RFP-UC25-062 ULSTER COUNTY WATER AND WASTEWATER ASSET INVENTORY AND CAPACITY STUDY.pdf

COUNTY OF ULSTER

REQUEST FOR PROPOSALS

RFP-UC25-062

ULSTER COUNTY WATER AND WASTEWATER ASSET

INVENTORY AND CAPACITY STUDY

ULSTER COUNTY PURCHASING DEPARTMENT

EDWARD JORDAN

DIRECTOR OF PURCHASING

100 Development Court

KINGSTON, NY 12401

RECEIPT CONFIRMATION FORM

PLEASE COMPLETE AND RETURN THIS CONFIRMATION FORM WITHIN 5 WORKING DAYS

OF RECEIVING BID PACKAGE TO:

Ancolie Martelly; Principal Buyer Telephone: (845) 340-3405

Ulster County Purchasing Department

100 Development Court, Kingston, NY 12401

Fax: (845) 340-3434

Email: anma@co.ulster.ny.us

RFP-UC250-062 (ULSTER COUNTY WATER AND WASTEWATER ASSET INVENTORY AND

CAPACITY STUDY)

Failure to return this form may result in no further communication or addenda regarding this Bid.

Company Name: ______________________________________________________________________

Address: ____________________________________________________________________________

City: ______________________________________________ State: _________ Zip Code: __________

Contact Person: _______________________________________________________________________

Phone Number: ______________________________EXT:_____ Fax Number: ____________________

Email: ______________________________________________________________________________

I have received a copy of the above noted PROPOSAL.

_____ We will be submitting a PROPOSAL

_____ We will NOT be submitting a PROPOSAL – (please indicate reason)

Signature: __________________________________________________________________

Title: ______________________________________________________________________

If a bidders meeting has been arranged for this Bid, please indicate if you plan to attend: Yes / No

COUNTY OF ULSTER – PURCHASING DEPARTMENT

100 DEVELOPMENT COURT, KINGSTON, NY 12401

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

ASSET INVENTORY AND CAPACITY STUDY

RFP-UC25-062 - 3 -

REQUEST FOR PROPOSAL

DATE: September 4, 2025

NOTICE IS HEREBY GIVEN THAT SEALED PROPOSALS ARE SOUGHT AND REQUESTED FOR

THE FOLLOWING:

RFP NAME: ULSTER COUNTY WATER AND

WASTEWATER ASSET INVENTORY AND

CAPACITY STUDY

RFP NUMBER: RFP-UC25-062

MAIL PROPOSAL TO: Ulster County Purchasing

100 Development Court

Kingston, NY 12401

SUBMISSION DATE October 10, 2025 by 4:00 P.M.

Proposals received after the time specified will not be opened.

CONTACT PERSON: Ancolie Martelly; Principal Buyer

Ph: 845-340-3405 Email: anma@co.ulster.ny.us

PROPOSALS MUST BE SUBMITTED IN A SEALED ENVELOPE OR PACKAGE.

PRINT (ON THE FACE OF ENVELOPE): 1) NAME & ADDRESS OF COMPANY

2) RFP NAME & NUMBER

It is the responder’s responsibility to read the attached RFP Specifications.

By: Edward Jordan

Director of Purchasing

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

RFP-UC25-062 - 4 -

REQUEST FOR PROPOSAL

1.0 PURPOSE

Overview

The Ulster County Planning Department is seeking proposals from engineering firms with experience in water and wastewater systems to develop a county-wide inventory of publicly owned assets related to water and wastewater systems including their condition, capacity, extent of service area, etc. Ulster County desires to take a holistic look at the water and sewer systems within the County and to increase its understanding of their ability to accommodate additional economic and housing development in the areas served by existing systems. The County also seeks to evaluate the potential to expand service areas of existing systems, which would allow it and its partner municipalities to respond to housing and economic development proposals with greater certainty.

The County’s water and sewer treatment and distribution network is characterized by management and operation of nearly all systems by the individual municipalities, with portions of these services provided through shared infrastructure under intermunicipal agreements. The County has recently invested nearly seven million dollars of funding in improvements of various water and sewer systems throughout the

County, funding various improvements as requested by municipalities.

Project Objectives

The objective of this study is to provide an inventory and technical examination of the municipal water and wastewater facilities in every community in the County; evaluate the potential capacity in existing systems to support future growth with a focus on available housing and economic development properties; identify limitations to system expansion including physical factors; assess the infrastructure investments that may be necessary to support growth objectives; and provide documentation and digital mapping in GIS of all existing assets. The work will include:

1. Evaluate Water and Sewer Capacity: Assess the capacity of the existing systems in relationship to current permits, users and any known development proposals.

2. Evaluate Water and Sewer Conditions: Assess current conditions of existing systems, including any deficiencies and capital improvements, established or programmed.

3. Evaluate Water and Sewer Financing: Assess the current rate structure vs. cost of service and capital needs at a planning level to ascertain if the short term needs of the system can be met within existing revenues.

4. Identify Barriers and Solutions: Identify and address any barriers such as water source or site size that limit the provision of service and/or improvements.

5. GIS Mapping: Provide mapping of service areas in Arc Pro format including locations of available service lines, water sources, and sewer outfalls, etc.

2.0 SCOPE OF WORK

Project Management and Administration

The County’s Project Manager (PM) shall be Dennis Doyle, Director of Planning, or his designee. The PM shall be the single point of contact for the Project and will approve project deliverables and their distribution to the Technical Advisory Committee (TAC). The PM shall also approve scheduling of project events, PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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handle any media inquiries, grant initial approval of all invoices, and perform general project administration efforts. The PM will also be responsible for final acceptance of project deliverables.

The Technical Advisory Committee will consist of representatives from the County’s Departments of

Health, Environment, and Economic Development, along with municipal officials responsible for water and sewer systems.

It is anticipated that much of this effort will include and require cooperation with town officials and their consultants as well as the New York State Department of Environmental Conservation (NYSDEC) and the

New York State Department of Health (NYSDOH).

Project Kickoff

The Firm shall be responsible for an internal kickoff meeting and shall work with the PM and the Ulster

County Planning Department to discuss project logistics upon project initiation. The Firm shall develop a draft work plan (“Project Workplan”) prior to this meeting which will detail the objectives, work steps, outcomes, timelines, and deliverables for each task. The Firm shall provide the Project Workplan to the

County’s PM in advance of the meeting. Items to discuss in the kickoff meeting will include:

• Project goals, milestones and deliverables.

• Data sources and responsibilities.

• Project timeline.

• Roles and responsibilities for the Firm, the County, the PM, and TAC.

• Communication protocols with the PM, and TAC.

Task 1: Data Gathering

The examination of existing infrastructure will rely on active participation and engagement with the existing system owners and operators including municipalities, their consulting engineers, facility managers, the Ulster County Department of Health (UCDOH), NYSDEC, and NYSDOH. It is anticipated that facility tours and personal interviews will be conducted by the Firm to collect and review information including, but not limited to:

• Current capacity of water and wastewater treatment systems, including safe yield for water.

• Principal treatment processes and mechanical systems.

• Scheduled or anticipated facility upgrades and improvement or expansion projects.

• Scheduled or anticipated water distribution or wastewater collection system upgrades or expansions.

• Historic problems or obstacles to operations, improvements, and expansions including operational difficulties, regulatory compliance, land-use restrictions, or other operations barriers.

It is anticipated that the Firm will develop system evaluation forms for the above that will be utilized in assessing each systems ability to meet existing and future demands.

Deliverable: Evaluation forms for each system with the above information.

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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Task 2: Water Supply Systems

• Existing water treatment plants and systems shall be evaluated to identify peak design capacity

(including intake), water source withdrawal limits, current production levels (average day and peak day), and seasonal variations.

• Capital facility investments that are scheduled or necessary shall be identified.

• Recommended short- and long-term improvements shall be provided, including planning-level cost estimates, needed upgrades, and suggested upgrades.

Deliverable: Water supply system report(s) with recommended critical improvements and ability to meet existing and potential demand.

Task 3: Wastewater Systems

• Existing wastewater treatment facilities shall be evaluated for peak design treatment capacity, existing average day and peak day flows, and seasonal variations.

• All plants shall be evaluated to determine the general condition of key components, including outfalls. Specific attention shall be paid to current SPDES permits, including the date of the last update and anticipated upgrades at the time of the next renewal.

• Where data is available, pump stations shall be evaluated for pumping capacity as compared to existing average day, peak day, and peak pumping period capabilities.

• The capacity and general condition of all key gravity and force main sewer lines shall be evaluated, with particular emphasis on trunk sewer mains.

• The study shall propose and evaluate upgrades to wastewater infrastructure that would reasonably accommodate additional demand from development within existing district boundaries, as well as the ability to expand district boundaries to adjoining areas.

• Planning-level cost estimates shall be provided for needed improvements and suggested upgrades.

Deliverable: Wastewater system report(s) with recommended critical improvements and ability to meet existing and potential demand.

Task 4: Mapping Task

It is anticipated that mapping will be in ArcPro format (Responders should submit proposed specifications for mapping).

Water Supply Systems: Existing public water supply facilities and infrastructure shall be mapped, including the following:

• All water treatment plants and key points of water supply.

• All publicly owned/operated water distribution and transmission mains, indicating main size and material (where available).

• All water storage tanks, standpipes and reservoirs.

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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Wastewater Systems: Existing wastewater facilities and infrastructure within Ulster County, including the following:

• All existing wastewater treatment plants and discharge locations.

• All publicly owned/operated gravity sewer mains and force mains, indicating size and material

(where available).

• All pump stations.

Deliverable: Map files and tables with the data noted above for water and wastewater in the agreed upon format.

Task 5: Draft and Final Report

The study results should be summarized in a report(s) that provides an assessment of existing conditions of the publicly owned water and wastewater systems in the County and an overview of their ability to meet existing and expected demand within their service area. The report(s) will also summarize the ability of these systems to accommodate additional development through expansion of service areas or shared resources.

Critical needs shall be identified, along with broad planning-level cost estimates for needed improvements. In addition, suggested funding sources and strategies shall be included.

Deliverable: Draft and Final Report(s) with Executive Summary site selection list that identifies long and short term recommendations with critical improvements identified.

General Note on Deliverables: The County will provide one round of consolidated comments on each of the deliverables by task. The Firm will review and address all County comments on the deliverables and will incorporate comments into the final deliverable for each task. At the project conclusion the County will receive digital copies (e.g., Word, PDF, ESRI, etc.) of all task deliverables including photos. These files shall be appropriately labeled and indexed.

3.0 PROPOSAL/SUBMITTAL RETURN DATE

3.1 RETURN CONFIRMATION FORM

Receipt Confirmation Form which follows the cover page of this RFP should be completed and emailed or faxed to the Ulster County Purchasing Department immediately if planning on submitting a proposal.

Failure to file this form with Ulster County Purchasing may result in no further communications regarding this RFP. In order to better evaluate the County’s procedures, those deciding not to respond to the RFP are asked to return the sheet with a short explanation of the reason(s) they will not be submitting.

3.2 RETURN DATE

One unbound original, one (1) photocopy, and one electronic copy (CD or thumb drive) of the proposal in

MS Word and PDF format and other required documents comprising the entire proposal must be submitted, sealed in an opaque envelope/package clearly marked on the outside with the name and number of the RFP, and the name and address of the responder. All copies and the original document must be clearly identified as such. The Original Document is required to contain original ink-signed signature pages.

The electronic copy should include all submittal documents including scanned signature pages.

Proposals must be received no later than 4:00 P.M. on October 10, 2025 at the following address:

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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Ulster County Purchasing

Edward Jordan, Director of Purchasing

100 Development Court

3.3 SUBMISSION CONDITIONS

The Proposal submitted by the individual Responder(s) is the document upon which Ulster County will make its initial judgment regarding the Responders qualifications, understanding of the County’s scope and objectives, methodology, and ability to perform services under the contract.

Those submitting Proposals do so entirely at their expense. There is no express or implied obligation by

County of Ulster to reimburse any firm or individual for any costs incurred in preparing or submitting

Proposals, preparing or submitting additional information requested by the County, or for participating in any selection interviews.

Submission of a proposal indicates acceptance of the conditions contained in this RFP, unless clearly and specifically noted otherwise in the proposal.

Proposals will remain valid until the execution of a contract by Ulster County, unless otherwise rejected consistent with this RFP.

Oral, faxed, or telephoned submittals, or modification thereof, will not be accepted. The County of Ulster reserves the right to waive any and all informalities and to disregard all nonconforming, non-responsive or conditional Proposals. Ulster County reserves the right to reject any or all proposals.

The County of Ulster may, at any time by written notification to all Responders, change any portion of the

RFP described and detailed herein.

3.4 GENERAL GUIDELINES

This section of the RFP provides general guidance for preparing proposals. Specific instructions on the format and content of the proposal are contained in Section 4.0 SUBMITTAL CONTENT AND

FORMAT. The responder’s proposal must include all data and information requested by the RFP and must be submitted in accordance with these instructions. The proposal shall be compliant with the requirements as stated in the General Specifications specified in this RFP. Nonconformance with the instructions provided in the RFP may result in an unfavorable proposal evaluation.

The proposal shall be clear, concise and shall include sufficient detail for effective evaluation and for substantiating the validity of stated claims. The proposal should not simply rephrase or restate the

RFP requirements but rather shall provide convincing rationale to address how the responder intends to meet these requirements. Responders shall assume that the County (1) has no prior knowledge of their facilities and experience, and (2) will base its evaluation on the information presented in the responder’s proposal.

Elaborate brochures or documentation, binding, detailed artwork, or other embellishments are unnecessary and are not desired. Similarly, for oral presentations, elaborate productions are unnecessary and not desired.

All submitted proposals become the property of Ulster County. The County Purchasing Department will retain one copy of all unsuccessful proposals and will destroy extra copies of such unsuccessful proposals.

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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3.5 QUESTIONS/CLARIFICATIONS

No oral interpretations as to the meaning of the RFP or revisions to the RFP will be made for any responder.

Requests for clarification or interpretation shall be made in writing and directed to

Ancolie Martelly; Principal Buyer

Ulster County Purchasing, 100 Development Court

Email: anma@co.ulster.ny.us or Fax 845-340-3434

At least ten (10) calendar days before the date established for submitting proposals. Inquiries will not be considered after that date. Transmittal of questions via facsimile is acceptable.

Any interpretation deemed necessary by Ulster County will be in the form of an addendum to the RFP and, when issued, will be delivered as promptly as is practicable to all responders. All addenda shall become part of the RFP. Responders shall not rely upon any oral statements or conversations they may have with Ulster

County employees or third parties regarding the RFP whether at any pre-proposal conference or otherwise.

4.0 SUBMITTAL CONTENT AND FORMAT

In order for the County to conduct a uniform review process of all proposals, proposals must be submitted in the format set forth below. Failure to follow this format may be cause for rejection of the proposal because adherence to this format is critical for the County’s evaluation process:

SECTION I

Title Page: Showing RFP number, closing date and time, responder’s name, address, telephone and fax number of the company. Responder must also clearly identify the name(s) of the contact person responsible for inquiries regarding the RFP submission and the person responsible to bind the company contractually. Along with the names of these individuals, responder must provide their phone and fax numbers and email address for each.

Table of Contents: The Table of Contents must indicate the material included in the proposal by section and page number.

SECTION II: QUALIFICATIONS AND EXPERIENCE

Each responder will provide the history of their company, describe their professional qualifications, prior experience in similar projects, demonstrated capabilities, including demonstrated ability to work effectively with other service and system providers (e.g., County government), history of regulatory compliance, fiscal solvency and budget performance; contract compliance; accuracy and timeliness of reporting; management structure and ability to support projects of this scope; ability to recruit and retain staff; and commitment to staff development.

Provide examples of how changes implemented to other programs managed by the company improved operations and resulted in cost savings.

Identify all personnel assigned to the project. (Attach resumes)

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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Provide a minimum of three (3) references, excluding Ulster County, for similar projects completed. Include contact name, telephone number, date of contract, dollar value of contract and brief description of the program. Specific emphasis should be placed on similar work performed in the previous five years.

SECTION III: PROPOSED PLAN

In a narrative format, describe in detail how the program will be structured explaining how each of the requirements of the Scope of Work and other tasks will be accomplished. Include any other additional services, enhancements and/or options that will be provided to the County.

Explain what steps will be necessary to implement services.

Describe what information will be provided to the County effectively capturing required data.

Attach samples of all reports to be used.

Describe the plan to work with the County.

Detail methods to be employed which will result in cost savings for the County. Give examples and where possible provide a realistic estimate cost savings.

Include any additional services or information seen beneficial to this program that the evaluation committee should consider.

SECTION IV: FEE/COST PROPOSAL

Fee/Cost Proposal must be provided separately and unbound from the main proposal. The

Fee/Cost Proposal is evaluated apart from the main proposal. This Fee/Cost Proposal shall be submitted in Original, Photocopy, and Electronic formats as described in Section “3.2 RETURN

DATE.” The hardcopy Cost/Fee proposal shall be submitted in a separate envelope marked

“COST PROPOSAL” with the RFP name and number, submitted at the same time (in the same package) as the proposal. The electronic format may be submitted as a separate file on the same flash drive as the main proposal.

The fee schedule supplied will include all items of labor, materials, travel, equipment and other costs necessary to fully provide the service. The responder’s name must appear on all cost proposal sheets.

SECTION V: RETURN DOCUMENTS

Complete and sign all Return Sheets as indicated at the end of this RFP document.

5.0 EVALUATION CRITERIA

Only those proposals that contain complete information and required certifications will be considered. All proposals will be evaluated and examined by a committee of Ulster County representatives using multiple criteria. The project may be awarded to a qualified responder that, based on the committee’s evaluation, submits the proposal that best meets the County’s needs.

The submitted proposals will be evaluated based on the following criteria:

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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▪ OVERALL PLAN TO PROVIDE REQUIRED SERVICES (35 Points)

• Completeness of responder’s proposed plan to provide Water and Wastewater Asset

Inventory and Capacity Study.

• Demonstrated capability of the responder to satisfactorily meet not only the requirements outlined in this document but all necessary phases of the program.

• Plan and timeline to accomplish all required tasks.

▪ FEE/PRICING PROPOSAL (30 Points)

• Cost of proposal

• Reasonableness of fees and budget

• Reasonableness of optional fees

▪ QUALIFICATIONS AND EXPERIENCE (20 Points)

• Responder’s experience with projects of similar size and scope

• Personnel qualifications and experience

• Responder’s business history and viability

• References

▪ UNDERSTANDING OF COUNTY’S GOALS AND OBJECTIVES (10 Points)

• Responder understands and proposal addresses the needs of the County and offers a program that will meet or exceed the County’s objectives.

▪ LOCAL ECONOMIC DEVELOPMENT (5 Points)

• Vendors located within Ulster County will receive five points.

• Vendors located within a contiguous county will receive three points.

• Vendors located within New York State will receive one point.

6.0 QUALIFICATION OF RESPONDENT

Each responder shall provide a statement of qualifications as required by these specifications.

The County of Ulster may make such investigations it deems necessary to determine the ability of the responder to perform the work. The responder shall furnish to the County, within five (5) days of a request, all such information and data for this purpose as may be requested. The County reserves the right to reject any proposal if the information submitted by, or investigation of, such responder fails to satisfy the County that such responder is properly qualified to carry out the obligations set forth in this RFP and/or the resulting contract and to complete the work contemplated therein. Conditional proposals will not be accepted.

7.0 PRE-PROPOSAL MEETING (VENDOR’S CONFERENCE)

A pre-proposal meeting is not scheduled at this time.

8.0 METHOD OF AWARD

It is the intention of the County that the award of this project shall be made to the responder whose total proposal, in the opinion of Ulster County, best meets the established criteria listed herein. All aspects of evaluation will be taken into consideration in awarding the project.

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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It is understood by the parties that the contract resulting from this RFP shall be executed only to the extent of the monies available to the County of Ulster.

A notice of award shall not be binding upon the County until the contract has been fully executed by both parties.

9.0 CONTRACT PERIOD

The term of the contract will be for A PERIOD OF ONE YEAR, commencing on 12/1/2025 through

12/31/2026 with a County option to renew for one additional one-year terms under identical prices and conditions.

The successful responder shall execute a contract with the County of Ulster in substantial conformance with this RFP and the attached sample County of Ulster AGREEMENT FOR PROFESSIONAL SERVICES.

Federal law and regulations governing the privacy of certain health information requires a “Business

Associate Agreement” between the COUNTY and the awarded Vendor [45 C.F.R. Section 164.504(e)]. The

COUNTY and the awarded Vendor agree to enter into a separate Business Associate Agreement, to be executed simultaneously with the Agreement For Professional Services.

10.0 INTERVIEWS

If the Evaluation Committee determines necessary, interviews may be scheduled with selected responders as soon as possible after the initial evaluation. This will permit further evaluation and to allow the Evaluation

Committee to inquire further into the experience the responder has had on similar projects, willingness and ability to work closely with Ulster County staff and others, thorough understanding of the various aspects of the requirements, and ability to maintain a schedule and complete the services on time and other matters deemed pertinent.

11.0 ALTERNATE PROPOSALS

Ulster County reserves the right to consider alternatives submitted by Responders that provide enhancements beyond the RFP requirements. Proposal alternatives may be considered if deemed to be in the best interest of

Ulster County's. Responders shall clearly identify and explain in detail where such alternatives deviate from or qualify the terms of the proposal and specifications as issued.

12.0 COMPLIANCE WITH LAWS, LICENSES AND PERMITS

The responder(s) agree that they will fully comply with all applicable Federal, State and County policies, procedures, standards and laws, rules and regulations.

Vendor must submit construction documents, stamped plans, and/or specifications where required and in accordance with Title 19 NYCRR Part 1203 to the Authority Having Jurisdiction (Ulster County Safety

Office).

Vendor must provide proof of compliance with the NYS Energy Code through a code approved Prescriptive or Performance based compliance path to the Authority Having Jurisdiction (Ulster County Safety Office).

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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13.0 PERSONNEL IDENTIFICATION

All personnel must carry on their person photo identification (e.g. employee identification badge, valid driver’s license, etc.), while on Ulster County property and promptly show such identification when requested to do so by any Ulster County employee. Representatives of the County reserve the right to reject and bar from the facility, for good and sufficient reason, in the sole discretion of the County, any employee hired by the Contractor.

14.0 INSURANCE

The successful responder shall, at their own expense, maintain in effect at all times during the performance of the work under this contract, if any, resulting from this RFP, at least the insurance coverage specified in

Schedule C “Insurance Requirements” that is part of the sample Contract Agreement for Professional

Services which is included in this RFP. The successful responder shall file with Ulster County Purchasing, within ten (10) days of notice of award, evidence of insurance certifying the required coverage.

15.0 DISCLOSURE OF OWNERSHIP INTEREST

Pursuant to Resolution Number 8 of 2023, the Ulster County Legislature approved a requirement of full transparency and disclosure of the name(s) of individual(s) and business entities holding ownership interest in business entities that enter into contract(s) with Ulster County. Therefore, the following information shall be disclosed, in writing, to the Ulster County Department of Purchasing and then be provided to the

Chair of the Legislature and the Chair of the Ways and Means Committee, at the time a business entity submits a bid to the Ulster County Purchasing Department, or, prior to entering into written contract for such work, whichever is sooner:

1. The names of all individuals with an interest in, ownership or control of 10% or more of the profits or assets of such business entity, or of 10% of the stock in the case of a business entity that is a corporation for profit.

2. The names of all principals, partners, officers, or directors of the business entity and their immediate family members, and members of household as defined by Section 2(K) of the Ulster

County Ethics Law.

3. The names of any subsidiary business entities directly or indirectly controlled by the business entity.

4. For business entities holding 10% or more of the profits or assets of a business entity seeking to do business with Ulster County, the names of all principals, partners, officers, or directors of the business entity and their immediate family members and members of household; and, be it further

RESOLVED, that the names of the individuals as set forth above shall be entered into the Ulster County financial software system, and shall be included when any resolution or contract is presented by any Ulster

County department for approval by the Ulster County Legislature; and, be it further

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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RESOLVED, that nothing contained in this policy shall be construed as affecting the eligibility of any business entity to perform a public contract because that entity made a contribution to any committee during the one-year period immediately preceding the effective date of this act.

This information must be provided in the Disclosure of Ownership Interest Certification Form, which is included in the required forms section at the end of this solicitation.

16.0 DISQUALIFICATION

The County reserves the right to refuse to issue an award to a responder that fails to comply with any pre-qualification regulations of the County, if any such regulations or requirements are cited, or otherwise included in the Request for Proposal.

Proposals received from responders who have previously failed to complete contracts within the time required, or who have previously performed similar work in an unsatisfactory manner, may be rejected. A proposal may be rejected if the responder cannot show that it has the necessary ability, resources and qualified employees to commence the work at the time prescribed and thereafter to perform and complete the work at the rate or within the time specified. A proposal may be rejected if the responder is already obligated for the performance of other work that would delay the commencement, performance or completion of the work described in this RFP.

17.0 PAYMENT

PAYMENT PROCESSING: Responder will invoice the County monthly. Each invoice shall be prepared in such form and supported by such documentation as the County may reasonably require. Payments cannot be processed by the County until an invoice referring to the Contract Number and are mailed to the proper departmental address. The County will pay the proper amounts due the vendor within sixty (60) days of receipt by the County of the vendor’s invoice with the requested supporting documentation and approval of the vendor’s invoice by the Department Head and the Ulster County Comptroller.

18.0 FREEDOM OF INFORMATION

The responder agrees to comply with the Freedom of Information Law (FOIL) and such rules and regulations as the County and the State may from time to time make, including, but not limited to, such rules as may be devised governing access to public documents pursuant to Article 6 of the Public Officers Law, popularly known as the Freedom of Information Law.

Proposals submitted in response to this RFP shall be considered public documents and, with limited exceptions, all proposals, including proposals that are recommended for award, will be available for inspection and copying by the public.

If a Responder considers any portion of its proposal to be protected under the law, the Responder shall clearly and distinctly identify each such portion with words such as "CONFIDENTIAL, “or

“PROPRIETARY". If a request is made for disclosure of such portion, Ulster County will determine whether the material should be made available under the law. If the material is not exempt from public disclosure law, Ulster County will notify the Responder of the request and allow the Responder five days to take whatever action it deems necessary to protect its interests. If the Responder fails or neglects to take such action within said period, Ulster County will release portions of the proposal deemed subject to disclosure.

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

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By submitting a proposal, the Responder assents to the procedure outlined in this paragraph and shall have no claim against Ulster County on account of actions taken under such procedure.

19.0 AFFIDAVIT OF NON-COLLUSION

The completion AND submission of the Affidavit of Non-Collusion, which is included with this RFP and is required with the submittal, certifies that the prices in the submitted proposal have been arrived at independently without collusion, consultation, communication, or agreement for the purpose of restricting competition, as to any matter relating to such prices with any other responder with or any competitor.

20.0 SUSPENSION AND DEBARMENT

By submitting a proposal in response to this RFP, each responder warrants that neither it nor any of its officers, employees, subcontractors, or agents is excluded or in any other manner barred from doing business with any federal, state, or local agency, municipality, or department. Any misrepresentation or false statement related to a responder’s status in this regard will result in rejection of such responder’s submission.

In addition, if the successful responder or any of its officers, employees, subcontractors, or agents become excluded or barred in any manner from doing business with any federal state, or local agency, municipality, or department, during the period in which goods and/or services are provided pursuant to this RFP, the successful responder agrees to immediately notify the County Attorney of such status. Any misrepresentation or false statement related to the successful responder’s status in this regard, or any failure by the successful responder to immediately notify the County Attorney of any change in such status, shall result in immediate termination of County’s business relationship with the successful responder in addition to such other remedies as may be provided by law, in equity, pursuant to the terms and conditions of this

RFP document, or the conditions of the contract, if any, resulting from this RFP.

21.0 PREVAILING WAGE RATES

The successful Responder is required to pay the Prevailing Wage Rates and the Prevailing Hourly

Supplements pursuant to Section 220-A of the NYS Labor Law if applicable.

22.0 ULSTER COUNTY LIVING WAGE ACT

In accordance with Local Law 6 of 2021 also known as the Ulster County Living Wage Act, if this

Agreement is for an amount of FIFTY THOUSAND and 00/100 ($50,000.00) DOLLARS or more in a

County fiscal year (January 1 – December 31) and the Vendor has not received an exemption from the

Ulster County Living Wage Act specific to this Agreement, the Vendor shall pay their employees the

Living Wage then in effect for the period during which services are being covered by this Agreement.

The current Living Wage can be found on the Ulster County Purchasing Department’s website https://ulstercountyny.gov/purchasing. The Ulster County Living Wage Act can be accessed electronically at any time by going to https://legislature.ulstercountyny.gov/sites/default/files/Local%20Law%20No.%206%20of%202021%2

0-%20Living%20Wage_0.pdf https://ulstercountyny.gov/purchasing https://legislature.ulstercountyny.gov/sites/default/files/Local%20Law%20No.%206%20of%202021%20-%20Living%20Wage_0.pdf https://legislature.ulstercountyny.gov/sites/default/files/Local%20Law%20No.%206%20of%202021%20-%20Living%20Wage_0.pdf

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

RFP-UC25-062 - 16 -

23.0 EXTENSION OF PRICES

Political sub-divisions, including the City of Kingston and others authorized by law, including certain non-profit independent post-secondary, secondary, and elementary educational institutions may participate in contracts resulting from this bid opening.

24.0 IMPLIED REQUIREMENTS

Products and services which are not specifically requested in this RFP, but which are necessary to provide a complete program/project as described herein, shall be included in the submitted proposal.

25.0 SUSTAINABILITY REQUIREMENTS

Ulster County is firmly committed to sustainability and environmental responsibility. As directed by

Executive Order #1 of 2023 (https://ulstercountyny.gov/environment/department-environment) issued by the County Executive, adherence to GreenNY sustainability requirements is now a fundamental aspect of our procurement process.

Ulster County has qualified to achieve certification as a New York State Green Purchasing Community.

The County’s sustainability initiative is designed to apply across a broad range of products and services.

Suppliers are advised to review the GreenNY sustainability requirements (https://ogs.ny.gov/greenny-purchasing-requirements-and-tools), familiarize themselves with the County’s initiatives aimed at mitigating the environmental footprint of its operations, and embrace the principles of environmental stewardship.

26.0 TIMETABLE FOR REQUEST FOR PROPOSAL

Listed below are specific and estimated dates and times of actions related to this request for proposal (RFP).

In the event it is necessary to change the return date for the RFP a supplemental addendum to this RFP shall be issued by the County.

Tuesday September 30, 2025 Last day to submit written inquiries

Friday October 10, 2025 Due Date for Proposals

Week of October 13, 2025 Selection Committee evaluates Proposals

Week of October 20, 2025 Oral Interviews By Invited Companies (If Deemed Necessary)

Week of October 27, 2025 Notice of Intent to Award

December 1, 2025 Contract Start Date

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

RFP-UC25-062 - 17 -

(Rev. 12/01/23)

County Contract No.______________

AGREEMENT FOR

PROFESSIONAL SERVICES

THIS AGREEMENT is entered into by and between the COUNTY OF ULSTER, a municipal corporation and a county of the State of New York with principal offices at 244 Fair Street, Kingston, New York 12401 (the “County”), and [ENTER FIRM

NAME], a [to be completed by the County Attorney’s Office] with principal offices at [Enter Firm’s business address] (the “Firm”), (each, a “Party;” together, the “Parties”).

RECITALS

WHEREAS, the County, by and through its Department of [Enter County’s Dept. Name], desires to enter into an agreement for [state basic description of services to be performed]; and

WHEREAS, the Firm [state brief description of how vendor is qualified to provide service and was selected] OR [was the lowest, responsible bidder to respond to the County’s Request for Bid RFB-UC___ (the “Bid”) pursuant to the terms and conditions of the Bid];

and

WHEREAS, the County has agreed to engage the Firm, and the Firm has agreed to contract with the County, to [state brief description of services to be provided] [pursuant to Bid No. _____________ and the Firm’s Response to Bid No. _____________] in accordance with the terms and conditions set forth in this Agreement.

NOW THEREFORE, in consideration of the promises and covenants set forth below, the Parties hereby agree as follows:

ARTICLE 1 - SCOPE OF SERVICES

The Firm agrees to perform the services identified in Schedule A, the Scope of Services (the “Services”), which is attached hereto and is hereby made a part of this Agreement. The Firm agrees to perform the Services in accordance with the terms and conditions of this

Agreement. It is specifically agreed to by the Firm that the County will not compensate the Firm for any services not included in Schedule

A without prior authorization, evidenced only by a written Change Order, Amendment, or Addendum to this Agreement, which is executed by the Ulster County Executive (the “Executive”) or the Ulster County Director of Purchasing (the “Purchasing Director”), after consultation with the head of the County Department responsible for the oversight of this Agreement (the “Department Head”), and upon review by the County Attorney’s Office.

ARTICLE 2 - TERM OF AGREEMENT

The Firm agrees to perform the Services beginning [Enter Start Date], 20__ and ending [Enter Completion Date], 20_____. In accordance with the Bid and with written notice to the Firm, the County may extend the Term of this Agreement at its sole discretion for up to [________] additional [one (1) year] periods.

ARTICLE 3 - COMPENSATION

A [CHOOSE ONE- fixed fee OR not-to-exceed] amount of [WRITE OUT DOLLAR AMOUNT IN CAPS] AND __/100 ($ . )

DOLLARS has been established for the Services to be rendered by the Firm. Costs in excess of the above amount may not be incurred without the prior written authorization of the Executive or the Purchasing Director, after consultation with the Department Head, and evidenced only by a written Change Order, Amendment, or Addendum to this Agreement. It is specifically agreed to by the Firm that the

County will not be responsible for any additional costs, or costs in excess of the above cost, if authorization by the Executive or the

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

RFP-UC25-062 - 18 -

Purchasing Director is not given in writing prior to the performance of any services giving rise to such excess or additional costs. The

County shall be invoiced and make payments as described in Schedule B, “Fees, Expenses, and Submissions for Payment.”

In the event that the Firm receives payments, from any source whatsoever, in consideration for the same Services provided to the County under this Agreement, the monetary obligation of the County hereunder will be reduced by an equivalent amount, provided, however, that nothing contained herein will require such reimbursement where additional similar services are provided, and no duplicative payments are received.

ARTICLE 4 - EXECUTORY CLAUSE

The County will have no liability under this Agreement to the Firm or to anyone else beyond funds appropriated and available for this

Agreement. The County may terminate this Agreement if funds are not appropriated, available, or are reduced for this Agreement.

The Firm understands and agrees that the dollar amounts identified in this Agreement are based upon funding allocations from the State of New

York and/or the Federal Government, which are the basis for any payments made by the County hereunder. In the event that the anticipated amount of funding changes, or is reduced or denied, in part or in full, the County, where appropriate, will not be liable to the Firm for the difference. If the full state and/or federal funding to the County for any payment to be made or which has been made under this Agreement, by the County to the Firm, is reduced for any reason whatsoever, then the County may (i) deduct and withhold from any future payment(s) an amount equal to the reduction in funding, or (ii) otherwise recover from the Firm the amount of the reduction. It is understood that based upon changes in the state and/or federal funding process, the actual amounts in this Agreement may change throughout the Term. The amounts in this

Agreement will be amended to reflect the actual amounts to be paid upon notification to the County by the state and/or Federal Government, as necessary.

ARTICLE 5 – PROCUREMENT OF AGREEMENT

The Firm represents and warrants that no person or selling agent has been employed or retained by the Firm to solicit or secure this

Agreement upon a separate agreement, or upon an understanding for a commission, percentage, brokerage fee, contingent fee, or any other compensation. The Firm further represents and warrants that no payment, gift, or thing of value has been made, given, or promised to obtain this or any other agreement between the Parties. The Firm makes such representations and warranties to induce the County to enter into this

Agreement and the County relies upon such representations and warranties in the execution hereof.

For a breach or violation of such representations or warranties, the County will have the right to annul this Agreement without liability, entitling the County to recover all monies paid hereunder, and the Firm shall neither make claim for, nor be entitled to recover any sum or sums otherwise due under this Agreement. This remedy, if effected, will not constitute the sole remedy afforded to the County for such breach or violation, nor will it constitute a waiver of the County’s right to claim damages or otherwise refuse payment, or to take any other action provided for by law, in equity, or pursuant to this Agreement.

ARTICLE 6 - CONFLICT OF INTEREST

The Firm represents and warrants that neither it, nor any of its directors, officers, members, partners, or employees, have any interest, nor will they acquire any interest, directly or indirectly, which would or may conflict in any manner or degree with the performance or rendering of the Services to be provided pursuant to this Agreement. The Firm further represents and warrants that in the performance of this Agreement, no person having such interest or possible interest will be employed by it, and that no elected official or other officer or employee of the County, nor any person whose salary is payable, in whole or in part, by the County, or any corporation, partnership, or association in which such official, officer, or employee is directly or indirectly interested, will have any such interest, direct or indirect, in this Agreement, or in the proceeds thereof, unless such person (i) is required by the Ulster County Ethics and Disclosure Law, as amended from time to time, to submit a disclosure form to the County’s Board of Ethics, and amends such disclosure form to include their interest in this Agreement, or (ii) if not required to complete and submit such a disclosure form, either voluntarily completes and submits said disclosure form, disclosing their interest in this Agreement, or seeks a formal opinion from the County’s Board of Ethics, as to whether or not a conflict of interest exists. The law and disclosure form may be accessed electronically at https://ulstercountyny.gov/board-of-ethics.

Alternatively, a hard copy of the law and disclosure form will be provided upon the Firm’s request.

For a breach or violation of such representations or warranties, the County will have the right to annul this Agreement without liability, entitling the County to recover all monies paid hereunder, and the Firm shall not make claim for, nor be entitled to recover any sum or sums https://ulstercountyny.gov/board-of-ethics

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/purchasing

RFP NAME: ULSTER COUNTY WATER AND WASTEWATER

RFP-UC25-062 - 19 -

otherwise due under this Agreement. This remedy, if effected, will not constitute the sole remedy afforded to the County for such breach or violation, nor will it constitute a waiver of the County’s right to claim damages or otherwise refuse payment, or to take any other action provided for by law, in equity, or pursuant to this Agreement.

ARTICLE 7 – REPRESENTATIONS BY THE FIRM

The Firm represents that it is fully licensed (to the extent required by law), experienced, and properly qualified to perform the Services to be provided under this Agreement, and that it is properly permitted, equipped, organized, and financed to perform such Services.

The Firm understands that it may become necessary for the County to submit to governmental agencies…