CONTRACT FORMS BID DOCUMENTS

PROJECT SPECIFICATIONS FOR

SEYMOUR NO. 4 DAM

IMPROVEMENTS

CT DAM ID No: 10809

OXFORD, CT

Project Number DS-202506378-01EA

EMMA CIMINO

ACTING COMMISSIONER

STATE OF CONNECTICUT

DEPARTMENT OF ENERGY AND ENVIRONMENTAL PROTECTION

BUREAU OF WATER PROTECTION AND LAND REUSE

WATER PLANNING AND MANAGEMENT DIVISION

August 24, 2026

(Revised for Bidding August 2026)

TABLE OF CONTENTS

Page(s)

PART I – CONTRACT BIDDING P-1

Section I.A. Bidding Items S-I-A

Invitation to Bid …………………….……………………………………………………. IB-1 to IB-2

Notice and Instructions to Bidders ……………………………………………………….. NB-1 to NB-9

Bid Proposal Form ……………………………………………………………………….. PF-1 to PF-8

Bid Bond Form ……………………………………………………………………………. BB-1

Statement of Bidders Qualifications ………………………………………………………. BQ-1 to BQ-4

Section I.B. State of Connecticut Contract Compliance Items – Bidding

CHRO Contract Compliance Regulations and Notification to Bidders ……………………

DOL Form E.O. 3-1, Article X of Executive Order Number Three, Guidelines and Rules ...

S-I-B

(34 pages)

(2 pages)

Section I.C. Additional Information – Bidding S-I-C

OPM Form/Rev. 02-17-09, Personal Service Contractor Evaluation ……………………… (2 pages)

Certificate of Substantial Completion ……………………………………………………… (1 page)

Contractor Performance Evaluations for Purchase of Service and

Personal Services agreement Contracts, 2-09-2022……………………………. (2 pages)

PART II – CONTRACT EXECUTION P-II

Section II.A. Execution Items S-II-A

Instructions to Lowest Qualified Bidder …………………………………………………… IQB-1 to IQB-2

Certificate of Insurance Form ……………………………………………………………… CI-1 to CI-2

Performance Bond …………………………………………………………………………. PB-1 to PB-2

Labor and Material Bond Form ……………………………………………………………. LMB-1 to LMB-2

Section II.B. State of Connecticut Contract Compliance Items – Execution S-II-B

DOL wage and payroll certification forms, prevailing wage and benefit rates, and related notes, Notices, bulletins, and statutes ……………………………………………………………… (TBD)

Connecticut State Elections Enforcement……………………………………………………. (2 Pages)

OPM Ethics Form 1, Gift and Campaign Contribution Certification ……………………….. (2 pages)

Section II.C. Additional Information – Execution S-II-C

PSA Contract Template – Explanatory Page, Form, Terms/Conditions, & Placeholders …… (22 Pages)

SEEC Form 10 ………………………………………………………………………………… (4 Pages)

DOL Contracting Agency Certification and Contractor Information Form …………………. (2 Pages)

CT DEEP Affirmative Action Policy Statement …………………………………………….. (3 Pages)

CT DEEP Zero Tolerance Sexual Harassment Prevention Policy …………………………… (2 Pages)

TOC-1

TABLE OF CONTENTS (Continued)

PART III – CONSTRUCTION (P-III)

Section III.A. Conditions (S-III-A)

General Conditions …………………………………………………………………………… GC-1 to GC-21

Supplemental Conditions …………………………………………………………………….. SC-1 to SC-10

Section III.B Specifications (S-III-B)

General Requirements ………………………………………………………………………. (G-1 to G-13)

Technical Specifications …………………………………………………………………….. Items 1 to 14

U.S. Army Corps of Engineers, Geneal Permit Verification Letter; File Number NAE-2023-00351; 10/25/2024

CT DEEP Dam Bureau of Water Protection and Land Reuse, Dam Safety Emergency Authorization;

Authorization No. DS-202506378-01EA; 12/24/2025

Appendix A: Boring Logs

TOC-2

Part I Contract Bidding

Page

SECTION I.A. Bidding Items S-I-A

SECTION I.B. State of Connecticut Contract Compliance Items – Bidding S-I-B

SECTION I.C. Additional Information – Bidding S-I-C

P-I

SECTION I.A BIDDING ITEMS Page(s)

- Invitation to Bid IB-1 to IB-2

- Notice and Instructions to Bidders NB-1to NB-9

- Bid Proposal Form PF-1 to PF-8

- Bid Bond Form BB-1

- Statement of Bidder’s Qualifications BQ-1 to BQ-4

NOTE: All forms associated with these items must be completed by Bidders and submitted with bids.

S-I-A

INVITATION TO BID

STATE OF CONNECTICUT

DEPARTMENT OF ENERGY AND ENVIRONMENTAL PROTECTION

BUREAU OF WATER PROTECTION AND LAND REUSE

WATER PLANNING AND MANAGEMENT DIVISION

79 ELM STREET, 2ND FLOOR, HARTFORD, CT 06106-5127

TELEPHONE (860) 424-3706

The Department of Energy and Environmental Protection seeks sealed construction bids from Contractors who are prequalified by DAS for the following project:

PROJECT NAME: SEYMOUR NO. 4 DAM IMPROVEMENTS, OXFORD, CT

PROJECT NUMBER: DS-202506378-01EA

DATE OF BID ADVERTISEMENT: September 1, 2026

DATE OF BID OPENING: October 6, 2026. Bid opening process will be done electronically through the

CTSource program. Results of the bidding will be posted online through CTSource 72 hours after bid due date. Refer to Bid Submissions below for further bid process details.

PROJECT DESCRIPTION: Replace the existing spillway with a concrete drop inlet strucure with 48-inch discharge pipe and energy dissipator at the downstream end. A new 16-inch outlet pipe controlled by a stainless steel slide gate will be installed in the drop inlet spillway structure. Installation of a new valve and extension stem on the existing low level outlet upstream of the dam at the bottom of the reservoir. Trees will be cleared from the embankments and the downstream slope will be filled in the vicinity of the new spillway discharge pipe and energy dissipator. Eroded areas on the crest will be repaired, the crest will be raised one foot. Riprap will be placed on the upstream slope. Construction of a 100-foot long auxiliary spillway with concrete core wall. Clear trees and stumps from left dike, topsoil and seeded with grass.

DAS PREQUALIFICATION CLASSIFICATION: DAS Prequalification Required.

BID AND CONTRACT DOCUMENTS: Bid and contract documents, including additional notice and instructions to Bidders are available on the State of Connecticut's Department of Administrative Services’ website:

https://portal.ct.gov/das/ctsource/ctsource

No bid packages will be available at the pre-bid meeting.

PRE-BID MEETING: A mandatory pre-bid meeting will be held on September 9, 2026, at 10:00

AM. Representatives of the Water Planning and Management Division will meet prospective bidders at the project location (approx. 360 Chestnut Tree Hill Road, Oxford, CT) for the purpose of reviewing the project and conducting a site inspection.

Prospective bidders must pre-register for the mandatory pre-bid meeting by submitting an e-mail including

Company Name, Name of Contact Person, mailing address, e-mail address and telephone number by

4:00 PM on September 8, 2026 (dlombardo@tataandhoward.com, cc: james.heaven@ct.gov). Prospective bidders must both pre-register for and attend the pre-bid meeting for DEEP to open or review their bid proposals.

IB-1 of 2 https://portal.ct.gov/das/ctsource/ctsource mailto:dlombardo@tataandhoward.com mailto:james.heaven@ct.gov

All questions must be submitted via e-mail to James Heaven at james.heaven@ct.gov (cc:

dlombardo@tataandhoward.com) by 2:00 PM on September 15, 2026. Responses to questions will be answered per addendum and posted on the CTSource website by September 21, 2026.

BID SUBMISSIONS TO: All bids must be submitted electronically through the State of Connecticut’s

Department of Administrative Services’ website:

http://portal.ct.gov/das/ctsource/ctsource.

Bids are to be submitted by 12:00 PM on October 6, 2026. Any bids received after 11:59 AM will not be opened.

BID BOND: Required in the amount of 10% of total bid.

ADDITIONAL REQUIREMENTS: Other DEEP/WPMD bid and contract requirements for this project, and information concerning the completion of bids being submitted, are contained in the Notice and Instructions to Bidders Form, and applicable bid and contract forms, including any requirements incorporated by reference in such documents. Prospective bidders are advised to carefully review these documents and requirements prior to preparation and submittal of bids.

Prospective bidders should be aware that among these requirements the contractor selected to perform the work necessary to complete this project must file with and receive approval of an Affirmative Action plan from the Connecticut Commission of Human Rights and Opportunities (CHRO). This will also require compliance with CHRO set-aside program subcontracting and hiring goals.

CONTACT INFORMATION:

Prospective bidders may contact James Heaven of the DEEP/Water Planning and Management Division by e-mail at james.heaven@ct.gov for additional information or clarification regarding the Bid and Contract documents.

The Commissioner of the Department of Energy and Environmental Protection reserves the right to do any of the following without liability, including but not limited to: (a) waive technical defects in the bid proposal as he or she deems best for the interest of the State; (b) negotiate with a contractor in accordance with Connecticut General Statutes Section 4b-9; ( c) reject any or all bids; (d) cancel the award or execution of any contract prior to the issuance of the “Notice To Proceed;” and, (e) advertise for new bids.

Emma Cimino Acting Commissioner

Department of Energy and Environmental

Protection

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NOTICE AND INSTRUCTIONS TO BIDDERS

DEPARTMENT OF ENERGY & ENVIRONMENTAL PROTECTION

1. BIDS AND REJECTION OF BIDS

A. Bids shall be for the complete work as specified and shall include the names of any subcontractors for the four classes of work specified in subsection (a) of Section 4b- 93 of the General Statutes of Connecticut as revised, if applicable, and for each other class of work for which the awarding authority has required a separate section pursuant to said subsection and the dollar amounts of their subcontracts, and the contractor shall be selected on the basis of such bids. It shall be presumed that the bidder intends to perform with its own employees all work in such four classes and such other classes, for which no subcontractor is named. The bidder’s qualifications for performing such work shall be subject to review under

Section 4b-92 of the General Statues of Connecticut (“C.G.S.”), as revised.

B. Every bid which is conditional or obscure, or which is not accompanied by a

Department of Administrative Services Prequalification Certificate and Update

Statement, or which contains any addition not called for, shall be invalid, and the awarding authority shall reject every such bid. The awarding authority shall be authorized to waive minor irregularities which he/she considers in the best interest of the State, provided the reasons for any such waiver are stated in writing by the awarding authority and made a part of the contract file. No such bid shall be rejected because of the failure to submit prices for, or information relating to, any item or items for which no specific space is provided in the bid form furnished by the awarding authority, but this sentence shall not be applicable to any failure to furnish prices or information required by C.G.S. Section 4b-95 , as revised, to be furnished in the bid form provided by the awarding authority.

C. Bids shall be submitted on the prepared forms furnished for the specific project. In no event will changes in bids made by telephone, telegraph, facsimile, or other communication technology be considered. Any bid showing any omission, alteration of form, additions not called for, and any conditional bids, alternative bids, or bids showing irregularities of any kind will be rejected. A complete bid package shall consist of the following, fully completed:

1. Proposal Form

2. Bid Security

3. Statement of Bidder’s Qualifications

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4. CT CHRO Contract Compliance Regulations and Notifications

5. SEEC Form 10

6. State of Connecticut Labor Department Form E.O. 3-1, “Employer report of compliance Staffing”

D. The Department of Energy and Environmental Protection (“DEEP” or “Department”) will receive bids electronically through the Department of Administrative Services

(DAS) web page until 12:00 PM on the bid opening date as specified in the

Invitation to Bid (IB-1 and IB-2). Bids will not be accepted in person or by mail.

Bids received by DEEP/DAS after 11:59 AM on the bid opening date will not be accepted. It is each bidder's responsibility to ensure that their bid package is received on time. Any bid received after the scheduled closing time for the receipt of bids will not be opened or reviewed by DEEP.

Any bid, once submitted to the DEEP, may only be withdrawn by letter of request, signed by the submitting Bidder and presented to the Commissioner prior to the time of opening of any bid for the project in question. Under Paragraph 3A of the Proposal

Form (refer to Page PF-2), the Contractor agrees to hold the Bid for one hundred twenty (120) days after the opening date.

E. The Commissioner of the DEEP reserves the right to waive technical defects in the bids, to reject any bids which do not conform to the terms and conditions described herein, to accept or reject any part of any bid, and to reject all bids and again invite bids.

F. The award of the Contract to a Bidder will be contingent upon determination by the

DEEP and the Connecticut Commission on Human Rights and Opportunities that the

Bidder is in compliance with C.G.S. Sections 4a-60 and 4a-60a and Section 46a-68j-

23 of the Regulations of Connecticut State Agencies (“R.C.S.A.”) regarding equal employment opportunity, and the Bidder’s good faith efforts to include minority business enterprises as subcontractors and suppliers for the Work of the Contract.

Upon notification of a Bidder by DEEP as the lowest responsible bidder, said determination of compliance may require an Affirmative Action Plan as required under C.G.S. Sections 46a-68c and - 68d, and R.C.S.A. Section 46a-68j- 27(1).

2. BID SECURITY

Each bid must be accompanied by a Bid Bond, in the form required and provided by the

DEEP and having as surety thereto such surety company or companies as are authorized to do business in the State of Connecticut, and for an amount not less than 10 percent of the

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Total Bid Amount. Bid Bonds submitted by bidders and received by the DEEP shall be void upon execution of the Contract by the State of Connecticut.

3. FORFEIT OF BID SECURITY

Failure of the successful bidder to execute a contract awarded as specified and bid shall result in the forfeiture of the Bid Bond.

4. CONTRACTOR’S QUALIFICATIONS

A. All Bidders shall file with their bids a Statement of Bidder’s Qualifications on the

Provided form.

B. When evaluating a Contractor's qualifications, as per C.G.S. Section 4b-92 and

C.G.S. Section 4b-94 the Department shall evaluate: the skill, ability, and integrity of the Contractor in terms of the Contractor's ability to fulfill the Contract obligations;

and the Contractor's experience or lack of experience and the Commissioner reserves the right to reject any or all such Contractors that are deemed not qualified to perform the Work under this Contract.

C. Bidders must be able to demonstrate recent successful experience with the type of work described in this bid package. Bidders must also list the specific personnel possessing that experience and their intent to employ these same personnel for this project. This information is required in the Statement of Bidders Qualifications section, pages BQ-1 through BQ-4. The Department reserves the right to reject any bidders who lack recent experience with the type of work required for this project.

5. ADDENDA AND INTERPRETATIONS

No interpretations of the meaning of the Plans, Technical Specifications, or other

Contract Documents will be made orally to any Bidder. Every request for such interpretation should be in writing and sent via e-mail to James Heaven

(james.heaven@ct.gov) at the Department of Energy and Environmental Protection

(cc: dlombardo@tataandhoward.com) and to be given consideration, must be received by

2:00 PM on September 15, 2026. Any and all such interpretations and any supplemental instructions will be in the form of written Addenda to the Contract Documents which, if issues, will be posted on the State of Connecticut’s Department of Administrative

Services’ website: https://portal.ct.gov/das/ctsource/ctsource not later than September 21, 2026. Failure of any Bidder to receive any such Addenda or interpretation shall not release the Bidder from any obligations under its bid as submitted, provided notice has been sent to the e- mail address furnished by such prospective bidder for the transmittal of notices, addenda, and interpretations.

NB-3 of 9 mailto:james.heaven@ct.gov mailto:dlombardo@tataandhoward.com https://portal.ct.gov/das/ctsource/ctsource

6. SECURITY FOR FAITHFUL PERFORMANCE

A. Performance Bond (for bids over $25,000.00): Concurrent with the signing of the

Contract by the successful Bidder, the successful Bidder shall submit an executed

Performance Bond, prepared on the form of Performance Bond provided by the

DEEP, in the amount of 100 percent of the Total Bid Amount, conditioned upon the faithful performance of the Contract, and having as surety thereto such Surety

Company or Companies as are authorized to transact business in the State of

Connecticut. Any such Bond furnished shall have as principal the name of the successful Bidder.

B. Labor and Material Bond (for bids over $25,000.00): At this same time, the successful Bidder shall submit an executed Labor and Material Bond, prepared on the form of Labor and Material Bond provided by the DEEP, in the amount of 100 percent of the Total Bid Amount which shall be binding upon the award of the

Contract to such Bidder, and having as surety thereto such surety company or companies as are authorized to transact business in the State of Connecticut, for the protection of persons supplying labor or materials in the prosecution of the work provided for in the Contract for use of each such person. Any such Bond furnished shall have as principal the name of the successful bidder. This Bond is to be furnished pursuant to C.G.S. Section 49-41, as revised.

The following Sections of the General Statutes of Connecticut, as revised, are inserted as information concerning this Bond.

Sec. 49-41a. Enforcement of payment by general contractor to subcontractor and by subcontractor to his subcontractors.

(a) When any public work is awarded by a contract for which a payment bond is required by

Section 49-41, the contract for the public work shall contain the following provisions:

(1) A requirement that the general contractor, within thirty days after payment to the contractor by the State or a municipality, pay any amounts due any subcontractor, whether for labor performed or materials furnished, when the labor or materials have been included in a requisition submitted by the contractor and paid by the State or a municipality; (2) a requirement that the general contractor shall include in each of its subcontracts a provision requiring each subcontractor to pay any amounts due any of its subcontractors, whether for labor performed or materials furnished, within thirty days after such subcontractor receives a payment from the general contractor which encompasses labor or materials furnished by such subcontractor.

(b) If payment is not made by the general contractor or any of its subcontractors in accordance with such requirements, the subcontractor shall set forth his claim against the general contractor and the subcontractor of a subcontractor shall set forth its claim against the subcontractor through notice by registered or certified mail. Ten days after the receipt of that notice, the general contractor shall be liable to its subcontractor, and the subcontractor shall be liable to its subcontractor, for interest on the amount due and owing at the rate of one per cent per month. In

NB-4 of 9 addition, the general contractor, upon written demand of its subcontractor, or the subcontractor, upon written demand of its subcontractor, shall be required to place funds in the amount of the claim, plus interest of one percent, in an interest- bearing escrow account in a bank in this State, provided the general contractor or subcontractor may refuse to place funds in escrow on the grounds that the subcontractor has not substantially performed the work according to the terms of his or its employment. In the event that such general contractor or subcontractor refuses to place such funds in escrow, and the party making a claim against it under this section is found to have substantially performed its work in accordance with the terms of its employment in any arbitration or litigation to determine the validity of such claim, then such general contractor or subcontractor shall pay the attorney's fees of such party.

(c) No payment may be withheld from a subcontractor for work performed because of a dispute between the general contractor and another contractor or subcontractor.

(d) This section shall not be construed to prohibit progress payments prior to final payment of the contract and is applicable to all subcontractors for material or labor whether they have contracted directly with the general contractor or with some other subcontractor on the work.

Sec. 49-42. Enforcement of right to payment on bond. Suit on bond, procedure, and judgment.

(a)(1) Any person who performed work or supplied materials for which a requisition was submitted to, or for which an estimate was prepared by, the awarding authority and who does not receive full payment for such work or materials within sixty days of the applicable payment date provided for in subsection (a) of section 49-41a, or any person who supplied materials or performed subcontracting work not included on a requisition or estimate who has not received full payment for such materials or work within sixty days after the date such materials were supplied or such work was performed, may enforce such person's right to payment under the bond by serving a notice of claim on the surety that issued the bond and a copy of such notice to the contractor named as principal in the bond not later than one hundred eighty days after the last date any such materials were supplied or any such work was performed by the claimant. For the payment of retainage, as defined in section 42-158i, such notice shall be served not later than one hundred eighty days after the applicable payment date provided for in subsection (a) of section 49-

41a. The notice of claim shall state with substantial accuracy the amount claimed and the name of the party for whom the work was performed or to whom the materials were supplied, and shall provide a detailed description of the bonded project for which the work or materials were provided. If the content of a notice prepared in accordance with subsection (c) of section 49-41a complies with the requirements of this section, a copy of such notice, served not later than one hundred eighty days after the date provided for in this section upon the surety that issued the bond and upon the contractor named as principal in the bond, shall satisfy the notice requirements of this section. Not later than ninety days after service of the notice of claim, the surety shall make payment under the bond and satisfy the claim, or any portion of the claim which is not subject to a good faith dispute, and shall serve a notice on the claimant denying liability for any unpaid portion

NB-5 of 9 of the claim. The surety's failure to discharge its obligations under this section shall not be deemed to constitute a waiver of defenses the surety or its principal on the bond may have or acquire as to the claim, except as to undisputed amounts for which the surety and claimant have reached agreement. If, however, the surety fails to discharge its obligations under this section, then the surety shall indemnify the claimant for the reasonable attorneys' fees and costs the claimant incurs thereafter to recover any sums found due and owing to the claimant. The notices required under this section shall be served by registered or certified mail, postage prepaid in envelopes addressed to any office at which the surety, principal or claimant conducts business, or in any manner in which civil process may be served.

(2) If the surety denies liability on the claim, or any portion thereof, the claimant may bring an action upon the payment bond in the Superior Court for such sums and prosecute the action to final execution and judgment. An action to recover on a payment bond under this section shall be privileged with respect to assignment for trial. The court shall not consolidate for trial any action brought under this section with any other action brought on the same bond unless the court finds that a substantial portion of the evidence to be adduced, other than the fact that the claims sought to be consolidated arise under the same general contract, is common to such actions and that consolidation will not result in excessive delays to any claimant whose action was instituted at a time significantly prior to the filing of the motion to consolidate. In any such proceeding, the court judgment shall award the prevailing party the costs for bringing such proceeding and allow interest at the rate of interest specified in the labor or materials contract under which the claim arises or, if no such interest rate is specified, at the rate of interest as provided in section

37-3a upon the amount recovered, computed from the date of service of the notice of claim, provided, for any portion of the claim which the court finds was due and payable after the date of service of the notice of claim, such interest shall be computed from the date such portion became due and payable. The court judgment may award reasonable attorneys' fees to either party if upon reviewing the entire record, it appears that either the original claim, the surety's denial of liability, or the defense interposed to the claim is without substantial basis in fact or law. Any person having direct contractual relationship with a subcontractor but no contractual relationship express or implied with the contractor furnishing the payment bond shall have a right of action upon the payment bond upon giving written notice of claim as provided in this section.

(b) Every suit instituted under this section shall be brought in the name of the person suing, in the superior court for the judicial district where the contract was to be performed, irrespective of the amount in controversy in the suit, but no such suit may be commenced after the expiration of one year after the last date that materials were supplied or any work was performed by the claimant, except that any such suit solely seeking payment for retainage, as defined in section 42-158i, shall be commenced not later than one year after the date payment of such retainage was due, pursuant to the provisions of subsection (a) of section 49-41a.

(c) The word “material” as used in sections 49-33 to 49-43, inclusive, shall include construction equipment and machinery that is rented or leased for use (1) in the

NB-6 of 9 prosecution of work provided for in the contract within the meaning of sections 49-33 to

49-43, inclusive, or (2) in the construction, raising or removal of any building or improvement of any lot or in the site development or subdivision of any plot of land within the meaning of sections 49-33 to 49-39, inclusive.

7. CONNECTICUT SALES USE AND TAXES

A. All contractors shall familiarize themselves with the current statutes and regulations of the Department of Revenue Services. The tax on materials or supplies exempted by such statutes and regulations shall not be included as part of a bid.

B. Nonresident contractors must comply with the provisions of Connecticut General

Statutes Section 12-430(7), Bond requirements for nonresident contractors, and the regulations established pursuant to that section.

8. PERCENTAGE OF WORK TO BE COMPLETED BY THE CONTRACTOR

The bidder must perform at least 70% of the Work with its own forces. At the time of

Contract signing, the apparent low Bidder shall submit a letter certifying the percentage of the Work to be completed by its own forces and stating the portions of the Work by division or portion of the Technical Specifications and the estimated value thereof.

This project is also subject to the State’s Contractor & Minority Business Set-Aside

Program Goals of 25% Small Business Enterprise (SBE) and 6.25% Minority Business

Enterprise (MBE) based on the entire amount of the Contract. The selected Contractor is therefore encouraged to solicit bids from subcontractors and/or vendors who are currently certified by the State through its Department of Administrative Services, Supplier

Diversity Program, as MBE’s which are SBE’s with at least 51% ownership by one or more persons who are American Indian, Asian, Black, Hispanic, have origins in the

Iberian Peninsula, women or disabled.

9. SUBCONTRACTORS

At the time of Contract Signing, the apparent low Bidder shall furnish the names and addresses of responsible and qualified Subcontractors who will perform Work on the

Contract. The list shall show the Work to be performed by each Subcontractor by the division or portion of the Technical Specifications and the estimated value thereof.

10. CONTRACT TIME

A. The Contract Time is the number of calendar days allowed for the execution and completion of the Contract. Calendar days shall mean consecutive days in order including Saturdays, Sundays, and Legal Holidays. The time allowed for the Work

NB-7 of 9 to be done on a project will be computed on the basis of calendar days, but actual work shall not be performed on Saturdays, Sundays, or Legal Holidays except by written direction or consent of the Department.

B. All Work under this Contract shall be completed by the Contract Expiration

Date, 420 calendar days after Contract Execution Date.

11. UNION LABOR

Attention is called to the fact that there may be construction work now being carried on at the site at which this construction is contemplated being done by union labor. This fact must be kept in mind by all bidders.

12. PREVAILING WAGE

Bidders should note that the State of Connecticut Labor Department prevailing wage rates will apply to this project as required under Articles 20 and 21 of the General

Conditions. (Part III.A, Pages GC-13 and GC-14)

13. QUANTITY OF WORK

A. Bidders must satisfy themselves by personal examination of the site of the work and the plans relating thereto; and form their own judgments of the quantities and character of the Work to be done and make their bids accordingly.

B. No claims on account of the nature of the Work, the amount of the Work to be done or the site where the Work is to be executed will be considered or allowed by the State, except for Unit Price items stated in the Bid Proposal.

14. QUALITY OF WORK

A. The selected Contractor shall be responsible for constructing and performing, and maintaining quality control, over all Work as required under Articles 2 through 8 and 14 of the Project General Conditions (Ref. Pages GC-6 through GC-8, and

GC-10, of the Contract Documents).

B. The selected Contractor shall also be subject to evaluation by the DEEP Water

Planning and Management Division at the conclusion of the Project. Contractor performance evaluations will be submitted exclusively to the State Contracting

Portal, CT Source. (Contractor Performance Evaluation Memo, is included in the

Contract Documents.)

15. EXECUTIVE ORDERS NO. THREE, SEVENTEEN, SIXTEEN AND 7C:

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Bidders are advised that the Contract for this project shall be subject to:

A. Executive Order No. Three regarding nondiscrimination, promulgated June 16, 1971, and to the Guidelines and Rules of the State Labor Commissioner implementing said

Executive Order.

B. Executive Order No. Seventeen, promulgated February 15, 1973, requiring contractors and subcontractors to list employment openings with the Connecticut

State Employment Service.

C. Executive Order No. Sixteen, promulgated August 4, 1999, regarding violence in the workplace.

D. Executive Order No. 7C promulgated July 13, 2006 regarding contracting reforms.

Said documents are hereby incorporated herein and made a part hereof as though fully set forth herein. Bidders may review these executive orders on Connecticut’s Official State Website https://portal.ct.gov/ (click on the “Search Connecticut Government…” search bar, and then type the Executive Order number and date to view).

NB-9 of 9 https://portal.ct.gov/

PROPOSAL FORM

DEPARTMENT OF ENERGY & ENVIRONMENTAL PROTECTION

Date

PROPOSAL OF

(Bidder's Name)

(Bidder's Address)

State of Connecticut

Department of Energy & Environmental Protection

Bureau of Water Protection and Land Reuse

Water Planning and Management Division

79 Elm Street, 2nd Floor

Hartford, Connecticut 06106-5127

To whom it may concern:

1. Pursuant to, and in compliance with your Invitation to Bid for SEYMOUR NO. 4 DAM

IMPROVEMENTS, OXFORD, CT, Notice to Bidders, the Contract, including the conditions thereto, and the Bid Security, (I/we) propose to furnish the labor and/or materials, installed as required for the project named and numbered in paragraph 4 of this

Proposal, submitted herein, furnishing all necessary equipment, machinery, tools, labor and other means of construction, and all materials specified in the manner and at the time prescribed strictly in accordance with the provisions of the Contract, including, but not limited to, the Specifications and/or Plans together with all addenda issued by your authority and received prior to the scheduled closing time for the receipt of the bids, and in conformity with requirements of the Awarding Authority and any laws or

Departmental regulations of the State of Connecticut or of the United States which may affect the same, for and in consideration of the price(s) stated in paragraph 4.C. of this

Proposal.

2. The Total Bid Price in paragraph 4.C. of this Proposal includes all work indicated on the

Plans and/or described in these Specifications and is based on the Unit Price Bids as shown.

(I/We) will complete the work of this Project for the Total Bid Price, as may be adjusted for actual quantities of unit bid price items, as listed in paragraph 4 of this Proposal.

(I/We) understand, that (I/we) must complete the Bid by filling out all blanks, unit prices and computed totals for all unit price items and list the Total Bid Price both in figures and words.

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3. In submitting this Bid (I/we) agree:

A. To hold (my/our) Bid open for 120 days after the actual Bid Opening date.

B. To accept the provisions of the Notice to Bidders regarding disposition of the

Bid Security.

C. To enter into and execute a Contract, if awarded, on the basis of this Bid and to provide the required Performance Bond and Labor and Material Bond for the work in accordance with the Notice to Bidders.

D. To complete the work in accordance with the Contract Documents.

E. To complete the work by the Contract Expiration date of 420 Calendar Days after Contract Execution.

4. PROPOSAL AND OTHER PROJECT DATA

A. The undersigned proposes to furnish all labor and materials required to complete:

SEYMOUR NO. 4 DAM IMPROVEMENTS, OXFORD, CT

in accordance with Plans and Technical Specifications prepared by Tata & Howard, Inc., and subject to and in compliance with the foregoing and following conditions and information set forth and contained in the Contract Documents. Specifically, the Bidder acknowledges that only those Unit Price items as are listed in this Proposal, exclusive of extra work, will be measured for payment. Contractors will be paid only for actual Work performed as measured in accordance with the Contract Documents.

B. This Bid includes all Addenda issued as of the bid due date set forth in the Invitation to

Bid (refer to Page IB-1).

C. This Bid was determined as follows:

PF-2 OF 8

PROJECT DATA SHEET – BID LIST

Seymour No. 4 Dam Improvements

Oxford, CT

EXAMPLE BID TABULATION SHEET 1 OF 2

BID ITEM

No. DESCRIPTION UNITS

EST.

QTY. UNIT PRICE BID PRICE

1 Site Work L.S. 1

Control of Water

During

Construction

L.S. 1

3 Excavation -- -- -- --

3A Excavation L.S. 1

3B Rock Excavation C.Y. 150

4 Concrete Work -- -- -- --

4A Class "A"

Concrete C.Y. 230

4B Class "B"

Concrete C.Y. 100

Pipe, Valves, and

Accessories L.S. 1

Compacted

Embankments L.S. 1

7 Riprap -- -- -- --

7A Gravel Bedding C.Y. 70

7B Standard Riprap S.Y. 400

PF-3 OF 8

Miscellaneous

Metal Work L.S. 1

Additional

Excavation and

Disposal of

Unsuitable

Material

L.S. 1

Chain Link

Fence L.S. 1

Aluminum

Railing L.S. 1

Additional

Backfill Material L.S. 1

Toe Drains and

Appurtenant

Structures

L.F. 1

Construction

Stormwater

General Permit

14A

Construction

Stormwater

General Permit

L.S. 1

14B

Allowance for

Additional SPCP

Measures

A 1 $25,000 $25,000

Total Amount of Bid in figures:

Total Amount of Bid in Words:

L.S.=Lump Sum; C.F.=Cubic Foot; C.Y.=Cubic Yard; L.F.=Linear Foot; S.F.=Square Foot;

S.Y.=Square Yard; A=Allowance

PF-4 OF 8

D. AWARD – I/We acknowledge the following:

i) All proposals shall be subject to provisions of Paragraph 1 of the Notice to

Bidders and for the purpose of award; consideration will be given only to

Proposals submitted by qualified and responsible bidders.

ii) The Award will be made on the basis of the lowest responsive Total Bid Price, provided funds are available.

iii) In the event of any discrepancy between the amount written in words and the amount written in numerical figures, the amount written in words will be controlling.

iv) That award of the Contract to a Bidder will be contingent upon determination by the Connecticut Department of Energy & Environmental Protection and the

Connecticut Commission on Human Rights and Opportunities that the Bidder is in compliance with Sections 4a-60 and 4a- 60a of the Connecticut General

Statutes (“C.G.S.”) and Section 46a-68j-23 of the Regulations of Connecticut

State Agencies (“R.C.S.A.”) regarding equal employment opportunity, and the

Bidder’s good faith efforts to include minority business enterprises as subcontractors and suppliers for the Work of the Contract. Upon notification of a

Bidder by said Department of Energy & Environmental Protection as the lowest responsible bidder, said determination of compliance may require the successful completion of an Affirmative Action Plan as required under

C.G.S. Sections 46a-68c and -68d, and R.C.S.A. Section 46a-68j-27(1).

E. CONTRACT SCHEDULE AND LIQUIDATED DAMAGES

All work under this Contract will be completed by the Contract Expiration Date, 420 Calendar Days after Contract Execution. If the project completion is delayed, liquidated damages will be assessed at the rate of one thousand five hundred dollars

($1,500.00) per calendar day thereafter.

F. CONTRACTOR’S INSURANCE REQUIRED

i) The limits of liability for the insurance required for this project shall be those listed in Article 16 of the General Conditions.

ii) Special Hazards Insurance is Required.

PF-5 of 8

G. STATEMENT OF BIDDER’S QUALIFICATIONS

Refer to Paragraph 7 of the Notice to Bidders relative to the submitting of Statement of

Bidder's Qualifications.

New 2023 legislation PA 2023-204 sec.437 (1) The bidder's form of organization; (2) the bidder's principals and key personnel and any names under which the bidder, principals or key personnel conducted business during the past five years; (3) any legal or administrative proceedings settled or concluded adversely against the bidder or any of the bidder's principals or key personnel within the past five years which relate to the procurement or performance of any public or private construction contract;

(4) any legal or administrative proceedings concluded adversely against the bidder or any of the bidder's principals or key personnel within the past five years which relate to the nonpayment or underpayment of wages or benefits to the bidder's, principal's or key personnel's employees during the performance of any public or private construction contract; (5) any administrative proceedings that concluded adversely against the bidder during the past five years with the imposition of any civil penalties pursuant to section

31-69a of the general statutes or the issuance of any stop work orders pursuant to section 31-288 of the general statutes; (6) a statement of whether (A) the bidder has been disqualified pursuant to section 4a-

100, 4b-95, 31-57c or 31-57d of the general statutes, (B) the bidder is disqualified or prohibited from being awarded a contract pursuant to section 31-57b of the general statutes, (C) the bidder has been disqualified by another state, (D) the bidder has been disqualified by a federal agency or pursuant to federal law, (E) the bidder's registration has been suspended or revoked by the Department of Consumer

Protection pursuant to section 20-341gg of the general statutes, (F) the bidder has been disqualified by a municipality, and (G) the matters that gave rise to any such disqualification, suspension or revocation have been eliminated or remedied; and (7) other information as the commissioner deems relevant to the determination of the bidder's qualifications and responsibilities. Any failure to disclose any of the information required under this subsection shall disqualify a contractor or substantial subcontractor from any associated bid on a contract.

When evaluating a Contractor's qualifications, as per Section 4b-92 and 4b-94 of the

Connecticut General Statutes, the Commissioner shall evaluate: the skill, ability and integrity of the Contractor in terms of the Contractor's ability to fulfill the Contract obligations; and the Contractor's experience or lack of experience and the Commissioner reserves the right to reject any or all such Contractors that he deems are not qualified to perform the work under this Contract.

H. NONDISCRIMINATION LABOR RECRUITMENT

(I/We) agree that the Contract awarded for this project shall be subject to Executive

Orders No. Three and Seventeen, promulgated June 16, 1971 and February 15, 1973, respectively, and to currently applicable State of Connecticut guidelines and requirements for implementation.

PF-6 of 8

I. VIOLENCE IN THE WORKPLACE

(I/We) agree that the Contract awarded for this project shall be subject to Executive Order

No. Sixteen, promulgated August 4, 1999, regarding violence in the workplace.

J. CONTRACTING REFORMS

(I/We) agree that the Contract awarded for this project shall be subject to Executive Order

No. 7C, promulgated July 13, 2006, regarding contracting reforms.

5. ACCOMPANYING PROPOSAL IS

A STANDARD BID BOND having as surety thereto a Surety Company or Companies authorized to transact business in the State of Connecticut and made out in the penal sum of:

DOLLARS($ )

6. (I/We), the undersigned , hereby declare that (I am/we are) the only person(s) interested in the

Proposal; that it is made without any connection with any other person making any bid for the same work; that no person acting for, or employed by, the State of Connecticut is directly or indirectly interested in this proposal, or in any contract which may be made under it, or in expected profits to arise therefrom; that this Proposal is made without directly or indirectly influencing or attempting to influence any other person or corporation to bid or to refrain from bidding or to influence the amount of the bid of any other person or corporation; that this

Proposal is made in good faith without collusion or connection with any other person bidding for the same work; and this Proposal is made with distinct reference and relation to the Plans and

Specifications prepared for this Contract.

7. (I/We) further declare that in regard to the conditions affecting the work to be done and the labor and materials needed, this Proposal is based solely on (my/our own investigation and research and not in reliance upon any representations of any employee, officer or agent of the State.

Signed this day of , 202

PF-7 of 8

Project: Seymour No. 4 Dam Improvements, Oxford, CT

Firm Name:

(Address)

(City) (State) (Zip) (Phone)

BY: (L.S.)

Duly Authorized (Title)

(Corp. Seal)

To be filled in and

Signed by the Bidder

PF-8 of 8

STANDARD BID BOND

DEPARTMENT OF ENERGY & ENVIRONMENTAL PROTECTION

KNOW ALL BY THESE PRESENTS, that we, , Hereinafter called the Principal, of as

Principal, and , hereinafter, Called the Surety, a corporation organized and existing under the laws of the State of ____________, and duly authorized to transact a surety business in the State of Connecticut, as Surety, are held and firmly bound unto the State of Connecticut, as Obligee, in the penal sum of ten (10) percent of the amount of the bid set forth in a proposal hereinafter mentioned, Lawful money of the United States of America, for the payment of which, well and truly to be made to the

Obligee, the Principal and the Surety bind themselves, their heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents.

THE CONDITION OF OBLIGATION IS SUCH, That, whereas the Principal has submitted or is about to submit a proposal to the Obligee related to construction of the project entitled:

Seymour No. 4 Dam Improvements, Oxford, CT

NOW, THEREFORE, if the said Contract be awarded to the Principal and the Principal shall, within such time as may be specified, enter into the said Contract in writing with the State of Connecticut and give the required bonds, with surety acceptable to the Obligee, or if the principal shall fail to do so, pay the

Obligee the damages which the Obligee may suffer by reason of such failure not exceeding the penalty of this bond, then this obligation shall be void, otherwise to remain in full force and effect.

SIGNED, SEALED, AND DATED this _______ day of , 202

Company Name Surety Name

By

Principal’s Signature Attorney in Fact Signature

Print Name Print Name

BB-1 of 1

STATEMENT OF BIDDER’S QUALIFICATIONS

DEPARTMENT OF ENERGY & ENVIRONMENTAL PROTECTION

Bidder’s Name

Bidder’s Address

When organized?

How many years have you been engaged in the contracting business under present firm name?

Financial Statement (attach separate statement hereto if space is inadequate)

Credit available for this Contract

Contracts now in hand (gross amount)

Personnel of organization

Have you ever refused to sign a contract to your original bid?

Have you ever defaulted on a contract?

Have you contracted with the Department of Energy & Environmental Protection before?

Please complete the references page following.

BQ-1 of 4

References - List three projects, similar in size and scope to this one that were successfully completed by your firm as the principal contractor, that involved work on dams, water control, earthwork, and concrete placement.

(1) Project:

Owner:

Contract Amount: Year Completed:

Owner Contact Person & Phone No:

List names of Personnel with significant responsible experience with this project:

1. Principal Superintendent: Available to oversee this contract?

2. Other: Position: Available to oversee this contract?

3. Other: Position: Available to oversee this contract?

(2) Project:

Owner:

Contract Amount: Year Completed:

Owner Contact Person & Phone No:

List names of Personnel with significant responsible experience with this project:

4. Principal Superintendent: Available to oversee this contract?

5. Other: Position: Available to oversee this contract?

6. Other: Position: Available to oversee this contract?

(3) Project:

Owner:

Contract Amount: Year Completed:

Owner Contact Person & Phone No:

List names of Personnel with significant responsible experience with this project:

7. Principal Superintendent: Available to oversee this contract?

8. Other: Position: Available to oversee this contract?

9. Other: Position: Available to oversee this contract?

BQ-2 of 4

Additional information regarding your qualifications for this work:

BQ-3 of 4

The Commissioner of the Department of Energy & Environmental Protection will review Bidder's qualifications and determine if the Bidder:

a. Has adequate financial resources, or the ability to secure such resources.

b. Has the necessary experience, organization, technical qualifications, and has, or can acquire, the necessary equipment to perform the proposed contract.

c. Is able to comply with the required performance schedule or completion date, taking into account all existing commitments.

d. Has satisfactory record of performance, integrity, judgement, and skills.

e. Has adequate experience in performing dam construction, flood control, water related and/or water control projects.

f. Has employed adequate sediment and erosion control methods on previous projects.

The Bidder agrees that the Commissioner of the Department of Energy & Environmental

Protection has the right to reject any bid if the Commissioner believes it would not be in the best interest of the project to make an award to that Bidder. The Bidder also agrees that the

Commissioner's decision is final.

The above statement must be subscribed and sworn to before a Notary Public.

By

Date

STATE OF ss

COUNTY OF

The foregoing instrument was acknowledged before me

On this day of , 202 .

NOTARY PUBLIC

My Commission Expires:

BQ-4 of 4

SECTION I.B. STATE OF CONNECTICUT CONTRACT COMPLIANCE ITEMS – BIDDING

- CHRO Contract Compliance Regulations and Notification to Bidders (34 pages)

- DOL Form E.O. 3-1, Article X of Executive Order Number Three, Guidelines and Rules (2 pages)

- NEW October 1, 2023- participate in a workforce development program in which newly hired employees and existing employees are given the opportunity to develop skills. Such program may include but need not be limited to: (1) An apprenticeship training through an apprenticeship program registered with the Labor Department or a federally recognized state apprenticeship agency that complies with the requirements of 29 CFR 29 and 29 CFR 30, as each may be amended from time to time, and (2) pre-apprenticeship training that will enable students to qualify for registered apprenticeship training.

NOTE: All forms associated with these items must be completed by Bidders and submitted with bids.

S-I-B

COMMISSION ON HUMAN RIGHTS AND OPPORTUNITIES

CONTRACT COMPLIANCE REGULATIONS

NOTIFICATION TO BIDDERS

(Revised 09/3/15)

The contract to be awarded is subject to contract compliance requirements mandated by Sections 4a-60 and 4a- 60a of the Connecticut General Statutes; and, when the awarding agency is the State, Sections

46a-71(d) and 46a-81i(d) of the Connecticut General Statutes. There are Contract Compliance

Regulations codified at…