RQ26-002_RFQ Template_Final.pdf

(Rev. 2025)

REQUEST FOR QUOTATIONS

STATE OF NEW YORK

DEPARTMENT OF TRANSPORTATION

Office of Contract Management Purchasing Office

50 Wolf Road, Suite 1PC • Albany, New York 12232 Tel: (518) 457-4401 Fax: (518) 457-1593 www.dot.ny.gov

Quotation # RQ26-002

QUOTATIONS ACCEPTED BY USPS MAIL OR VIA EMAIL BY:

Close of Business (C.O.B.) 4:00PM Monday, August 31, 2026 Commodity or Service Sought (SCOPE OF WORK):

AGGREGATES FOR MAINTENANCE USE ON VENDOR PLACED PAVING

PROJECTS – CLINTON COUNTY

DESIGNATED CONTACT PERSON(S) (ALL COMMUNICATIONS AND QUOTE SUBMISSIONS ARE TO BE DIRECTED

TO:

PRIMARY CONTACT:

JESSICA OWEN

Phone #: (518)457-0775

Email address: Jessica.Owen@dot.ny.gov

SECONDARY CONTACT

MELANIE MARTIN

Phone #: (518)457-3508 Email address: Melanie.Martin@dot.ny.gov http://www.dot.ny.gov/ mailto:Jessica.Owen@dot.ny.gov mailto:Melanie.Martin@dot.ny.gov

This Request for Quotation (RFQ) will also be posted to the Advertisement for this opportunity on NYS Contract Reporter Site (www.nyscr.ny.gov). Prospective Bidders must register with the NYSCR at www.nyscr.ny.gov in order to receive immediate e-mail notifications about this solicitation opportunity through the Advertisement. Navigate to the “I want to find contracts to bid on” page to register for a free account. To receive e-mail notifications regarding updates to the content or status of the Advertisement, choose the option “send me notification updates on this,” located in the lower right hand corner of the Advertisement for this opportunity.

The prospective bidder should notify the DESIGNATED CONTACT PERSON(S) of any term, condition, etc., that might preclude the vendor from submitting a fully compliant, responsive bid. Bidders are cautioned to read this document thoroughly to become familiar with all aspects of the solicitation and contract requirements.

NOTE:

See the Procurement Lobbying Law clause restrictions on contact with authorized Department Officials.

Inappropriate contact through other than the Issuing Purchasing Official may result in disqualification and rejection of your quotation, and a designation of your firm as “Non-Responsible”.

Questions regarding this solicitation must be received by The New York State Department of Transportation (NYSDOT) by WEDNESDAY, AUGUST 26, 2026. A comprehensive list of questions and responses will be posted to the NYS Contract Reporter advertisement on or around THURSDAY, AUGUST 27, 2026.

OBJECTIVE: NYSDOT’s objective hereunder is to acquire Aggregates (703-0201C – Crushed Stone – Size

1) for Maintenance Use in Clinton County on 8 individual NYSDOT Vendor Placed Paving projects, pursuant to its discretionary purchasing authority under State Finance Law Section 163(6), which authorizes purchases without a formal competitive process in certain circumstances, including purchases from New York State small businesses, from businesses certified pursuant to Article 15-A of the New York State Executive Law (certified minority and women-owned business enterprises) and/or Article 3 of the New York State Veterans’ Services Law (service-disabled veteran owned business enterprises) and, if applicable, from businesses selling commodities or technology that are recycled or remanufactured. Accordingly, the State reserves the right to consider offers only from NYS resident small business concerns and firms certified under Article 15-A of the New York State Executive Law (Minority and/or Woman Owned Business Enterprises - M/WBE) and/or Article 3 of the New York State Veterans’ Services Law (Service-Disabled Veteran Owned Business Enterprises – SDVOB).

Offers of “equivalent” item(s) may be considered at the sole discretion of the Department, where the offerer has provided complete and compelling documentation of equivalency prior to or with its bid quotation submission.

http://www.nyscr.ny.gov/ http://www.nyscr.ny.gov/

THIS REQUEST FOR QUOTATION (RFQ) MUST BE

COMPLETED AND RETURNED IN ITS ENTIRETY

THIS IS NOT A FORMAL COMPETITIVE PROCUREMENT

(See OBJECTIVE on next page)

QUOTATION SUBMISSION DOCUMENTS

√Checklist

REQUIRED

BID PROPOSAL QUOTE FORM in its ENTIRETY (including Cost Proposal Worksheet excel file attachment)

IMPORTANT: MUST BE SIGNED FOR BID VALIDATION (see Bid Proposal Validation page 24)

STATEMENT OF QUALIFICATIONS (see Specifications page 21)

Exhibit A Forms/Questionnaires:

Procurement Lobbying Act - Offerer Certification and Attestation Form (see NYSDOT Purchasing Exhibit A Supporting Forms/Questionnaires)

Executive Order 16 Certification Form

Executive Order 177 Certification Form

Manufacturer’s Certification Form Complete if a request for Commodities

NYS Sales and Use Tax Forms (ST-220-CA & ST-220-TD)

Vendor Responsibility Questionnaire (proof of certification if conducted online) Complete if a Bid Exceeds $100,000

NYSDOL Registration for Public Work Projects

Complete if request includes Prevailing Wage Requirement. Must be registered with DOL prior to submitting a Bid.

(see Contractor and Subcontractor Landing | Department of Labor)

Other Required Documentation:

Workers Compensation and Disability Benefits Certificates Coverage (proof of compliance)

Insurance (proof of insurance and required amounts) (see Specifications – if required) https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fdol.ny.gov%2Fcontractor-and-subcontractor-landing&data=05%7C02%7CJessica.Owen%40dot.ny.gov%7C15bf842d472f49763bac08dd155ef481%7Cf46cb8ea79004d108ceb80e8c1c81ee7%7C0%7C0%7C638690219751883211%7CUnknown%7CTWFpbGZsb3d8eyJFbXB0eU1hcGkiOnRydWUsIlYiOiIwLjAuMDAwMCIsIlAiOiJXaW4zMiIsIkFOIjoiTWFpbCIsIldUIjoyfQ%3D%3D%7C0%7C%7C%7C&sdata=P0vZskDq%2FEntqf8m7zhLTZc2vDp1frjrY8hihQSlZRU%3D&reserved=0

The Following General Provisions Apply to this Solicitation . . .

1. Quotes for the furnishing and delivery of the materials, equipment or services as specified in this Request for Quotation (RFQ), will be received by the Contract Management Purchasing Office New York State Department of Transportation, 50 Wolf Road, Suite 1-PC, Albany, NY 12232, until the date and time established.

2. Appendix A Standard Clauses for all New York State contracts, is attached hereto, and is hereby made a part of any resulting agreement as if set forth fully herein.

3. The General Specifications (PUR 102) of NYSDOT Office of Contract Management Purchasing Office (Legal Affairs Division) are incorporated into this Request for Quotations (Appendix B) as part of “Stock Exhibit” attached and are made a part of it and any resulting agreement, as if set forth fully herein.

4. Sign the bid. By signing (including electronic signatures) you indicate your express authority to sign on behalf of yourself, your company, or other entity, and full knowledge and acceptance of the terms and conditions set forth in the Request for Quotation, the specifications set forth herein, and any and all Appendices and Exhibits attached hereto. The bid must be completed in the name of the bidder, corporate or other, and must be fully and properly executed by an authorized person.

5. Bid prices on commodities shall be F.O.B. Destination.

6. Bids submitted shall remain in effect for a period of ninety (90) days unless otherwise specified herein.

Bids shall remain in effect beyond such period until such time as either an award is made, or the bidder delivers written notice of withdrawal of its bid to the Office of Contract Management Purchasing Office.

7. Purchases made by the State of New York are not subject to state or local sales taxes or federal excise taxes.

There is no exemption from paying the New York State truck mileage, unemployment insurance, or Federal Social Security taxes. The official NYSDOT purchase order is sufficient evidence to qualify the transaction exempt from sales tax under section 1116(a)(I), Tax Law. For tax-free transactions under the Internal Revenue Code, the New York State registration number is 14740026K.

8. On all bid documents, the words “or equal” are understood to apply where a brand name, trade name, catalog reference or patented commodity is referenced, unless otherwise stated.

. . . June 2024

Quotation # RQ26-002 AGGREGATES FOR SHOULDER BACK-UP – CLINTON COUNTY Page 5 of 24 Issued By: NYSDOT Purchasing

GENERAL CLAUSES

PROCUREMENT LOBBYING LAW . . . (RESTRICTIONS on AGENCY CONTACTS) Pursuant to State Finance Law §139-j and §139-k, this solicitation includes and imposes certain restrictions on communications between NYSDOT staff and an offerer/bidder during the procurement process. An offerer/bidder is restricted from making contacts from the earliest notice of intent to solicit offers through final award and approval of the Procurement Contract by NYSDOT and, if applicable, Office of the State Comptroller (“Restricted Period”) to other than designated staff (see notice on preceding page) unless it is a contact that is included among certain statutory exceptions set forth in State Finance Law §139-j(3)(a). Designated staff, as of the date hereof, is identified on the initial pages of this solicitation. NYSDOT employees are also required to obtain certain information when contacted during the restricted period and make a determination of the responsibility of the offerer/bidder pursuant to these two statutes.

Certain findings of non-responsibility can result in rejection for contract award, and in the event of two findings within a four (4) year period, the offerer/bidder is debarred from obtaining governmental Procurement Contracts.

Further information regarding Procurement Lobbying in New York can be found at:

www.ogs.ny.gov/aboutOgs/regulations/defaultAdvisoryCouncil.html

The State reserves the right to terminate any contract resulting from this solicitation in the event it is found that the certification filed by the offerer/bidder in accordance with New York State Finance law §139-k was intentionally false or intentionally incomplete. Upon such finding, NYSDOT may exercise its termination right by providing written notification to the Contractor in accordance with the written notification terms of this contract.

The Department further reserves the right while bids are under consideration (i.e. during the “Restricted Period”), to require a conference/demonstration from any bidder under consideration for award at a mutually agreed location, for purposes of evaluating compliance with stated specification requirements, and the Department may employ the use of “Technical Experts” to assist in evaluation. Such conferences/demonstrations are exempt from provisions of Procurement Lobbying Law pursuant to State Finance Law §139-j(3)(a)(3).

SEXUAL HARASSMENT PREVENTION CERTIFICATION

Pursuant to State Finance Law §139-l, by submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the case of a joint bid each party thereto certifies its own organization, under penalty of perjury, that the bidder has and has implemented a written policy addressing sexual harassment prevention in the workplace and provides annual sexual harassment prevention training to all of its employees. Such policy shall, at a minimum, meet the requirements of section two hundred one-g of the labor law.

GENDER-BASED VIOLENCE IN THE WORKPLACE CERTIFICATION

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

Such policy shall, at a minimum, meet the requirements of subdivision 11 of section five hundred seventy-five of the executive law.

http://www.ogs.ny.gov/aboutOgs/regulations/defaultAdvisoryCouncil.html

Quotation # RQ26-002 AGGREGATES FOR SHOULDER BACK-UP – CLINTON COUNTY Page 6 of 24

MWBE, SDVOB, AND EEO/PAY EQUITY REQUIREMENTS

CONTRACTOR REQUIREMENTS AND PROCEDURES FOR EQUAL EMPLOYMENT BUSINESS PARTICIPATION OPPORTUNITIES FOR MINORITY GROUP MEMBERS, NEW YORK STATE CERTIFIED MINORITY AND WOMEN- OWNED BUSINESS ENTERPRISES, AND NEW YORK STATE CERTIFIED SERVICE-DISABLED VETERAN OWNED

BUSINESS ENTERPRISES

PROVISIONS UNDER ARTICLE 15-A

Pursuant to Article 15-A of the New York State Executive Law, the New York State Department of Transportation recognizes its obligation under the law to promote opportunities for maximum feasible participation of certified minority and women-owned business enterprises and the employment of minority group members and women in the performance of Department contracts.

In 2006, the State of New York commissioned a disparity study to evaluate whether minority and women-owned business enterprises had a full and fair opportunity to participate in state contracting. The findings of the study were published on April 29, 2010, under the title “The State of Minority and Women-Owned Business Enterprises:

Evidence from New York” (“the Disparity Study”). The report found evidence of statistically significant disparities between the level of participation of minority and women-owned business enterprises in state procurement contracting verses the number of minority and women-owned business enterprises that were ready, willing, and able to participate in state procurements. As a result of these findings, the Disparity Study made recommendations concerning the implementation and operation of the statewide certified minority and women-owned business enterprises program. The recommendations from the Disparity Study culminated in the enactment and the implementation of New York State Executive Law Article 15-A, which requires, among other things, that the Department establishes goals for maximum feasible participation of New York State certified Minority and Women-owned business enterprises (MWBE) and the employment of minority group members and women in the performance of New York State contracts.

Provisions under Article 15-A of the New York State Executive Law (§312), enacted by Chapter 261 of the Laws of 1988, and updated by the 2010 Business Diversification Act, require the inclusion in all State contracts for commodities and services exceeding $25,000 in value of the standard equal employment opportunity clauses set forth in Appendix A. In accordance with Article 15-A of the New York State Executive Law (Participation by Minority Group Members and Women with Respect to State Contracts) and in conformance with the Regulations promulgated by the Minority and Women's Business Development Division of the New York State Department of Economic Development set forth at 5 NYCRR Parts 140-144, the bidder agrees to be bound by the following to promote equality of economic opportunities for minority group members and women, and the facilitation of minority and women-owned business enterprise participation on all covered NYS Department of Transportation contracts:

PROVISIONS UNDER VETERANS SERVICES LAW

New York State Veterans’ Services Law Article 3 governs requirements for the participation by certified Service- Disabled Veteran-Owned Business Enterprises (SDVOBs) in New York State contracting. Veterans’ Services Law expands opportunities for SDVOB enterprises through increased participation in State procurement. SDVOB enterprises strongly contribute to the economies of the State and the nation. As defenders of our nation and in recognition of their economic activity in doing business in New York State, bidders for this contract for commodities, services or technology are strongly encouraged and expected to consider SDVOB enterprises in the fulfillment of the requirements of this contract.

Contractors must perform due diligence to provide opportunities for meaningful participation by SDVOB enterprises as subcontractors, service providers, and suppliers in the performance of this contract. Contractors are reminded that they must also continue to utilize small, minority and women-owned businesses consistent with current State law.

Quotation # RQ26-002 AGGREGATES FOR SHOULDER BACK-UP – CLINTON COUNTY Page 7 of 24

BUSINESS PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED MINORITY- AND WOMEN- OWNED BUSINESS ENTERPRISES (MWBE) AND NEW YORK STATE CERTIFIED SERVICE-DISABLED VETERAN

OWNED BUSINESS ENTERPRISES (SDVOB)

For purposes of this procurement, the NYS Department of Transportation has conducted a comprehensive search and has determined that the contract does not offer sufficient opportunities to set goals for participation by MWBE and SDVOB as subcontractors, service providers and suppliers to the awarded Contractor. Contractors are however encouraged to make every good faith effort to promote and assist the participation of New York State Certified Minority and Women-owned Business Enterprises (MWBE) and Certified Service-Disabled Veteran- Owned Business Enterprises (SDVOB) on this contract for the provision of services and materials.

To locate New York State Certified MWBE, the directory of certified firms can be viewed at:

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

New York State Certified SDVOB can be readily identified via the Division of Service Disabled Veterans’ Business Development SDVOB Directory online at: https://online.ogs.ny.gov/SDVOB/search

Additionally, Bidders are encouraged to contact the Division of Service-Disabled Veterans’ Business Development at (844) 579-7570 or via email at VeteranDevelopment@ogs.ny.gov to discuss additional methods for maximizing participation by SDVOBs on this Contract.

EQUAL EMPLOYMENT OPPORTUNITY (EEO) & PAY EQUITY

By submission of a bid or proposal in response to this solicitation, the Bidder/Contractor agrees with all of the terms and conditions of Appendix A including Clause 12 – Equal Employment Opportunities for Minorities and Women. The Contractor is required to ensure that it and any subcontractors awarded a subcontract over $25,000 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the “work”) except where the work is for the beneficial use of the Contractor, shall undertake or continue programs to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. For these purposes, equal opportunity shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, termination, and rates of pay or other forms of compensation. This requirement does not apply to: (i) work, goods, or services unrelated to the Contract; or (ii) employment outside New York State.

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

In accordance with Executive Order 162, issued on January 9, 2017, when the prime contract is in excess of $25,000, the contractor shall provide to the Department – on a quarterly, calendar-year basis – detailed workforce utilization reports of the contractor and each subcontractor that include, in addition to equal employment opportunity information, the job title and salary of each employee directly performing work on a State contract.

Detailed workforce utilization reports, as required above, shall be submitted in such form and in such manner as shall be required by the Department

If the contractor cannot identify the individuals working directly on a State contract, then the contractor and each subcontractor shall provide such information of each employee in the contractor’s entire workforce.

https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp https://online.ogs.ny.gov/SDVOB/search mailto:VeteranDevelopment@ogs.ny.gov

Quotation # RQ26-002 AGGREGATES FOR SHOULDER BACK-UP – CLINTON COUNTY Page 8 of 24

This provision shall not relieve the contractor’s responsibility to submit payroll certification as it may be elsewhere required in this contract.

Further, pursuant to Article 15 of the Executive Law (the “Human Rights Law”), all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor and sub-contractors will not discriminate against any employee or applicant for employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status, age, disability, predisposing genetic characteristic, marital status or domestic violence victim status, and shall also follow the requirements of the Human Rights Law with regard to non-discrimination on the basis of prior criminal conviction and prior arrest.

The contractor shall include these provisions in every subcontract so that such provisions shall be binding upon each subcontractor.

NOTE: Failure to comply with the foregoing requirements may result in a finding of non-responsiveness, non-responsibility and/or a breach of the Contract, leading to the withholding of funds, suspension or termination of the Contract or such other actions or enforcement proceedings as allowed by the Contract.

ENCOURAGING USE OF NEW YORK STATE BUSINESSES IN CONTRACT PERFORMANCE

(NYS BUSINESS LANGUAGE for 100% STATE-FUNDED PROCUREMENTS ONLY – COMMODITY CONTRACTS) New York State businesses have a substantial presence in State contracts and strongly contribute to the economies of the state and the nation. In recognition of their economic activity and leadership in doing business in New York State, bidders/proposers for this contract for commodities, services or technology are strongly encouraged and expected to consider New York State businesses in the fulfillment of the requirements of the contract. Such partnering may be as subcontractors, suppliers, protégés or other supporting roles.

Bidders/proposers need to be aware that all authorized users of this contract will be strongly encouraged to the maximum extent practical and consistent with legal requirements, to use responsible and responsive New York State businesses in purchasing commodities that are of equal quality and functionality and in utilizing services and technology. Furthermore, bidders/proposers are reminded that they must continue to utilize small, minority and women-owned businesses, consistent with current State law.

Utilizing New York State businesses in State contracts will help create more private sector jobs, rebuild New York’s infrastructure, and maximize economic activity to the mutual benefit of the Contractor and its New York State business partners. New York State businesses will promote the Contractor’s optimal performance under the contract, thereby fully benefiting the public sector programs that are supported by associated procurements.

Public procurements can drive and improve the State’s economic engine through promotion of the use of New York businesses by its contractors. The State therefore expects bidders/proposers to provide maximum assistance to New York businesses in their use of the contract. The potential participation by all kinds of New York businesses will deliver great value to the State and its taxpayers.

Quotation # RQ26-002 AGGREGATES FOR SHOULDER BACK-UP – CLINTON COUNTY Page 9 of 24

Bidders/proposers can demonstrate their commitment to the use of New York State businesses by responding to the question below:

Will New York State Businesses be used in the performance of this contract?

Yes No

If yes, identify below New York State businesses that will be used (Name and City of Supplier/s).

NAME of SUPPLIER (and/or Subcontractor) CITY (Location) of SUPPLIER

NEW YORK STATE VENDOR FILE REGISTRATION

Prior to being awarded a contract pursuant to this Solicitation, the Bidder(s) and any designated authorized resellers who accept payment directly from the State, must be registered in the New York State Vendor File (Vendor File) administered by the Office of the State Comptroller (OSC). This is a central registry for all vendors who do business with New York State Agencies and the registration must be initiated by a State Agency.

Following the initial registration, unique New York State ten-digit vendor identification numbers will be assigned to your company and to each of your authorized resellers (if any) for usage on all future transactions with New York State. Additionally, the Vendor File enables vendors to use the Vendor Self-Service application to manage all vendor information in one central location for all transactions related to the State of New York.

If Bidder is already registered in the New York State Vendor File, list the ten-digit vendor id number on the first page of the Proposal document. Authorized resellers already registered should list the ten-digit vendor id number along with the authorized reseller information.

If the Bidder is not currently registered in the Vendor File an OSC Substitute W-9 Form (http://www.osc.state.ny.us/vendors/forms/ac3237s_fe.pdf) must be submitted with your bid. In addition, if authorized resellers are to be used, an OSC Substitute W-9 form should be completed and filed by each of the designated authorized resellers. The Office of Contract Management Purchasing Office will initiate the vendor registration process for all Bidders recommended for Contract Award and their authorized resellers. Once the process is initiated, registrants will receive an email from OSC that includes the unique ten-digit vendor identification number assigned to the company and instructions on how to enroll in the online Vendor Self- Service application.

For more information on the vendor file, please visit the following website:

https://esupplier.sfs.ny.gov/psc/fscm/SUPPLIER/ERP/c/NUI_FRAMEWORK.PT_LANDINGPAGE.GBL?&lp=ERP.

SUPPLIER.NY_SUP_PUB_HOMEPG_FL

New York State Can Help You Secure Surety Bonding (INFORMATIONAL)

The NYS Surety Bond Assistance Program (NYSBAP) provides technical and financial assistance to help contractors secure surety bonding. Contractors may be eligible to receive a guarantee of up to 30% to secure a surety bond line, bid bond or a performance and payment bond on State projects. Training is also available to http://www.osc.state.ny.us/vendors/forms/ac3237s_fe.pdf https://esupplier.sfs.ny.gov/psc/fscm/SUPPLIER/ERP/c/NUI_FRAMEWORK.PT_LANDINGPAGE.GBL?&lp=ERP.SUPPLIER.NY_SUP_PUB_HOMEPG_FL https://esupplier.sfs.ny.gov/psc/fscm/SUPPLIER/ERP/c/NUI_FRAMEWORK.PT_LANDINGPAGE.GBL?&lp=ERP.SUPPLIER.NY_SUP_PUB_HOMEPG_FL

Quotation # RQ26-002 AGGREGATES FOR SHOULDER BACK-UP – CLINTON COUNTY Page 10 of 24 contractors requiring technical support on how to become bond-ready. For more information and to fill out a NYSBAP application, visit http://esd.ny.gov/BusinessPrograms/BondingAssistance.html or contact Empire State Development at (212) 803-3238 or BAP@esd.ny.gov.

PUBLIC OFFICERS LAW

All bidders and bidder employees must be aware of and comply with the requirements of the New York State Public Officers Law, all other appropriate provisions of New York State law and all resultant codes, rules and regulations from State laws establishing standards for business and professional activities of State employees and governing the conduct of firms, associations, and corporations in business with the State. In signing this bid, each bidder guarantees knowledge and full compliance with those provisions for this and any other dealings, transactions, sales, contracts, services, offers, relationships, etc. involving the State and/or State employees.

Failure to comply with these provisions may result in disqualification from the bidding process and in other civil or criminal proceedings as required by law.

ETHICS REQUIREMENTS (Contract for Services) The Contractor and its Subcontractors shall not engage any person who is, or has been at any time, in the employ of the State to perform services in violation of the provisions of the New York Public Officers Law, other laws applicable to the service of State employees, and the rules, regulations, opinions, guidelines or policies promulgated or issued by the New York State Joint Commission on Public Ethics, or its predecessors (collectively, the “Ethics Requirements”). The Contractor certifies that all of its employees and those of its Subcontractors who are former employees of the State and who are assigned to perform services under this Contract shall be assigned in accordance with all Ethics Requirements. During the Term, no person who is employed by the Contractor or its Subcontractors and who is disqualified from providing services under this Contract pursuant to any Ethics Requirements may share in any net revenues of the Contractor or its Subcontractors derived from this Contract.

The Contractor shall identify and provide the State with notice of those employees of the Contractor and its Subcontractors who are former employees of the State that will be assigned to perform services under this Contract, and make sure that such employees comply with all applicable laws and prohibitions. The State may request that the Contractor provide it with whatever information the State deems appropriate about each such person’s engagement, work cooperatively with the State to solicit advice from the New York State Joint Commission on Public Ethics, and, if deemed appropriate by the State, instruct any such person to seek the opinion of the New York State Joint Commission on Public Ethics. The State shall have the right to withdraw or withhold approval of any Subcontractor if utilizing such Subcontractor for any work performed hereunder would be in conflict with any of the Ethics Requirements. The State shall have the right to terminate this Contract at any time if any work performed hereunder is in conflict with any of the Ethics Requirements.

CONFLICTS OF INTEREST (Contract for Services) The Contractor has provided a Bidder Assurance of No Conflict of Interest or Detrimental Effect, signed by an authorized executive or legal representative (included in “Forms Exhibit A”) attesting that the Contractor’s performance of the services does not and will not create a conflict of interest with, nor position the Contractor to breach any other contract currently in force with the State of New York, that the Contractor will not act in any manner that is detrimental to any State project on which the Contractor is rendering services.

The Contractor hereby reaffirms the attestations made in its proposal and covenants and represents that there is and shall be no actual or potential conflict of interest that could prevent the Contractor's satisfactory or ethical performance of duties required to be performed pursuant to the terms of this Agreement. The Contractor shall have a duty to notify the Department immediately of any actual or potential conflicts of interest.

http://esd.ny.gov/BusinessPrograms/BondingAssistance.html mailto:BAP@esd.ny.gov

Quotation # RQ26-002 AGGREGATES FOR SHOULDER BACK-UP – CLINTON COUNTY Page 11 of 24

In conjunction with any subcontract under this Agreement, the Contractor shall obtain and deliver to the Department, prior to entering into a subcontract, a Vendor Assurance of No Conflict of Interest or Detrimental Effect form, signed by an authorized executive or legal representative of the subcontractor. The Contractor shall also require in any subcontracting agreement that the subcontractor, in conjunction with any further subcontracting agreement, obtain and deliver to the Department a signed and completed Vendor Assurance of No Conflict of Interest or Detrimental Effect form for each of its subcontractors prior to entering into a subcontract.

The Department and the Contractor recognize that conflicts may occur in the future because the Contractor may have existing, or establish new, relationships. The Department will review the nature of any relationships and reserves the right to terminate this Agreement for any reason, or for cause, if, in the judgment of the Department, a real or potential conflict of interest cannot be cured.

TAX REGISTRATION/CERTIFICATION (Tax Law §5-A – Amended April, 2006) Tax Law § 5-a, as amended April 2006, requires certain contractors awarded state contracts valued at more than $100,000 to certify to the Department of Taxation and Finance (DTF) that they are registered to collect New York State and local Sales and Compensating Use Taxes. It applies to contracts where the total amount of such persons’ sales delivered into New York State are in excess of $300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification is made, and with respect to any affiliates, subcontractors, or affiliates of subcontractors whose sales delivered into New York State exceeded $300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification is made. This law imposes upon certain contractors the obligation to certify whether or not the contractor, its affiliates, its subcontractors and affiliates of the subcontractors are required to register to collect state sales and compensating use tax. Where required to register, the contractor must also certify that it is, in fact, registered with the Department of Taxation and Finance (DTF).

The law prohibits the Comptroller, or other approving agency, from approving a contract awarded to a vendor meeting the registration requirements but who is not so registered in accordance with the law. Contractor certification forms (ST-220-TD and ST-220-CA) and instructions for completing the forms are included in “Forms Exhibit A”. ST-220-TD must be filed with and returned directly to DTF. Unless the information upon which the ST-220-TD is based changes, this form only needs to be filed ONCE with DTF. If the information changes for the bidder or its affiliate(s), a new ST-220-TD must be filed with DTF.

ST-220-CA must be filed with the Proposal to NYSDOT certifying that the ST-220-TD has been filed with DTF.

Vendors may call the Tax Department at 1-800-972-1233 for any and all questions relating to Tax Law § 5-a and relating to a company’s registration status with the Tax Department. For additional information and frequently asked questions, please refer to Publication 223 at:

www.tax.ny.gov/pubs_and_bulls/publications/sales_pubs.htm

The State reserves the right to terminate the resulting contract in the event it is found that the certification filed by the Contractor in accordance with § 5-a of the Tax Law is not timely filed during the term of the contract or the certification furnished was intentionally false or intentionally incomplete. Upon such finding, NYSDOT may exercise its termination right by providing written notification to the Contractor http://www.tax.ny.gov/pubs_and_bulls/publications/sales_pubs.htm

Quotation # RQ26-002 AGGREGATES FOR SHOULDER BACK-UP – CLINTON COUNTY Page 12 of 24

STANDARD CLAUSES FOR ALL NEW YORK STATE CONTRACTS (APPENDIX A)

Appendix A — Standard Clauses for all New York State Contracts is attached hereto, and is made a part of this Solicitation and of any resulting contract as if set forth fully at length herein.

WORKERS’ COMPENSATION INSURANCE AND DISABILITY BENEFITS REQUIREMENTS:

Workers’ Compensation Law (WCL) §57 and §220 requires the heads of all municipal and state entities to ensure that businesses applying for permits, licenses or contracts document it has appropriate workers’ compensation and disability benefits insurance coverage.

These requirements apply to both original contracts and renewals, whether the Department is having the work done or is simply issuing the permit, license or contract. Failure to provide proof of such coverage or a legal exemption will result in a rejection of your bid or renewal of contract.

1. Proof of Compliance with Workers’ Compensation Coverage Requirements:

An ACORD form is NOT acceptable proof of workers’ compensation coverage. In order to provide proof of compliance with the requirements of the Workers’ Compensation Law pertaining to workers’ compensation coverage, a contractor shall:

A) Be legally exempt from obtaining Workers’ Compensation insurance coverage; or B) Obtain such coverage from an insurance carrier; or

C) Be a Workers’ Compensation Board-approved self-insured employer or participate in an authorized self-insurance plan.

A Contractor seeking to enter into a contract with the State of New York shall provide one of the following forms to the Department of Transportation (Office of Contract Management Purchasing Office) at the time of RFQ submission or shortly after the opening of quotations:

A) Form CE-200, Certificate of Attestation for New York Entities with No Employees and Certain Out of

State Entities, that New York State Workers’ Compensation and/or Disability Benefits Insurance Coverage is Not Required, which is available on the Workers’ Compensation Board’s website (www.wcb.state.ny.us). Reference applicable RFQ # on the form.

B) Certificate of Workers’ Compensation Insurance:

1) Form C-lO5.2 (9/07) if coverage is provided by the contractor’s insurance carrier, contractor must request its carrier to send this form to the DOT Office of Contract Management Purchasing Office, or

2) Form U-26.3 if coverage is provided by the State Insurance Fund, contractor must request that the State Insurance Fund send this form to the DOT Office of Contract Management Purchasing Office.

C) Form SI-l2, Certificate of Workers’ Compensation Self-Insurance available from the New York State Workers’ Compensation Board’s Self-Insurance Office.

D) Form GSI-105.2, Certificate of Participation in Workers’ Compensation Group Self-Insurance available from the contractor’s Group Self-Insurance Administrator.

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2. Proof of Compliance with Disability Benefits Coverage Requirements:

In order to provide proof of compliance with the requirements of the Workers’ Compensation Law pertaining to disability benefits, a contractor shall:

A) Be legally exempt from obtaining disability benefits coverage; or B) Obtain such coverage from an insurance carrier; or C) Be a Board-approved self-insured employer.

A Contractor seeking to enter into a contract with the State of New York shall provide one of the following forms to the DOT Office of Contract Management Purchasing Office at the time of bid submission or shortly after the opening of bids:

A) Form CE-200, Certificate of Attestation for New York Entities with No Employees and Certain Out of

State Entities, That New York State Workers’ Compensation and/or Disability Benefits Insurance Coverage is Not Required, which is available on the Workers’ Compensation Board’s website (www.wcb.ny.gov). Reference applicable Solicitation or Contract # on the form.

B) Form DB- 120.1, Certificate of Disability Benefits Insurance. Contractor must request its business insurance carrier to send this form to the DOT Office of Contract Management Purchasing Office; or

C) Form DB-120.2, Certificate of Participation in Disability Benefits Group Self-Insurance. Contractor must obtain, complete and send this form to the DOT Office of Contract Management Purchasing Office; or

D) Form DB-155, Certificate of Disability Benefits Self-Insurance. The Contractor must call the Board’s Self-Insurance Office at 518-402-0247 to obtain this form.

ALL OF THE ABOVE REFERENCED FORMS, EXCEPT CE-200, SI-12 & DB-155 MUST NAME: the New York State Department of Transportation / the People of the State of New York (50 Wolf Road, Albany, NY 12232) as the Entity Requesting Proof of Coverage (Entity being listed as the Certificate Holder).

WORKERS’ COMPENSATION LAW (WCL) CONTRACTOR DEBARMENT

For any public work contract subject to Article 8 of the New York State Labor Law, such contract, including amendments or renewals that extend the term of an existing contract, cannot be awarded to a vendor or any substantially owned affiliate of a vendor, that is debarred pursuant to WCL Section 141-b. Additionally, a contractor shall be required to replace any subcontractor, at no additional cost to the State, found to be debarred pursuant to WCL Section 141-b during the course of the contract.

INSURANCE REQUIREMENTS

If the resulting Purchase Order/Contract shall involve performance of work by Contractor personnel on state property, the State may require evidence that the Contractor has procured and maintained adequate liability insurance coverage to protect the People of the State of New York.

INSURANCE

In addition to the Worker’s Compensation and Disability Benefits Insurance requirements set forth above, if in furnishing items hereunder the Contractor will perform any installation or training on State property, or if the Contractor is providing Contract for Services hereunder, then the Contractor shall procure and maintain at its own expense and without compensation by the State, until final acceptance by the State of services provided by http://www.wcb.ny.gov/

Quotation # RQ26-002 AGGREGATES FOR SHOULDER BACK-UP – CLINTON COUNTY Page 14 of 24 the contract, insurance for liability for damages imposed by law, of the kinds and in the amounts hereinafter provided, with insurance companies authorized to do such business in the State, covering such on-site work or Contract for Services.

The types and limits of insurance are as follows:

1. COMMERCIAL GENERAL LIABILITY INSURANCE with a limit of not less than $1,000,000 each occurrence ($2,000,000 aggregate).

2. COMPREHENSIVE BUSINESS AUTOMOBILE LIABILITY INSURANCE with a limit of not less than $1,000,000 each accident. Such liability insurance is to cover liability arising out of any vehicle including owned, leased, hired, and non-owned vehicles bearing, or required by NYS Vehicle and Traffic Law to bear license plates.

Before commencing work, the Contractor shall furnish to the State a certificate or certificates of insurance in form satisfactory to the State showing compliance with this paragraph, which certificate or certificates are to name the “State of New York/New York State Department of Transportation and their agents or employees” as additional insured. Such policies may not be changed or canceled until thirty (30) days written notice has been given to the State.

The Contractor shall procure, at its own sole cost and expense, and shall maintain in force at all times during the term of this contract including any extensions or renewals until final payment is disbursed, the policies of insurance covering all operations under the contract whether written by companies authorized by the New York State Insurance Department to issue insurance in the State of New York and that have an A.M. Best Company rating of (A -) or better or approved by the Department. The Contractor shall deliver to the Department evidence of such policies as the Department deems necessary to verify that the required insurance is in effect.

Certificates or transmittal correspondence shall reference the NYSDOT Contract Number. Contractor is strongly encouraged to transmit certificates and other materials concerning insurance coverage, referencing the contract number and the name of the Contractor in the Subject Line, by email to:

Purch-Assist@dot.ny.gov

Certificates may also be mailed to the:

New York State Department of Transportation Main Office of Contract Management Purchasing Office 50 Wolf Road, Suite 1PC Albany, NY 12232

ALL OF THE ABOVE REFERENCED FORMS, EXCEPT CE-200, SI-12 & DB-155 MUST NAME: the New York State Department of Transportation / the People of the State of New York (50 Wolf Road, Albany, NY 12232) as the Entity Requesting Proof of Coverage (Entity being listed as the Certificate Holder).

CONSULTANT REPORTING REQUIREMENTS

If this solicitation seeks offers in relation to a contract for analysis; evaluation; research; training; data processing;

computer programming; engineering; environmental, health, and/or mental health services; accounting;

auditing; legal, paralegal or similar services, State of New York Consultant Contract Disclosure Requirements mailto:Purch-Assist@dot.ny.gov

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(established by Chapter 10 of the Laws of 2006) apply. Under these requirements, “Consultants” are required to disclose, by employment occupational category, the number of persons employed to provide services under a contract, the number of hours worked and the amount paid to the contractor by the State as compensation for work performed by these employees.

CONFLICT OF TERMS AND CONDITIONS

In the event of conflict of terms and conditions between documents incorporated herein, the following order of precedence shall control:

1) Standard Clauses for All NYS Contracts (Appendix A)

2) This Request for Quotations (RFQ)

3) NYSDOT General Specifications (Publication PUR 102)

4) Other Appendices and Attachments to this RFQ

5) Federal Clauses (If Incorporated)

6) Bidder’s Bid

RESPONSIBILITY

The Contractor shall at all times during the Contract term remain responsible. The Contractor agrees, if requested by the Commissioner of the Department of Transportation or his or her designee, to present evidence of its continuing legal authority to do business in New York State, integrity, experience, ability, prior performance, and organizational and financial capacity.

SUSPENSION OF WORK (FOR NON-RESPONSIBILITY)

The Commissioner of Transportation or his or her designee, in his or her sole discretion, reserves the right to suspend any or all activities under this Contract, at any time, when he or she discovers information that calls into question the responsibility of the Contractor. In the event of such suspension, the Contractor will be given written notice outlining the particulars of such suspension. Upon issuance of such notice, the Contractor must comply with the terms of the suspension order. Contract activity may resume at such time as the Commissioner of Transportation or his or her designee issues a written notice authorizing a resumption of performance under the Contract.

TERMINATION (FOR NON-RESPONSIBILITY)

Upon written notice to the Contractor, and a reasonable opportunity to be heard with appropriate Department officials or staff, the Contract may be terminated by the Commissioner of Transportation or his or her designee at the Contractor’s expense where the Contractor is determined by the Commissioner of Transportation or his or her designee to be non-responsible. In such event, the Commissioner or his or her designee may complete the contractual requirements in any manner he or she may deem advisable and pursue available legal or equitable remedies for breach.

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NOTICES

All notices permitted or required hereunder shall be in writing and shall be transmitted either via:

(a) certified or registered United States mail, return receipt requested;

(b) facsimile transmission;

(c) personal delivery;

(d) expedited delivery service; or

(e) electronic mail (e-mail).

Such notices shall be addressed to such different addresses as the parties may from time-to-time designate.

VENDOR RESPONSIBILITY QUESTIONNAIRE (Applicable if BID totals $100,000 or more)

Bidders are invited to file the required Vendor Responsibility Questionnaire online via the New York State Vend/Rep System or may choose to complete and submit a paper questionnaire. The New York State (OSC)

Vendor Responsibility Web Site may be accessed at www.osc.state.ny.us/vendrep. This site provides for “One- Stop Shopping” for all matters related to NYS Vendor Responsibility, including enrollment, instructions, email inquiries, FAQ’s and more. For direct VendRep System user assistance, the OSC Help Desk may be reached at (866) 370-4672 or (518) 408-4672 or by e-mail at helpdesk@osc.state.ny.us.

Bidders opting to file a paper questionnaire can obtain the appropriate questionnaire from DOT Office of Contract Management Purchasing Office by calling (518) 457-4401 or via email from the Contract Management Specialist(s) listed on the face page of this Solicitation. The Bidder acknowledges that NYSDOT’s execution of a Contract will be contingent upon its determination that the Bidder is “Responsible,” and that NYSDOT will be relying partly upon the Bidder’s responses to the Questionnaire in making a responsibility determination. The Department will conduct a Bidder Responsibility Review prior to considering any bidder for award of a contract or contracts, and also reserves the right to require references from bidders and additional supporting information related to Questionnaire responses. Upon documented verification of negative financial and/or organizational capacity; integrity; and/or performance indicators, the Department may recommend denial of award. If it is found that the Bidder’s responses to the Questionnaire were intentionally false or incomplete, on such finding, the Contract may be terminated by provision of ten (10) days written notification to the Contractor. In no case, shall such termination of the Contract hereunder be deemed a breach thereof, nor shall the State be liable for any damages for lost profits or otherwise, which may be sustained by the Contractor as a result of such termination.

DEBRIEFING

Bidders will be accorded fair and equal treatment with respect to their opportunity for debriefing. Disclosure of the content of competing bids other than statistical tabulations of bids received in response to a Request For Quotation (RFQ) or Request for Proposals (RFP) is prohibited prior to contract award. Prior to contract award, DOT shall, upon request, provide a debriefing which would be limited to review of that bidder’s proposal or bid.

After contract award, DOT shall upon written request provide a debriefing to any bidder that responded to the RFQ or RFP regarding the reason that the…