RFP-COP 05-25-01 Fallkill Blue way Draft approved by FINAL.pdf

CITY OF POUGHKEEPSIE

POUGHKEEPSIE, NEW YORK

RFP-COP-06-25-01

FALLKILL BLUE WAY CONSULTANT SERVICES

Hon. Yvonne Flowers, Mayor Joseph P. Donat, City Administrator

Council Member At Large

Da’Ron Wilson

Council Members

Return all bids to the:

City of Poughkeepsie

Purchasing Department

62 Civic Center Plaza

Poughkeepsie, NY 12601

TO BE ADVERTISED: August 26, 2025 FOR ONE DAY ONLY

Ernest Henry Ondie James Evan Menist Christopher Grant Terriciena Brown Nedra Patterson Thompson Nathan Shook Sakimaa McClinton

CITY OF POUGHKEEPSIE, NEW YORK

ADVERTISEMENT AND NOTICE TO BIDDERS

Beginning Immediately, Sealed proposals are sought and invited by the City of Poughkeepsie (“The City”) for Fallkill Blueway Consultant Services, Bid No. RFP-COP-06-25-01, as set forth in drawings and specifications prepared by the City of Poughkeepsie’s Development Department.

Proposals will be received by the Board of Contract and Supply, c/o Purchasing Agent, 62 Civic Center Plaza, Poughkeepsie, NY 12601 until 2:30 pm on September 17, 2025, after which time they will be opened but not read aloud in the Office of the Purchasing Agent located on the 1st floor of City Hall. Proposals may be hand delivered at any time prior to the bid opening. Late proposals will not be accepted.

All Proposals must be submitted in a sealed envelope clearly marked:

PROPOSAL FOR BID # RFP-COP-06-25-01: Fallkill Blueway Consultant Services

Specifications and Contract are subject to provisions of Chapter 605, Laws of the State of New York of 1959, Section 103-A of the General Municipal Law and Federal Procurement Regulations 24CFR Part 85.36.

This project is being funded in part by the NYS Department of State – DOS. All work under this contract must comply with the requirements of this funding source. There is a 30% goal for MWBE Participation and may contain special monthly reporting procedures. There is also a 6% goal for Service-Disabled Veteran-Owned Businesses (SDVOB), which is encouraged but not mandatory.

The City of Poughkeepsie officially distributes bidding documents from the City of Poughkeepsie Purchasing Office, the City of Poughkeepsie website, www.cityofpoughkeepsie.com , the Hudson Valley Municipal Purchasing Group (HVMPG) Regional Bid Notification System, www.bidnetdirect.com/new-york, and the NY State Contract Reporter, www.nyscr.ny.gov. Copies of bidding documents obtained from any other source are not considered official copies.

Only those vendors who obtain bidding documents from the Purchasing Office, the City of Poughkeepsie website, HVMPG Regional Bid Notification System or the NY State Contract Reporter will be sent addendum information, if such information is issued.

If you have obtained this document from a source other than the City of Poughkeepsie Purchasing Office, City of Poughkeepsie website, HVMPG Regional Bid Notification System or the NY State Contract Reporter it is recommended that you obtain an official copy. You may obtain an official copy by registering on the HVMPG Regional Bid Notification System at www.bidnetdirect.com/new-york or by visiting www.cityofpoughkeepsie.com or www.nyscr.ny.gov.

STATEMENT OF NON-COLLUSION:

Bidders on the Contracts are required to execute a non-collusion bidding certificate pursuant to Section 103d of the General Municipal Law of the State of New York.

OWNERS RIGHTS RESERVED:

The City of Poughkeepsie expressly reserves the right to waive any irregularities in or to accept any bid or to reject any and all bids or to award on any or all items as the interest of the City of Poughkeepsie may appear to require.

DEPARTMENT OF FINANCE

CITY OF POUGHKEEPSIE

Joe Vita, Commissioner of Finance

Dated: August 26 , 2025 http://www.cityofpoughkeepsie.com/ http://www.empirestatebidsystem.com/ http://www.nyscr.ny.gov/ http://www.empirestatebidsystem.com/ http://www.cityofpoughkeepsie.com/ http://www.nyscr.ny.gov/

REQUEST FOR PROPOSALS

PROFESSIONAL SERVICES

for the preparation of

THE FALL KILL BLUEWAY

GUIDELINES

SUBMITTAL DEADLINE September 17, 2025

Hon. Yvonne Flowers, Mayor City of Poughkeepsie 62 Civic Center Plaza

Poughkeepsie, NY 12601

This document was prepared with funding provided by the New York State Department of State under Title 11 of the Environmental Protection Fund

1. Introduction The City of Poughkeepsie seeks proposals from licensed professional engineer, or architect licensed to practice in New York State to develop a set of waterfront design guidelines and standards for the Fall Kill Blueway. This initiative aims to enhance neighborhood resilience, improve ecosystem health, and provide accessible public spaces along the Fall Kill Creek. The project will focus on five key sites throughout the city, each representing common creek edge conditions that will inform comprehensive design and management strategies. The preliminary designs of these sites will serve as the basis for a set of design and stormwater management guidelines, standards, and recommendations applicable across similar conditions throughout the city and beyond, promoting a cohesive identity and resilience strategy.

2. Project Description The Fall Kill Blueway project involves the creation of guidelines and standards that address the following objectives:

• Improving Conditions: Address deteriorating conditions of the walls along Fall Kill Creek’s edges.

• Shoreline Stabilization: Stabilize the shoreline of the Hudson River near the Fall Kill Creek’s mouth.

• Riparian Buffers: Develop riparian buffers to mitigate flooding and contamination of the creek.

• Public Access: Enhance public access to the waterfront.

• Enhance the long-term health, economy, beauty, and social well-being of Poughkeepsie’s Northside community through the creation of the Fall Kill Blueway Guidelines

• Support dynamic civic spaces that inspire and promote social interaction and cultural exchange

• Foster connections between people and the environment

• Invite creative expression, innovation, and entrepreneurship.

• Respond to the outreach study’s key findings:

o Enhance neighborhood stability and resilience by increasing opportunities for community-led initiatives, civic engagement, and enhanced public safety o Co-create inclusive gathering space to support outdoor recreation, community events, and youth programming o Provide a collaborative space for small businesses to test and develop goods and services to reach residents and visitors o Contribute to youth development through services and programs

The five sites selected are up to 30% preliminary designs; these sites are:

• Waryas Park

• Dongan Square Park

• 1-7 Brookside Ave

• The Poughkeepsie Trolley Barn Lot (located at 489 Main Street)

• City DPW Lot (26 Howard Street)

Preliminary designs for these sites will form the basis for broader design and stormwater management guidelines applicable to similar conditions throughout the city and beyond.

3. Proposal Submission and Contact Person

• Proposals must be sealed and submitted in the required proposal format. Sealed proposals will be received by Shirley Davison, Purchasing Agent, located on the 1st floor of City Hall, 62 Civic Center Plaza, Poughkeepsie, New York 12601 at the time stipulated.

• Five copies of the Proposal and an electronic version of the report in Adobe Acrobat (PDF) format shall be submitted. The five hard copies may be submitted in person or by mail to Shirley Davison,, Purchasing Agent, at the address provided above. If the hard copies are sent by mail, the mail must be received prior to the specified due date to be considered. The electronic version may be sent by email to Shirley Davison, Purchasing Agent, at sdavison@cityofpoughkeepsie.com or can be provided via flash drive and submitted with the five hard copies. The information included therein should be as concise as possible.

• Proposals must arrive no later than September 17, 2025 by 2:30 P.M. local time. Proposals received after the deadline will be deemed unacceptable for further consideration. Both the hard copies and electronic version must be received by this date and time. Submitters agree to honor their proposals for a period of one hundred twenty (120) days from the proposal due date. All proposals become the property of the City of Poughkeepsie after the deadline whether awarded or rejected.

• All information in a Submitter’s proposal is subject to disclosure under the provisions of the Freedom of Information Act. It should be noted that submission contents will not be deemed proprietary information, and individuals who submit proposals will be provided opportunities to review other proposals, if requested, after the submission deadline.

• The City accepts no financial responsibility for costs incurred by any Submitter in responding to this RFP. By responding to this RFP, the Submitter agrees to hold the City harmless in connection with the release of any information contained in its proposal.

4. Questions

• All inquiries must be written and submitted by e-mail. Questions or clarification to the technical specification must be made in writing to Richard Distel viva email rdistel@cityofpoughkeepsie.com.

Questions must be submitted no later than September 10, 2025 at 4:00 p.m.

• Any oral responses to any questions shall be unofficial and not binding on the City of Poughkeepsie.

The City staff will make such interpretation or correction, as well as any additional RFP provisions that the City may decide to include, only as an RFP addendum. Staff will email or deliver addendum to each prospective Submitter recorded as having received a copy of the RFP. Any addendum issued by the City shall become a part of the RFP. Submitters should consider issued addendum in preparing his or her proposal.

5. Non-Collusion By submission of a proposal, the Submitter certifies in connection with this proposal:

• The Submitter declares that this Proposal is made in good faith, without fraud or collusion with any person or persons submitting a proposal on the same Agreement.

mailto:sdavison@cityofpoughkeepsie.com mailto:rdistel@cityofpoughkeepsie.com

• The Submitter has carefully read and examined the “Request for Proposal” documents and understands them. The Submitter declares that it is fully informed as to the nature of and the conditions relating to the Subject Property.

• The Submitter acknowledges that it has not received or relied upon any representations or warranties of any nature whatsoever from the City of Poughkeepsie, its agents or employees, and that its response is based solely upon the undersigned’s own independent business judgment.

• The Submitter has arrived at the proposed proposal independently, without communication, consultation or agreement, for the purpose of restricting competition with any other proposal submitter or with any competitor.

• No attempt has been made or shall be made by the proposed Submitter to induce any other person or firm to submit or not submit a proposal for the purpose of restricting competition.

• Each Person signing the proposal certifies that he/she is the person in the proposal Submitter’s organization authorized to bind the organization and such person has full authority to act on behalf of the organization.

• Employees of the City of Poughkeepsie and his/her immediate family members are disqualified from submitting a proposal.

6. Scope of Work

The selected firm will be required to:

• Site Analysis:

• Conduct site assessments for the five designated locations.

• Identify and document existing conditions, including structural, ecological, and social factors.

• Preliminary Design Development:

• Develop preliminary design proposals for each site that address the following:

Structural improvements to creek edge walls.

Shoreline stabilization measures.

Riparian buffer strategies.

Design concepts to enhance public access and engagement.

Ensure designs integrate resilience strategies and promote ecosystem health.

• Guideline Creation:

• Develop a set of waterfront design and stormwater management guidelines based on the preliminary designs.

• Ensure guidelines are adaptable and applicable to similar conditions across the city and region.

• Public Engagement:

• Facilitate community meetings and workshops to gather input and feedback on preliminary designs.

• Incorporate public feedback into final design recommendations.

• Documentation and Reporting:

• Provide detailed documentation of design processes, findings, and recommendations.

• Prepare and submit a final report summarizing the design guidelines and standards.

7. Deliverables & Timetable

• January 2026: Project start date

• January 2026 – March 2026: Existing Conditions Analysis - hydrological and ecological studies, surveys, and structural analysis of walls and shoreline conditions

• January 2026 - February 2027 (ongoing): Engagement with the Northside Collaborative advisory committee and residents, including monthly advisory committee meetings and 13 community meetings in collaboration with the selected resident community ambassadors

• January 2026 – April 2027: 30% Preliminary Design for 5 sites, including programming, site plans, major site sections and elevations, and outline the full scope of work for cost estimating

• January 2026 – April 2027: Creation of design guidelines handbook with sketches, diagrams, drawings, details, photographs, and renderings to guide future waterfront development

• Total = 15 months

8. Information Required from All Proposal Submitters

Proposals must include the following:

1. Firm/Individual Qualifications:

• Description of experience relevant to waterfront design and stormwater management.

• Examples of similar projects completed.

• Resumes of key project personnel.

2. Project Approach:

• Detailed work plan outlining methods and processes for achieving project objectives.

• Community based outreach

• Timeline for completing each phase of the project.

3. Cost Proposal:

• Detailed budget, including a breakdown of costs for each phase of the project.

• Any additional fees or expenses.

4. References:

• Contact information for at least three references from previous clients.

9. Evaluation Criteria

Proposals will be evaluated based on:

• Experience and qualifications of the firm/individual. (30%)

• Quality and feasibility of the proposed approach and methodology. (25%)

• Cost-effectiveness and budget alignment. (10%)

• Previous relevant project experience and client references. (20%)

• Ability to engage and incorporate community feedback. (15%)

10. Evaluation Process

Proposals submitted will be evaluated by a review committee. The committee shall review and evaluate each of the proposals using the criteria described in this solicitation. The committee will then convene to review and discuss these evaluations.

The City reserves the right to seek clarification of information submitted in response to this solicitation and/or request additional information during the evaluation process. The City may request an interview with any or all respondents to the RFP.

The City reserves the right to reject any or all proposals or parts of proposals.

11. Award

The City reserves the right to accept any submittal and/or parts thereof and/or to reject any and all submissions, or to waive any irregularities in the submissions if it is determined to be in the best interest of the City of Poughkeepsie.

If all proposals submitted in response to this RFP are unacceptable, the City reserves the right to reject the proposals and to solicit new proposals for the project.

The City reserves the right to cancel this RFP at any time prior to a fully executed contract, and, if desired, to reissue the RFP.

The award of a contract is contingent upon the successful execution of the formal contract agreement.

12. Term of Contract

The contract term shall be for a period of up to 2 Years commencing upon successful execution of the formal contract.

13. Reservation of Rights This RFP is not an offer to enter into an agreement with Submitters. Only the execution of a written license agreement will obligate the City in accordance with the terms and conditions in such agreement.

The City reserves the right to accept or reject any and all proposals received pursuant to this request, to negotiate with one or all qualified respondents, to cancel in part or in its entirety this RFP, and/or to waive irregularities and/or informalities in any proposal if it is in the best interest of the City to do so.

14. Questions or Additional Information For questions or additional information, please contact Richard Distel at 845-451-4106 or rdistel@cityofpoughkeepsie.com.

Contact Information:

• Contact Person: Richard Distel

• Phone Number: 845-451-4106

• Email Address: rdistel@cityofpoughkeepsie.com

• Address: 62 Civic Center Plaza Poughkeepsie, NY 12601

15. Funding Requirements

1. MWBE/SDVOB Requirements

This project is partially funded by the NY State Department of State and has a MWBE Goal of 30%. There is also 6% goal for Service-Disabled Veteran-Owned Businesses (SDVOB), which is encouraged but is not mandatory.

Waiver request forms may be requested for MWBE and/or SDVOB only after consultant has documentation of their good faith efforts. Please see Appendix “A” for additional information.

2. Vendor Responsibility Questionnaire

The Vendor Responsibility Questionnaire (VRQ) form must be completed and submitted with proposals when cost proposals are in excess of $100,000 or more. This also applies to the subcontractor(s) used to meet the MWBE/SVDOB goals. Please see Appendix “A” for additional information.

Please complete the VRQ prior to proposal submission, please go to https://www.osc.state.ny.us/vendrep/index.htm. Please note that the information provided must be updated every 6 months. If you have questions about VendRep, please contact them at (866) 370-4672 or ITservicedesk@osc.ny.gov.

For direct VendRep System user assistance, the Office of the State Comptroller’s Help Desk may be reached at 866-370-4672 or 518-408-4672 or by email at helpdesk@osc.state.ny.us.

mailto:rdistel@cityofpoughkeepsie.com mailto:ITservicedesk@osc.ny.gov

Please submit a screen shot with your proposal showing that you are registered and/or you have renewed within the last 6 months.

3. Vendor Responsibility:

The Contractor hereby acknowledges that the State Vendor Responsibility Questionnaire (Questionnaire) and certification are made part of this Contract and that any misrepresentation of fact in the Questionnaire and attachments, or in any Contractor responsibility information that may be requested by the State, may result in termination of this Contract.

The Contractor shall at all times during the contract term remain responsible. During the term of this Contract, any changes in the provided Questionnaire shall be disclosed to the State Agency, in writing, in a timely manner. Failure to make such disclosure may result in a determination of non- responsibility and termination of this Contract. Furthermore, the Contractor agrees, if requested by the State, it must present evidence of its continuing legal authority to do business in New York State, its integrity, experience, ability, prior performance, and organizational and financial capacity.

16. INSURANCE:

The Contractor shall purchase and maintain in full force and effect insurance policies with the limits of insurance provided in the contract documents or the following insurance coverage’s, whichever is greater. The insurance should be from an insurer that has an A.M. Best Rating of “A-” or better.

1. Commercial General Liability with limits not less than $1,000,000 per occurrence, $2,000,000 general aggregate, $1,000,000 and $2,000,000 products-completed operations aggregate.

Such insurance shall cover liability arising from premises, operations, independent contractors, product-completed operations for one year following project completion, personal and advertising injury and liability assumed under an insured contract. There shall be no endorsement or modification of the Commercial GL form arising from pollution, explosion, collapse, underground property damage or work performed by subcontractors.

2. If required by owner, professional liability with a limit of $2,000,000 per claim/occurrence and $2,000,000 annual policy aggregate.

3. If required by owner, contractors pollution cleanup/remediation and pollution liability with a limit of $2,000,000 per claim and $2,000,000 annual policy aggregate

4. Business Automobile Liability with a limit of not less than $1,000,000 each accident, including owned, non-owned, leased and hired vehicles.

5. Statutory Workers Compensation and employers liability coverage for all employees, including corporate officers and sole proprietors.

6. Umbrella/Excess Liability with a limit of not less than $5,000,000 per occurrence/aggregate

7. Environmental Liability with a limit not less than $1,000,000.

8. Insurance requirements as stated here in addition to applicable funding agency requirements.

City of Poughkeepsie, is to be included as an additional insured on a primary, non-contributory basis (using CG 2010 07/04 and CG 2037 10/01 or its equivalent) for all above named items.

Items 1 and 6 will have no exclusions for New York State “labor law” claims and/or claims for injuries to subcontractor employees.

All policies required by this paragraph shall include a waiver of subrogation in favor of City of Poughkeepsie.

Except where prohibited by law, all policies and certificates of insurance shall expressly provide that City of Poughkeepsie must receive 30 days written notice in the event of material alteration, cancellation or nonrenewal of coverage, including subcontractors’ insurance.

On receipt of such notice, the City shall have the option to cancel this Agreement without further expense or liability to the City, or to require the Contractor to replace the canceled insurance policy, or to rectify any material change in the policy, so that the insurance coverage required by this paragraph is maintained continuously throughout the term of this Agreement in form and substance acceptable to the City. Failure of the Vendor to take out or to maintain, or the taking out or the maintenance of any required insurance, shall not relieve the Contractor from any liability under this Agreement nor shall the insurance requirements be construed to conflict with or to limit the obligations of the Contractor concerning indemnification.

a. All certificates of insurance shall contain a clause naming the Owner as loss payee on the policies and providing that any notices of cancellation of insurance be given to the Owner no less than ten (10) days’ prior to any such cancellation.

b. Renewal certificates covering the renewal of all policies expiring during the life of this Contract shall be filed with the Owner not less than thirty (30) days before the expiration of such policies.

c. Certificates should be sent to the attention of the Purchasing Agent, 62 Civic Center Plaza Poughkeepsie, NY 12601 or by email: sdavison@cityofpoughkeepsie.com

All insurance companies issuing policies relating to this Contract must be licensed to do business in New York State and be approved by the Owner’s Law Department.

All losses of City property shall be adjusted with and made payable directly to the City.

In the event that claims in excess of these amounts are filed in connection with this Agreement, the excess amount or any portion thereof may be withheld from payment due or to become due the Contractor until the Contractor furnishes such additional security as is determined necessary by the City.

17. CERTIFICATION REGARDING LOBBYING

By signing and submitting a bid, the bidder agrees to furnish the Certification Regarding Lobbying. The signed certification must be submitted with the required Bid Forms. See Appendix A

18. DEBARMENT/SUSPENSION

Suspension/Debarment - The Service Provider is not a debarred or suspended party under 2 CFR Part 180, 2 CFR Part 1532 and 40 CFR Part 32. Further, neither the Service Provider nor any of its Subcontractors have contracted with, or will contract with, any debarred or suspended party under the foregoing regulations or with any party that has been determined to be ineligible to bid under Section 316 of the Executive Law.

19. DISADVANTAGED BUSINESS ENTERPRISES

This contract is subject to the requirements of the New York State Executive Law, Article 15-A and New York Code of Rules and Regulations, Title 5 (5 NYCRR) Parts 140-145.

20. EQUAL OPPORTUNITY

The EEO Policy Statement is documentation of a Service Provider’s or Subcontractor’s policy of non-discrimination in accordance with federal and state laws. EEO Policy Statements must: be mailto:sdavison@cityofpoughkeepsie.com submitted to the Recipient’s minority business officer (MBO) as part of any bid proposal or upon execution of a subcontract; include language as defined above (see Required Terms for Project Contracts and Subcontracts – EEO Policy Statement definition); and be signed by the Service Provider or Subcontractor, as applicable.

21. NON-COLLUSION REQUIREMENT

Bidders are required to execute a non-collusion bidding certificate (attached) pursuant to Section 103d of the General Municipal Law of the State of New York.

22. IRAN DIVESTMENT ACT

As a result of the Iran Divestment Act of 2012 (the “Act”), Chapter 1 of the 2012 Laws of New York, a new provision has been added to State Finance Law (SFL) § 165-a and New York General Municipal Law § 103-g, both effective April 12, 2012. Under the Act, the Commissioner of the Office of General Services (OGS) will be developing a list of “persons” who are engaged in “investment activities in Iran” (both are defined terms in the law) (the “Prohibited Entities List").

Pursuant to SFL § 165-a(3)(b), the initial list is expected to be issued no later than 120 days after the Act’s effective date at which time it will be posted on the OGS website.

23. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS

All Bidders shall certify and warrant that all wood products to be used under this contract award will be in accordance with, but not limited to, the specifications and provisions of Section 165 of the State Finance Law (Use of Tropical Hardwoods) which prohibits the purchase and use of tropical hardwoods, unless specifically exempted, by the State of any governmental agency or political subdivision or public benefit corporation. Qualification for an exemption under this law will be the responsibility of the contractor to establish to meet with the approval of the State. In addition, when any portion of this contract involving the use of woods, whether supply or installation, is to be performed by any subcontractor, the prime Contractor will indicate and certify in the submitted bid proposal that the subcontractor has been informed and is in compliance with specifications and provisions regarding use of tropical hardwoods as detailed in § 165 State Finance Law. Any such use must meet with the approval of the State; otherwise, the bid may not be considered responsive. Under bidder certifications, proof of qualification for exemption will be the responsibility of the Contractor to meet with the approval of the State.

24. SEXUAL HARRASSMENT PREVENTION CERTIFICATION

All Bidders shall certify and warrant, in accordance with State Finance Law 139-L, that they 1) have implemented a written policy addressing sexual harassment prevention in the workplace, 2) provides annual sexual harassment prevention training to all of its employees, and 3) has a sexual harassment policy meeting the requirements of Section 201-G of the State Labor Law.

Forms to be submitted with proposal:

1. Iran Divestment Certification

2. CS-1

3. CS-2

4. EEO Policy Statement- Form A

5. Staffing Plan – Form B

6. MWBE Utilization Plan – Form D

7. Compliance Certification Letter – Form D-1

8. SDVOB Utilization Plan – If applicable

9. Workforce Utilization form EEO

10. Lobbying Certification

11. Vendor Responsibility Questionnaire

a. Hard copy must be submitted with proposal

b. A screen shot of registration must be submitted with proposal

12. Prohibition on Purchase of Tropical Hardwoods

13. Sexual Harassment Prevention Certification

CERTIFICATION OF COMPLIANCE WITH THE IRAN DIVESTMENT ACT

As a result of the Iran Divestment Act of 2012 (the “Act”), Chapter 1 of the 2012 Laws of New York, a new provision has been added to State Finance Law (SFL) § 165-a and New York General Municipal Law

§ 103-g, both effective April 12, 2012. Under the Act, the Commissioner of the Office of General Services (OGS) will be developing a list of “persons” who are engaged in “investment activities in Iran” (both are defined terms in the law) (the “Prohibited Entities List"). Pursuant to SFL § 165-a(3)(b), the initial list is expected to be issued no later than 120 days after the Act’s effective date at which time it will be posted on the OGS website.

By submitting a bid in response to this solicitation or by assuming the responsibility of a Contract awarded hereunder, each Bidder/Contractor, any person signing on behalf of any Bidder/Contractor and any assignee or subcontractor and, in the case of a joint bid, each party thereto, certifies, under penalty of perjury, that once the Prohibited Entities List is posted on the OGS website, that to the best of its knowledge and belief, that each Bidder/Contractor and any subcontractor or assignee is not identified on the Prohibited Entities List created pursuant to SFL § 165-a(3)(b).

Additionally, Bidder/Contractor is advised that once the Prohibited Entities List is posted on the OGS Website, any Bidder/Contractor seeking to renew or extend a Contract or assume the responsibility of a Contract awarded in response to this solicitation must certify at the time the Contract is renewed, extended or assigned that it is not included on the Prohibited Entities List.

During the term of the Contract, should the City receive information that a Bidder/Contractor is in violation of the above-referenced certification, the County will offer the person or entity an opportunity to respond. If the person or entity fails to demonstrate that he/she/it has ceased engagement in the investment which is in violation of the Act within 90 days after the determination of such violation, then the County shall take such action as may be appropriate including, but not limited to, imposing sanctions, seeking compliance, recovering damages or declaring the Bidder/Contractor in default.

The County reserves the right to reject any bid or request for assignment for a Bidder/Contractor that appears on the Prohibited Entities List prior to the award of a contract and to pursue a responsibility review with respect to any Bidder/Contractor that is awarded a contract and subsequently appears on the Prohibited Entities List.

I, , being duly sworn, deposes and says that he/she is the of the

Corporation and that neither the Bidder/Contractor nor any proposed subcontractor is identified on the Prohibited Entities List.

SIGNED

SWORN to before me this

_______day of _________2025

Notary Public: ____________________________

CITY OF POUGHKEEPSIE

Purchasing Department

Bid submitted by:

The undersigned hereby designates as his office to which such notice of acceptance may be mailed, telegraphed, or delivered:

The vendor hereby agrees to the provisions of Section 103-a of the General Municipal Law which requires that upon the refusal of a person, when called before a Grand Jury to testify concerning any transaction, or contract had with the State, any political subdivision thereof, a public authority, to sign a waiver of immunity against subsequent criminal prosecution or to answer any relevant question concerning such transaction or contract,

(a) "such person, and any firm partnership or corporation of which he is a member, partner, director or officer shall be disqualified from thereafter selling to or submitting bids to or receiving awards from or entering into any contracts with any municipal corporation or any public department, agency or official thereof, for goods, work or services, for a period of five years after such refusal, and

(b) any and all contracts made with any municipal corporation or any public department, agency or official thereof, since the effective date of this law, by such person, and by any firm, partnership or corporation of which he is a member, partner, director or officer may be cancelled or terminated by the municipal corporation without incurring any penalty or damages on account of such cancellation or termination, but any moneys owing by the municipal corporation for goods delivered or work done prior to the cancellation or termination shall be paid."

The vendor does hereby certify that he or it is under no such impediment or disqualification from bidding created under Section 103-b of the General Municipal Law of the State of New York.

CS-1

NON-COLLUSION AFFIDAVIT:

As required by Section 139-d of the New York State Finance Law, the bidder certifies that:

(a) the bid has been arrived at by the bidder independently and has been submitted without collusion with any other vendor of materials, supplies, or equipment of the type described in the invitation for bids, and

(b) the contents of the bid have not been communicated by the bidder, nor, to its best knowledge and belief, by any of its employees or agents, to any person not an employee or agent of the bidder or its surety on any bond furnished herewith prior to the official opening of the bid. The signature of the Contractor to this contract shall be deemed a specific subscription to the certificate required pursuant to Section 139-d of the State Finance Law and the Contractor affirms that the statements therein contained are true under the penalties of perjury."

(c) No attempt has been made or will be made by the bidder to induce any other person, partnership or corporation to submit or not to submit a bid for the purpose of restricting competition.

Signed

By (President)

Dated

If a corporation, give the State of Incorporation, using the phrase "corporation organized under the laws of

If a partnership, give names of partners, using also the phrase "co-partners trading and doing business under the firm name and style of

If an individual using a trade name, give individual name, using also the phrase "an individual doing business under the firm name and style of

CS-2

Rev. 06/2021

NEW YORK STATE – DEPARTMENT OF STATE (DOS)

MWBE – EQUAL EMPLOYMENT OPPORTUNITY POLICY STATEMENT - FORM A

I, , the (awardee/vendor) agree to adopt the following policies with respect to the project being developed or services rendered at .

This organization will and will cause its contractors and subcontractors to take good faith actions to achieve the M/WBE contract participations goals set by the State for that area in which the State-funded project is located, by taking the following steps:

(1) Actively and affirmatively solicit bids for contracts and subcontracts from qualified State certified MBEs or WBEs, including solicitations to M/WBE contractor associations.

(2) Request a list of State-certified M/WBEs from AGENCY and solicit bids from them directly.

(3) Ensure that plans, specifications, request for proposals and other documents used to secure bids will be made available in sufficient time for review by prospective M/WBEs.

(4) Where feasible, divide the work into smaller portions to enhanced participations by M/WBEs and encourage the formation of joint venture and other partnerships among M/WBE contractors to enhance their participation.

(5) Document and maintain records of bid solicitation, including those to M/WBEs and the results thereof. The Contractor will also maintain records of actions that its subcontractors have taken toward meeting M/WBE contract participation goals.

(6) Ensure that progress payments to M/WBEs are made on a timely basis so that undue financial hardship is avoided, and that, if legally permissible, bonding and other credit requirements are waived or appropriate alternatives developed to encourage M/WBE participation.

(a) This organization will not discriminate against any employee or applicant for employment because of race, creed, color, national origin, sex, age, disability or marital status, will undertake or continue existing programs of affirmative action to ensure that minority group members are afforded equal employment opportunities without discrimination, and shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on state contracts.

(b)This organization shall state in all solicitation or advertisements for employees that in the performance of the State contract all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex disability or marital status.

(c) At the request of the contracting agency, this organization shall request each employment agency, labor union, or authorized representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of this organization’s obligations herein.

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

(e) This organization will include the provisions of sections (a) through

(d) of this agreement in every subcontract in such a manner that the requirements of the subdivisions will be binding upon each subcontractor as to work in connection with the State contract

Agreed to this day of , 2

By _____________________________________

Print: Title:

(Name of Designated Liaison) is designated as the Minority Business Enterprise Liaison responsible for administering the Minority and Women-Owned Business Enterprises- Equal Employment Opportunity (M/WBE-EEO) program on DOS Contract No .

M/WBE Contract Goals percent of MWBE participation percent of MBE participation percent of WBE participation

(Authorized Representative)

Title:

Date:

M/WBE EEO

- 1 -

STAFFING PLAN - FORM B

Instructions on page 4 Contract/Project No.: Contract/Project Title: Report includes Contractor’s/Subcontractor’s:

Work force to be utilized on this contract Total work force Prime Contractor Subcontractor

Subcontractor’s name

Contractor/Grantee Name:

Contractor/Grantee Address:

Enter the total number of employees for each classification in each of the EEO-Job Categories identified.

EEO-Job Category

Totals Officials/

Administrators Professionals Technicians Sales Workers

Office/ Clerical

Craft Workers Laborers Service

Workers Temporary/ Apprentices

Total Work Force

W or k fo rc e by

G en de r Total Male (M) Total Female (F)

Total X (X)

W or k Fo rc e by R ac e/

Et hn ic Id en tif ic at io n

White (M)

(F)

(X)

Black/ African American (M)

(F)

(X) Hispanic (M)

(F)

(X)

As ia n

Chinese (M)

(F)

(X) Japanese (M)

(F)

(X) Filipino (M)

(F)

(X)

(Continued on Next Page)

- 2 -

STAFFING PLAN - FORM B

EEO-Job Category

Totals Officials/

Administrators Professionals Technicians Sales Workers

Office/ Clerical

Craft Workers Laborers Service

Workers Temporary/ Apprentices

W or k Fo rc e by R ac e/

Et hn ic Id en tif ic at io n

As ia n

Korean (M)

(F)

(X) Vietnamese (M)

(F)

(X) Asian Indian (M)

(F)

(X) Bangladeshi (M)

(F) (X)

Pakistani (M)

(F)

(X) Hmong (M)

(F)

(X) Cambodian (M)

(F)

(X) Thai (M)

(F)

(X)

(Continued on Next Page)

- 3 -

STAFFING PLAN - FORM B

EEO-Job Category

Total Officials/

Administrators Professionals Technicians Sales Workers

Office/ Clerical

Craft Workers Laborers Service

Workers Temporary/ Apprentices

W or k Fo rc e by R ac e/

E th ni c

Id en tif ic at io n

Pa ci fic Is la nd er

Native Hawaiian (M) (F)

(X) Guamanian & Chamorro (M)

(F)

(X) Samoan (M)

(F)

(X) Other Asian or Pacific Islander (M)

(F)

(X) Native American (M)

(F)

(X)

O th er

C at eg or ie s

Disabled (M)

(F) (X)

Veteran (M)

(F)

(X)

PREPARED BY (Signature): TELEPHONE NO.: EMAIL ADDRESS: DATE:

NAME AND TITLE OF PREPARER (Print or Type): Submit completed form along with Forms A and D/D-1, as instructed, prior to contract execution.

- 4 -

STAFFING PLAN - FORM B

General Instructions: FORM B IS REQUIRED ONLY FOR CONTRACTS OVER $250,000 AND EVEN IF CONTRACT HAS AN APPROVED WAIVER/PRE-CONTRACT WAIVER

All Offerors/Grantees and each subcontractor must complete an EEO Staffing Plan (FORM B). Where the work force to be utilized in the performance of the State contract can be separated out from the contractor’s and/or Subcontractor’s total work force, the Offeror/Grantee shall complete this form only for the anticipated work force to be utilized on the State contract. Where the work force to be utilized in the performance of the State contract cannot be separated out from the contractor’s and/or subcontractor’s total work force, the Offeror/Grantee shall complete this form for the contractor’s and/or subcontractor’s total work force.

Instruction for completing:

1. Enter the Contract or Solicitation number that this report applies to along with the name and address of the Offeror or the Grantee.

2. Check off the appropriate box to indicate if the Offeror/Grantee completing the report is the contractor or a subcontractor.

3. Check off the appropriate box to indicate work force to be utilized on the contract or the Offeror/Grantee’s total work force.

4. Enter the total work force by EEO job category.

5. Break down the anticipated total work force by gender and enter under the heading ‘Work force by Gender’

6. Break down the anticipated total work force by race/ethnic identification and enter under the heading ‘Work force by Race/Ethnic Identification’. Contact your DOS

Program/Project Analyst or the DOS MWBE Program at dos.sm.mwbe@dos.ny.gov if you have any questions.

7. Enter information on disabled or veterans included in the anticipated work force under the appropriate headings.

8. Enter the name and contact details of the person completing the form. Sign and date the form in the designated boxes.

RACE/ETHNIC IDENTIFICATION:

Race/ethnic designations as used by the Equal Employment Opportunity Commission do not denote scientific definitions of anthropological origins. For the purposes of this report, an employee may be included in the group to which he or she appears to belong, identifies with, or is regarded in the community as belonging. However, no person should be counted in more than one race/ethnic group. The race/ethnic categories for this survey are:

o WHITE (Not of Hispanic origin) All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East.

o BLACK a person, not of Hispanic origin, who has origins in any of the black racial groups of the original peoples of Africa.

o HISPANIC a person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race.

o ASIAN a person of Chinese, Japanese, Filipino, Korean, Vietnamese, Asian Indian, Bangladeshi, Pakistani, Hmong, Cambodian, or Thai origin.

o PACIFIC ISLANDER a person of Native Hawaiian, Guamanian and Chamorro, or Samoan origin.

o OTHER ASIAN OR PACIFIC ISLANDER a person of Asian or Pacific islander origin who does not fit within any of the specific racial/ethnic groups above.

o NATIVE INDIAN (NATIVE AMERICAN/ALASKAN NATIVE) a person having origins in any of the original peoples of North America, and who maintains cultural identification through tribal affiliation or community recognition.

OTHER CATEGORIES:

o DISABLED INDIVIDUAL any person who: - has a physical or mental impairment that substantially limits one or more major life activity(ies)

- has a record of such an impairment; or

- is regarded as having such an impairment.

o VIETNAM ERA VETERAN a veteran who served at any time between and including January 1, 1963 and May 7, 1975.

o GENDER Male, Female, or “X” mailto:dos.sm.mwbe@dos.ny.gov

M/WBE UTILIZATION PLAN - FORM D

Offeror/Grantee’s Name: Federal Identification No.:

Address: Project/Contract No.:

City, State, Zip Code:

Telephone No.: M/WBE Goals in the Contract: MBE % WBE % Region/Location of Work:

1. Certified M/WBE Subcontractors/Suppliers Name, Address, Email Address, Telephone No.

2. Classification 3. Federal ID No. 4. Detailed Description of Work (Attach additional sheets, if necessary)

5. Dollar Value of Subcontracts/ Supplies/Services and intended performance dates of each component of the contract.

A. NYS ESD CERTIFIED

MBE

WBE

B. NYS ESD CERTIFIED

MBE

WBE

6. IF UNABLE TO FULLY MEET THE MBE AND WBE GOALS SET FORTH IN THE CONTRACT, OFFEROR/GRANTEE MUST SUBMIT A REQUEST FOR WAIVER FORM E.

PREPARED BY (Signature):

DATE:

NAME AND TITLE OF PREPARER (Print or Type):

SUBMISSION OF THIS FORM CONSTITUTES THE OFFEROR/GRANTEE’S ACKNOWLEDGEMENT AND

AGREEMENT TO COMPLY WITH THE M/WBE REQUIREMENTS SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-A, 5 NYCRR PART 143, AND THE ABOVE-REFERENCED SOLICITATION. FAILURE TO SUBMIT

COMPLETE AND ACCURATE INFORMATION MAY RESULT IN A FINDING OF NONCOMPLIANCE AND

POSSIBLE TERMINATION OF YOUR CONTRACT.

TELEPHONE NO.: EMAIL ADDRESS:

FOR M/WBE USE ONLY

REVIEWED BY: DATE:

UTILIZATION PLAN APPROVED: YES NO Date:

Contract No.: Project No. (if applicable):

Contract Award Date: Estimated Date of Completion:

Contract Execution Date:

Contract Amount:

Amount Obligated Under the Contract:

Total Planned MWBE Utilization Amount:

Description of Work:

NOTICE OF DEFICIENCY ISSUED: YES NO Date:______________ NOTICE OF ACCEPTANCE ISSUED: YES NO Date:_____________

FOR M/WBE USE ONLY

Comments:

General Instructions:

• This form (Form D) or a compliance certification letter (Form D-1) must be submitted within ten (10) business days after the respondent/awardee receives notice from the Department of State that the contract/grant is being awarded.

• In case a compliance certification letter (Form D-1) was submitted at the time of the award notification, the awardee must submit this form D within two (2) weeks following the procurement of any MWBE-applicable purchase or contractual service undertaken in furtherance of the Contract.

• This form D must contain a detailed description of the supplies and/or services to be provided by each certified Minority and Women-owned Business Enterprise (MWBE) that will actually be utilized under the DOS contract. Attach additional sheets if necessary.

• In case of changes to an approved utilization plan, the awardee must submit a revised Form D to the DOS MWBE Program at dos.sm.mwbe@dos.ny.gov

• Any Form D submitted to DOS for review must be completed and signed by the entity in contract with DOS.

• Contact your DOS Program/Project Analyst or the DOS MWBE Program at dos.sm.mwbe@dos.ny.gov, if you have any questions.

Instructions for completing:

The Offeror/Grantee’s section on top of the form must contain information on the entity in contract with the Department of State (DOS).

1. Enter the name, address, email address and phone number of each NYS certified MWBE that will actually be utilized under the DOS contract (Look up certified MWBEs in the directory at https://ny.newnycontracts.com/)

2. Check off the box to indicate the certification class (MBE or WBE). If the MWBE has both MBE & WBE certifications, check off the appropriate certification class toward which the utilization should count.

3. Enter the federal ID number of each NYS certified MWBE to be utilized.

4. Enter detailed description of the supplies and/or services to be provided by each certified MWBE. Also, enter detailed information on any tier subcontracts, if applicable.

5. Enter the dollar value of subcontracts/supplies/services and intended performance dates of each component of the contract with each certified MWBE. Also, enter detailed information on any tier subcontracts, if applicable.

mailto:dos.sm.mwbe@dos.ny.gov mailto:dos.sm.mwbe@dos.ny.gov https://ny.newnycontracts.com/

STATE OF NEW YORK

DEPARTMENT OF STATE

O N E C O M M E R C E PL A Z A

9 9 WA S H I N G TO N A V E N U E

ALBANY, NY 12231-0001

HTTPS://DOS.NY.GOV

KATHY HOCHUL

GOVERNOR

WA L TE R T. M O S L E Y

S E C R E T A R Y O F S T A T E

MWBE COMPLIANCE CERTIFICATION LETTER (FORM D-1)

I, , a duly authorized representative of (hereinafter, “Applicant”), acknowledge by my signature below that Applicant is committed to show due-diligence and to comply with the established MWBE goals and requirements set forth in RFA No. (hereinafter, the “RFA”) with the NYS Department of State (DOS).

Applicant understands that submitting an MWBE Utilization Plan – Form D will be a requirement in Contract # . As hereby authorized and directed by DOS, Applicant acknowledges and agrees that, following contract execution, it shall submit the MWBE Utilization Plan – Form D for the Contract within two weeks after the selection of any vendor or subcontractor for the provision of

MWBE-applicable purchases or contractual services to be undertaken in furtherance of the Contract.

The Contractor shall be required to adhere to any such MWBE Utilization Plan in the performance of the Contract, and a failure to so submit and/or adhere to such MWBE Utilization Plan shall constitute a material breach of the terms of the Contract. It is further acknowledged and agreed that this document shall not under any circumstances be construed as constituting a waiver or release, in whole or in part, of any provision of the RFA or Contract or of any rights, obligations or remedies that may be available to DOS or Contractor.

Date: Signature:

Contract Number: Name:

Contract Description: Title:

Contact Information:

Rev. June 2024

SDVOB Utilization Plan – SDVOB 100 (9/16) Rev 02/2019

SDVOB UTILIZATION PLAN – FORM 100 Initial Plan Revised plan Contract/Solicitation #

INSTRUCTIONS: This Utilization Plan must contain a detailed description of the supplies and/or services to be provided by each NYS Certified Service-Disabled Veteran-Owned…