign a Corporate/LLC Resolution, as applicable, (see Attachment A) and date it the same day the Successful Proposer signs the Contract.

b. Non-Collusion Affidavit and Addenda Acknowledgment (Attachment C)

i. Proposer shall fully complete and include as part of its Proposal submission Attachment C addressed to Mr. McCaffery, which, in part, includes a statement by the Proposer accepting all terms and conditions and requirements contained in the RFP, as well as affirmative statement certifying that the Proposer has not colluded with any other Proposer.

ii. Proposer shall be responsible for determining that it has received all Addenda issued and shall acknowledge receipt of all Addenda as required per Attachment C.

c. Schedule of Items (Attachment E)

i. The Schedule of Items shall be submitted as part of the Proposal submission; however, it shall be submitted in a separate envelope, sealed and marked “Confidential: Schedule of Items.”

ii. Note regarding Schedule of Items: The City is exempt from the payment of excise, transportation and sales taxes imposed by the Federal Government and/or the State. Such taxes must not be included in all prices.

iii. The final price and scope of services of any contract or purchase order resulting from this RFP may be negotiated with responsible Proposers.

d. Sample Proposal Security (Attachment F)

i. Any Proposal with a Total Schedule of Items of over Fifty Thousand Dollars ($50,000.00) shall be accompanied by a Proposal Security (a Certified Check or Bid Bond) in the amount of ten (10) percent of the Proposer’s Total Schedule of Items.

ii. Proposer’s attention is directed to Attachment F for an example of Proposal Security acceptable to the City. A different form may be utilized provided it is acceptable to the City of Waterbury.

e. Proposer Qualification Statement (Attachment H) Proposer shall fully complete and include as part of its Proposal submission the Contractor Qualification Statement (Attachment H).

f. CHRO/State Set-Aside Requirements .

i. The contractor who is selected to perform this public works project, funded in whole or part by the State, must comply with CONN. GEN. STAT. §§ 4a- 60, 4a-60a, 41-60g, and 46a-68b through 46a-68f, inclusive, as amended by Public Act 23-204 and Public Act 25-168. An Affirmative Action Plan must be filed with an approved by the Commission on Human Rights and Opportunities prior to the commencement of construction.

ii. This contract is subject to state contract compliance requirements, including nondiscrimination statutes and spending allocation goals. There is anticipated to be $350,000.00 in state-funding for this project. State law requires project-specific goals be set for this project based on the project’s needs and available Small Business Enterprises (“SBEs”) and Minority Business Enterprises (“MBEs”). The SBE goal for this project is _29.39%_.

The MBE goal for this project is _15.51%_. The selected contractor must demonstrate good faith effort to meet the spending allocation goals.

iii. For public works contracts, the contractor must file a written or electronic non-discrimination certification with the Commission on Human Rights and Opportunities. Forms can be found at https://portal.ct.gov/chro/contract-compliance/contract-compliance/contract-compliance-forms-and-reports

iv. This RFP is subject to State SBE/MBE set-asides/CHRO contract compliance requirements (Attachment J) and State funding for this contract is anticipated to be $350,000.00.

v. Accordingly, the Proposer shall complete and submit as part of its Proposal submission the CHRO Contract Compliance Monitoring Report contained in Attachment J.

g. Section 3, Housing and Urban Development Act - NOT APPLICABLE

(DOES NOT APPLY TO THIS RFP)

h. CT-DAS Contractor Prequalification Requirements - NOT APPLICABLE

(DOES NOT APPLY TO THIS RFP)

3. Exceptions and Alternatives, Expected City Services

Proposals may, at Proposer’s discretion, contain the following:

1. Exceptions and Alternatives. Proposers wishing to take any exceptions or provide alternatives to certain provisions and/or requirements of the RFP shall state and explain such exceptions/alternatives; however, no exceptions or alternatives to the City’s standard agreement language (see Attachment B), will be considered.

a. The City may accept Proposals which take exception to any requirements in this RFP, or which offer any alternative to a requirement herein as well as consider such exceptions and alternatives in evaluating Proposals. Any exception or alternative must be clearly delineated referencing the specific provision(s) and/or items at issue (plus, include pricing information, where appropriate) and cannot impermissibly affect the substance of this RFP.

Further, the volume of exceptions/alternatives taken will be a consideration in evaluation of Proposer’s Proposal.

https://portal.ct.gov/chro/contract-compliance/contract-compliance/contract-compliance-forms-and-reports https://portal.ct.gov/chro/contract-compliance/contract-compliance/contract-compliance-forms-and-reports

b. The City, in its sole discretion, may accept some or all of the proposed exceptions, alternatives or additions or reject same. Any exception, alternative or addition that has not been accepted by the City in writing is deemed rejected.

2. Anticipated services to be provided by the City. Identify the nature and scope of the services that would be generally required of the City in undertaking this project.

3. The taking of any exception or proposing of any alternative or addition, as well as the identification of any anticipated services by the City, is not binding on the City, legally or otherwise, and in no way gives rise to any contractual relationship or rights, express or implied, between the City and the Proposer.

4. Additional Data. Any additional information which the Proposer wishes to bring to the attention of the City that is relevant to this RFP.

J. Evaluation of Proposals; Selection Process

1. Evaluation Criteria The following criteria are expected to be among those utilized in the selection process. They are presented as a guide for the Proposer in understanding the City's requirements and expectations for this project and are not necessarily all inclusive or presented in order of importance.

a. Quality, completeness and responsiveness of Proposal;

b. Qualifications, experience, expertise and capabilities of the Proposer;

c. The extent to which the goods or services meet the City’s needs;

d. Ability to provide Services as required;

e. Ability to comply with the required timeline for delivery of services or goods;

f. Adequate financial resources for performance, including bonding capacity;

g. Proposer’s references/satisfactory record of past performance, and

h. Competitiveness of Proposer’s Schedule of Items (Attachment E).

2. Selection Process

a. The City will have the Proposals evaluated by a Selection Committee as part of the selection process. If deemed necessary, the City reserves the right to arrange for interviews/oral presentations as part of the selection process, which invitations for interviews may involve a short-listing of the Proposals received.

b. The Successful Proposer shall, if requested by the City, provide the City with an updated/revised Schedule of Items, scope of services and schedule of performance.

K. Rights Reserved To The City

1. The City reserves the right to award in part, to reject any and all Proposals in whole or in part for misrepresentation or if the Proposer is in default of any prior City contract, or if the Proposal impermissibly limits or modifies any of the terms and conditions and/or specifications of the RFP. The City also reserves the right to waive technical defects, irregularities and omissions if, in its judgment, the best interest of the City will be served.

2. Nothing in this RFP shall require that the City accept the lowest Schedule of Items (Attachment E). Instead, the City reserves the right to base its decision solely, in its own judgment, on what it determines to be in the best interest of the City.

3. The City reserves the right, in its sole discretion, to reject any Proposal, in whole or in part, based upon Proposer’s prior history with the City or with any other party that demonstrates, without limitation, failure to perform or unsatisfactory performance in accordance with the terms of one or more contracts or purchase orders or significant failure(s) to meet contractual obligations or if the Proposal is nonresponsive or contains pricing that is abnormally low or high or if it appears unrealistic in terms of technical commitment, shows a lack of technical competence, or indicates a failure to comprehend the risk and complexity of a potential contract or the underlying project.

L. Federal, State and Local Employment Requirements

1. The Successful Proposer must meet all local, State, and Federal affirmative action and equal employment opportunity practices and requirements.

2. If a Contract is awarded as a result of this RFP, Proposers (also referred to herein as “Contractors”), if applicable, shall be obligated to fully comply with the Hiring of Waterbury Residents on Certain Publicly-Funded Construction Projects, i.e. City of Waterbury Ordinances Chapter 34 (“Good Jobs Ordinance“) (if attached), Federal Davis- Bacon Act, Federal American Recovery and Reinvestment Act of 2009, and the Housing and Urban Development Section 3 Clause, all as further specified in the City’s standard agreement language (see Attachment B).

M. Performance and Payment Bonds

A. The Proposer to whom a contract is offered, must furnish to the City, if that contract has a total cost greater than Fifty Thousand Dollars ($50,000.00), a 100 percent Performance Bond and a 100 percent Payment Bond each with a surety company acceptable to the City and in a form acceptable to the City.

N. Prevailing Wages Proposers are advised that State of Connecticut prevailing wage rates apply to this Project. The minimum rates to be paid labor of the various classifications shall be in accordance with the prevailing rate of wages established by the Connecticut Department of Labor. Proposer’s attention is directed to Attachment M – Wage Rate Documentation.

O. City SAMPLE Payment Application Forms

Sample Payment Application forms (see Attachment I) are attached for the Proposer’s use. Payment Applications for completed work must be submitted, in such numbers of copies as may be designated by the City, utilizing these forms. Alternate payment application forms may be utilized provided they are approved by the City, in writing, by the City. Successful Proposer is to furnish a draft copy of completed forms for review and approval by the City prior to submitting any invoices.

END OF SECTION

RFP #8918

ATTACHMENT A

Contract Compliance Documents

• Certification Regarding Debarment

• Annual Statement of Financial Interests

• Disclosure and Certification Affidavit Regarding Outstanding Obligations

• Sample Corporate & LLC Resolutions vcaterino Cross-Out

City of Waterbury Certification Regarding Debarment, Suspension, Ineligibility and Exclusion

If the transaction is Federally funded, in whole or in part (including pass through grants to state and/or municipal government), this certification is required by the regulations implementing one or more Presidential Executive Orders. If this transaction is funded by the State of

Connecticut, in whole or in part, this certification is required in accordance with one or more State of Connecticut General Statutes.

1. By signing and submitting the attached proposal and/or this document, the prospective lower tier participant, vendor, or contractor is providing the certification set out below.

2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant, vendor, or contractor knowingly rendered an erroneous certification, in addition to other remedies available to the Federal , State, or City government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

3. The prospective lower tier participant, vendor or contractor shall provide immediate written notice to the person to which the attached proposal and/or this document is submitted if at any time the prospective lower tier participant, vendor or contractor learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

4. The terms “covered transaction”, “debarred”, “suspended”, “ineligible”, “lower tier covered transaction”, “participant”, “person”, “primary covered transaction”, “principal”, “proposal”, and “voluntarily excluded”, as used herein, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549 and/or State of Connecticut statutes and regulations. You may contact the person to which this proposal and/or this document is submitted for assistance in obtaining a copy of the foregoing.

5. The prospective lower tier participant, vendor or contractor agrees by submitting the attached proposal and/or this document that, should the proposed covered transaction be entered into, it shall not knowingly enter into any covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction unless authorized by the department or agency with which this transaction originated.

6. The prospective lower tier participant, vendor or contractor further agrees by submitting the attached proposal and/or this document that it will include the clause titled “Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion-Lower Tier Covered Transactions”, without modification, in all covered transaction and in all solicitations for covered transactions.

7. A participant in a covered transaction may rely upon the certification of a prospective participant in a covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may but is not required to, check the Non-procurement List.

8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required herein. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

9. Except for transactions authorized under paragraph 5 herein, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal, State or Municipal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

Certification

(1) The prospective recipient of monies hereby certifies, by submission of its attached proposal and/or by execution of this document, that neither it nor its principles are presently debarred, suspended, proposed for debarment, declared ineligible, disqualified, or voluntarily excluded from bidding or participation in the proposed transaction by any Federal, State, or Municipal department or agency or by the statutes, regulations or ordinances of the foregoing departments and agencies.

(2) Where the prospective recipient of monies is unable to certify to any of the statements in this certification, such prospective participant shall attach a written explanation hereto.

Full Legal Name and address of Recipient, Vendor, Proposer, ____________________________________ Respondent or Contractor: _

Print Name and Title of Authorized Representative: ________________________________________

Signature of Authorized Representative: _____________________________________

Date: _____________________________

5 Comply Docs 2023.doc

ANNUAL STATEMENT OF FINANCIAL INTERESTS (Calendar Year 20_____) Persons or Entities Conducting Business with the City of Waterbury

I. Outstanding Contracts and/or Purchase Orders with the City of Waterbury

A. Contracts.

No Contracts with the City (if none, check box)

(Service or Commodity Covered by Contract)

(Term of Contract)

(Make copies of page, as needed.)

B. Purchase Order(s).

No Purchase Order(s) with the City (if none, check box)

(Service or Commodity Covered by Purchase Order)

(Date of Purchase Order)

II. Financial Interest Disclosure

(Disclose City of Waterbury Public Officials, Employees or Members of Boards or Commissions with interest in Person or Entity Conducting Business with the City)

No Officials, Employees or Members of Boards or Commissions with Financial Interest (if none, check box)

(Name of Official)

(Position with City)

(Nature of Business Interest) (e.g. Owner, Director etc.)

Interest Held By:

Self Spouse Joint Child

(Name of Official)

(Position with City)

(Nature of Business Interest) (e.g. Owner, Director etc.)

Interest Held By:

Self Spouse Joint Child

III. Certification

1. I certify that this Annual Statement of Financial Interests is a complete and accurate statement of those matters required to be disclosed by me pursuant to Chapter 39 of the Code of Ordinances.

2. I understand that if I fail to file an Annual Statement of Financial Interests (or an amendment thereto) or if I file an inaccurate Statement, I will be in violation of Chapter 39 of the Code of Ordinance and thereby subject to all remedies set forth in said Code of Ordinances.

3. I understand that I must file with the City Clerk, within fifteen (15) days following any reportable occurrence, any amendments to the Annual Statement of Financial Interests.

I have read and agree to the above certification.

(Name of Company, if applicable) (Print or Type Name)

Signature of Individual (or Authorized Signatory) Date

Print or Type Name and Title (if applicable)

Print or Type Authorized Official’s Email Address

Print or Type Business Email Address

DELIVERED: By Mail Hand-Delivered

DISCLOSURE AND CERTIFICATION AFFIDAVIT REGARDING OUTSTANDING

OBLIGATIONS TO THE CITY OF WATERBURY

For the purposes of this Disclosure of Outstanding Financial Obligations, the following definitions apply:

(a) “Contract” means any Public Contract as defined below.

(b) "Person” means one (1) or more individuals, partnerships, corporations, associations, or joint ventures.

(c) “Public Contract” means any agreement or formal commitment entered into by the city to expend funds in return for work, labor, services, supplies, equipment, materials or any combination of the foregoing, or any lease, lease by way of concession, concession agreement, permit, or per agreement whereby the city leases, grants or demises property belonging to the city, or otherwise grants a right of privilege to occupy or to use said property of the city.

(d) “City” means any official agency, board, authority, department office, or other subdivision of the City of Waterbury.

State of_____________________________

SS.:___________________

County of___________________________

_____________________________________________________, being first duly sworn, deposes and says that:

1. I am the owner, partner, officer, representative, agent or ___________________

(circle/complete as applicable) of ___________________________________________________

(Contractor’s Name), the Contractor that has submitted the attached Agreement.

2. I am fully informed respecting the preparation and contents of the attached Agreement and of all pertinent circumstances respecting such Agreement;

3. That as a person desiring to contract with the City (check all that apply):

____ The Contractor and each owner, partner, officer, representative, agent or affiliate of the Contractor has filed a list of taxable personal property with the City of Waterbury for the most recent grand list, as required by Conn. Gen. Stat. §12-42.

____ Neither the Contractor nor any owner, partner, officer, representative, agent or affiliate of the Contractor are required to file a list of taxable personal property with the City of Waterbury for the most recent grand list, as required by Conn. Gen. Stat.

§12-42.

affiliate of the Contractor either directly or through a lease agreement, owes back taxes to the City of Waterbury.

affiliate of the Contractor either directly or through a lease agreement, has any other outstanding obligations to the City of Waterbury.

4. The following list is a list of the names of all persons affiliated with the business of the Contractor, if none, state “None” (once within in grid – not within each box). Use additional sheet if necessary (Must be on company letterhead and notarized):

Name Title Affiliated Company (if none state NONE)

Service or Material

DOB

5. That as a person desiring to contract with the City:

(a) The Contractor or an owner, partner, officer, representative, agent or affiliate of the Contractor provides, or has provided, services or materials to the City within one (1) year prior to the date of this disclosure, if none, state “None” (once within in grid – not within each box). Use additional sheet if necessary (Must be on company letterhead and notarized):

Service or Material

DOB

(b) The Contractor possesses an ownership interest in the following business organizations, if none, state “None” (once within in grid – not within each box). Use additional sheet if necessary (Must be on company letterhead and notarized):

Organization Name

Address Type of Ownership

(c) The following persons possess an ownership interest in the Contractor. If the Contractor is a corporation, list all of the officers of the corporation and the names of each stockholder whose shares exceed twenty-five (25) percent of the outstanding stock, if none, state “None” (once within in grid – not within each box). Use additional sheet if necessary (Must be on company letterhead and notarized):

Name

Title DOB Stock %

(d) Of the following of the affiliates, individuals or business entities identified in this affidavit, list each that owns, owned, or within one (1) year prior to the date of this disclosure has owned, taxable property situated in the City of Waterbury, if none, state “None” (once within in grid – not within each box). Use additional sheet if necessary (Must be on company letterhead and notarized):

Address DOB

(e) If the Contractor conducts business under a trade name, the following additional information is required: the place where such entity is incorporated or is registered to conduct such business; and the address of its principal place of business, if none, state “None” (once within in grid – not within each box):

TRADE NAME

PLACE OF INCORPORATION

/ REGISTRY

PRINCIPAL PLACE

OF BUSINESS

Certification (Please complete applicable section below.)

I hereby certify that the statements set forth above are true and complete, and I understand that any incorrect information or omission of information from this affidavit may result in the immediate termination of the Contractor’s Agreement with the City of Waterbury.

Certification For Partnership/Sole Proprietor (Requires Notarization)

In presence of:

Witness Name of Partnership/Business (Print of Type)

By: _________________________________________ Signature of General Partner/ Sole Proprietor

Name of General Partner/ Sole Proprietor (Print of Type)

Address of _____________________________________________ Business:

State of _____________________ )

) SS

County of ____________________ )

_____________________________________being duly sworn, deposes and says that he/she is

__________________ of ____________________________ and that he/she answers to the foregoing questions and all statements therein are true and correct.

Subscribed and sworn to before me this ____________ day of ____________ 20_____.

Signature of Notary Public

Name of Notary Public (Print of Type)

SEAL

My Commission Expires: ________________________________

Certification For Corporation/LLC (Requires Notarization)

In presence of:

Witness Name of Corporation (Print of Type)

Address of _____________________________________________ Business:

Affix

Corporate Seal

By: _________________________________________ Signature of Authorized Corporate Officer

Name of Authorized Corporate Officer (Print of Type)

Its: _________________________________________ Title of Authorized Corporate Officer (Print of Type)

State of _____________________ )

) SS

County of ____________________ )

________________________________________ being duly sworn, deposes and says that he/she is __________________ of _________________________ and that he/she answers to the foregoing questions and all statements therein are true and correct.

Subscribed and sworn to before me this ____________ day of ____________ 20____.

Signature of Notary Public

_________________________________________ SEAL

Name of Notary Public (Print of Type)

My Commission Expires: ________________________________

Corporate Resolution - Page 1 of 1

CORPORATE RESOLUTION

I, ________________________________, hereby certify that I am the duly elected and acting ________________ of ____________________, a corporation organized and existing under the laws of the State of ________________, do hereby certify that the following facts are true and were taken from the records of said corporation.

The following resolution was adopted at a meeting of the corporation duly held on the __________ day of ________________, ___________.

“It is hereby resolved that ______________________________ is authorized to make, execute and approve, on behalf of this corporation, any and all contracts or amendments thereof.”

And I do further certify that the above resolution has not been in any way altered, amended, repealed and is now in full force and effect.

IN WITNESS WHEREOF, I hereunto set my hand and affix the corporate seal of said ____________________________ this ______ day of ________________, 20_______.

(Signature of witness)

(Title of witness)

Note: This is a sample of a Corporate Resolution acceptable to the City. A similar form may be utilized provided it is acceptable to the City of Waterbury.

LLC Resolution – Page 1 of 1

LIMITED LIABILITY COMPANY RESOLUTION

I, _____________________________________________, hereby certify that I am a duly authorized Member/Manager (circle one) of_______________________________, a limited liability company organized and existing under the laws of the State of_________________________, do hereby certify that the following facts are true and were taken from the records of said

LLC.

The following resolution was adopted at a meeting of the LLC duly held on the ______ day of _________, ________.

“It is hereby resolved that _______________________is authorized to make, execute and approve, on behalf of this LLC, any and all contracts or amendments thereof”.

And I do further certify that the above resolution has not been in any way altered, amended, repealed and is now in full force and effect.

IN WITNESS WHEREOF, I hereunto set my hand and affix the company seal of said _____________________ , this ______ day of ________________, 202_______.

(Signature of Witness)

(Title of Witness)

Note: This is a sample LLC Resolution acceptable to the City. A similar form may be utilized provided it is acceptable to the City of Waterbury.

RFP # 8918

ATTACHMENT B

City of Waterbury Contract Form

F:\New Electronic Filing System\FILE MANAGEMENT\Transactional\Contracts\Public Works Contracts\RFP 8918 - Congress Ave Wall at Washington Ave CRT26-327\Drafts\8-19-26 DRAFT Congress Ave Wall Contract for RFP 8918.doc

CONSTRUCTION CONTRACT

for

CONGRESS AVE WALL AT WASHINGTON AVE

between The City of Waterbury, Connecticut and

THIS CONTRACT, effective on the date signed by the Mayor, is by and between the CITY OF WATERBURY, City Hall, 235 Grand Street, Waterbury, Connecticut 06702 (the "City") and located at , a State of Connecticut duly registered (the "Contractor").

WHEREAS, the Contractor submitted a Proposal to the City in response to Request for Proposal (“RFP”) Number 8918 for CONGRESS AVE WALL AT WASHINGTON AVE and;

WHEREAS, the City selected the Contractor for RFP Number 8918 and;

WHEREAS, the City desires to obtain the Contractor's services for CONGRESS AVE WALL AT WASHINGTON AVE pursuant to the terms set forth in this Contract (the “Project”).

NOW THEREFORE, THE PARTIES AGREE AND COVENANT AS FOLLOWS:

1. Scope of Services. The Contractor shall furnish all of the labor, services, equipment, materials, supplies, transportation, and incidentals necessary to complete the Project as specified in this agreement (also referred to herein as "Contract") and such shall be completed in a satisfactory manner, as reasonably determined by the City. All labor, services, equipment, materials, supplies, transportation, and incidentals shall comply with (i) any and all applicable local, state and federal laws, statutes, ordinances, rules and regulations, including without limitation all notice requirements thereunder, and (ii) generally accepted professional standards.

1.1. The Project consists of CONGRESS AVE WALL AT WASHINGTON AVE as detailed and described in the Proposal Documents in Attachment A and are hereby made material provisions of this Contract. Attachment A shall consist of the following, which are attached hereto, are acknowledged by the Contractor as having been received, or otherwise hereby incorporated by reference as noted below, and all are made a part hereof:

CONGRESS AVE WALL AT WASHINGTON AVE between City of Waterbury and - RFP 8918

F:\New Electronic Filing System\FILE MANAGEMENT\Transactional\Contracts\Public Works Contracts\RFP 8918 - Congress Ave Wall at

1.1.1 RFP Number 8918 (acknowledged by the Contractor as having been received);

1.1.2 RFP Number 8918 Addendum #1, dated and consisting of

page (attached hereto);

1.1.3 Contractor’s Proposal, dated and consisting of pages, including Contractor’s Price Proposal, dated and consisting of pages submitted in response to RFP Number 8918, and Contractor’s page Revised Price Proposal (attached hereto);

1.1.4 Annual Statement of Financial Interests; Disclosure and Affidavit Re:

Outstanding Obligations to the City; Debarment Certification; Corporate Resolution, Non-Collusive Affidavit (incorporated by reference);

1.1.5 Certificates of Insurance (attached hereto);

1.1.6 Performance Bond and Payment Bond (attached hereto);

1.1.7 Technical Specifications consisting of 46 pages (attached hereto);

1.1.8 Drawings titled “Congress Avenue Wall”, prepared by SLR, dated August 06, 2026 and consisting of 7 sheets; (attached hereto);

1.1.9 Special Conditions (Article 1 – Article 22) consisting of 15 pages

(attached hereto)

1.1.10 General Conditions (Article 1 – Article 114) consisting of 36 pages (attached hereto);

1.1.11 State Wage Rates (attached hereto);

1.1.12 CHRO Documentation (attached hereto);

1.1.13 Any and all amendment(s) and Change Orders issued by the City after execution of Contract (incorporated by reference);

1.1.14 All applicable Federal, State and local statutes, regulations, charter and ‘ordinances (incorporated by reference), and

1.1.15 All permits (including, but not limited to, City of Waterbury Building permit(s)) and licenses (incorporated by reference).

CONGRESS AVE WALL AT WASHINGTON AVE between City of Waterbury and - RFP 8918

F:\New Electronic Filing System\FILE MANAGEMENT\Transactional\Contracts\Public Works Contracts\RFP 8918 - Congress Ave Wall at Washington Ave CRT26-327\Drafts\8-19-26 DRAFT Congress Ave Wall Contract for RFP 8918.doc

1.2. The entirety of Attachment A and Attachment B-1 plus this executed instrument are together deemed the Contract Documents (hereinafter collectively referred to as "Contract Documents"). The City’s record copy of the Contract Documents shall control and shall be effective and binding on the Contractor. In the event that any provision in the Contract Documents conflict with any other provision therein, the provision in the component part of the Contract Document first enumerated below shall govern over any other component part which follows it numerically.

1.2.1 Federal laws and regulations

1.2.2 State, and local laws, regulations, charter and ordinances

1.2.3 Contract Amendment(s) and Change Orders

1.2.4 Contract

1.2.5 Contractor’s Price Proposal

1.2.6 Special Conditions

1.2.7 General Conditions

1.2.8 Drawings

1.2.9 Technical Specifications

2. Representations Regarding Qualification and Accreditation. The Contractor represents that its employees are licensed to perform the scope of work set forth in this Contract. The Contractor further represents that its employees have the requisite skill, expertise and knowledge necessary to perform the scope of work required under the terms of this Contract, including any supplementary work and the City relies upon Contractor’s representations.

2.1. Representations regarding Personnel. The Contractor represents that it has, or will secure at its own expense, all personnel required to perform the services under this Contract. Such personnel shall not be employees of or have any contractual relationship with the City, unless use of City employees or of personnel having a contractual relationship with the City is approved in writing. As set forth above, all the services required hereunder shall be performed by the Contractor or under its supervision and all personnel engaged in the work shall be fully qualified and shall be authorized or permitted under state or local law to perform such services.

2.2. Representations regarding Qualifications. The Consultant hereby represents that, to the extent required by Federal, State and Local statutes, regulations, codes, ordinances, and policies, that the Consultant and/or its employees be licensed, certified, registered, or otherwise qualified, the Consultant and all employees providing services under this Contract, are in full compliance with those statutes, regulations and ordinances. Upon City request, the Consultant shall provide to the City a copy of the Consultant’s licenses, certifications, registrations, etc.

3. Responsibilities of the Contractor. The Contractor agrees to properly implement the services required in the manner herein provided. The Contractor shall, in addition to any other

CONGRESS AVE WALL AT WASHINGTON AVE between City of Waterbury and - RFP 8918

F:\New Electronic Filing System\FILE MANAGEMENT\Transactional\Contracts\Public Works Contracts\RFP 8918 - Congress Ave Wall at Washington Ave CRT26-327\Drafts\8-19-26 DRAFT Congress Ave Wall Contract for RFP 8918.doc responsibilities set…