CITY OF CORTLAND

REQUEST FOR PROPOSALS (RFP)

APPLICABILITY REVIEW AND GREENHOUSE GAS REPORTING SERVICES FOR THE CITY OF CORTLAND WASTEWATER TREATMENT PLANT

The City of Cortland ("City") is requesting sealed proposals from qualified environmental consulting firms to provide professional services related to compliance with the New York State Department of Environmental Conservation ("NYSDEC") Mandatory Greenhouse Gas Reporting Program pursuant to 6 NYCRR Part 253.

The selected Consultant shall provide professional services necessary to determine whether the City's Wastewater Treatment Plant ("WWTP") is subject to mandatory greenhouse gas reporting requirements. If reporting is determined to be required, and upon written authorization by the City, the Consultant shall perform all services necessary to prepare, document, and assist with submission of the City's required greenhouse gas emissions report.

This procurement is structured as a two-phase engagement:

Phase 1 – Applicability Review The Consultant shall evaluate the City's wastewater treatment operations and determine whether the WWTP is subject to greenhouse gas reporting requirements under 6 NYCRR Part 253.

Phase 2 – Greenhouse Gas Reporting Services If Phase 1 determines that reporting is required, and the City elects to proceed, the Consultant shall perform all technical, analytical, documentation, and reporting services necessary to support the City's compliance with applicable reporting requirements.

Completion of Phase 1 does not guarantee authorization to proceed with Phase 2.

An electronic copy of the complete RFP document, support reference documents, and any potential issued RFP addenda can be obtained via download from the City of Cortland ’s website:

https://www.cortlandny.gov/ All requests for RFP clarifications or questions must be submitted in writing via e-mail to Randi Mowry, Purchasing Manager; rmowry@cortlandny.gov and received in writing no later than noon September 10, 2026.

RESPONSES DUE: 12:00 noon, September 23, 2026

The City shall not be liable for any costs incurred by proposers in preparing or submitting proposals.

1. INTRODUCTION & PROJECT BACKGROUND

The New York State Department of Environmental Conservation has adopted regulations requiring certain facilities and entities to report greenhouse gas emissions in accordance with 6 NYCRR Part 253.

The City of Cortland owns and operates a municipal wastewater treatment facility that may be subject to reporting requirements established under New York State's Mandatory Greenhouse Gas Reporting Program.

The City is seeking a qualified consulting firm with demonstrated experience in environmental compliance, greenhouse gas emissions accounting, wastewater treatment processes, and regulatory reporting to assist the City in determining its reporting obligations and, if applicable, completing all required greenhouse gas reporting activities.

The City intends to enter into a Professional Services Agreement with the Consultant determined to be the most qualified proposer whose proposal represents the best overall value to the City.

The resulting agreement shall provide the City with technical expertise, regulatory guidance, project management, emissions calculations, documentation, reporting assistance, and regulatory support as described in this Request for Proposals.

2. CONTRACT TERM

The anticipated contract shall commence upon execution of the Professional Services Agreement by both parties.

Phase 1 services shall begin only after written authorization to proceed is issued by the City.

If Phase 2 is authorized, the Consultant shall complete all required services in accordance with the approved project schedule and all applicable NYSDEC reporting deadlines.

The City reserves the right to negotiate additional annual reporting services or contract extensions, if determined to be in the best interest of the City.

3. SCOPE OF SERVICE

PHASE 1 – Regulatory Assessment The Consultant shall evaluate the City of Cortland Wastewater Treatment Plant ("WWTP") to determine whether the facility is subject to greenhouse gas reporting requirements under 6 NYCRR Part 253 and any associated NYSDEC guidance applicable at the time of the review.

The Consultant shall independently review applicable regulations, evaluate the City's operations, identify reportable activities and emissions sources, and provide the City with a written determination regarding reporting applicability.

The Consultant shall be responsible for maintaining familiarity with current NYSDEC regulations, reporting guidance, technical memoranda, reporting instructions, and other applicable regulatory interpretations throughout completion of Phase 1.

Presentation of Findings The Consultant shall present the findings of the Applicability Determination Memorandum to designated City personnel.

The presentation shall include:

a. Summary of the evaluation process;

b. Applicable regulatory requirements;

c. Supporting rationale;

d. Review of assumptions;

e. Discussion of any data limitations;

f. Opportunity for questions and discussion; and

g. Recommended next steps.

If the City determines that Phase 2 services are warranted, the City may issue written authorization directing the Consultant to proceed with Phase 2.

The Consultant shall not commence Phase 2 services without written authorization from the City.

PHASE 2 – GREENHOUSE GAS REPORTING SERVICES

General Requirements The Consultant shall provide all labor, personnel, professional services, technical expertise, software, calculations, documentation, project management, quality assurance, and regulatory support necessary to prepare and support the City's required greenhouse gas reporting.

If it is determined that the City is subject to NYCRR Title 6 Part 253, the City and Consultant will work to develop a follow up scope of work for regulatory compliance support. This may include but is not limited to: greenhouse gas inventory development or refinement, reporting framework alignment, and preparation and submittal of required disclosures. The Consultant will present the scope, along with proposed schedule for the City’s review and approval prior to proceeding.

The Consultant shall maintain an organized record of all information received from the City.

Schedule Requirements The Consultant shall complete all Phase 2 services in sufficient time to allow the City to meet all applicable NYSDEC reporting deadlines. Failure to maintain the approved schedule may be considered a material breach of the Agreement.

4. CONSULTANT QUALIFICATIONS

Minimum Qualifications The Consultant shall demonstrate the experience, technical expertise, and resources necessary to successfully perform the services described in this Request for Proposals.

At a minimum, the Consultant shall demonstrate experience in:

a. Greenhouse gas emissions accounting and reporting;

b. Environmental compliance consulting;

c. Municipal wastewater treatment facilities;

d. Wastewater treatment process evaluations;

e. Environmental data collection and validation;

f. Greenhouse gas emissions calculations;

g. Preparation of regulatory reports;

h. Environmental permitting and compliance;

i. NYSDEC environmental regulations; and

j. Public sector or municipal consulting.

The City reserves the right to determine whether a proposer possesses sufficient qualifications and experience.

Similar Project Experience The Consultant shall provide descriptions of projects completed within the past five (5) years that demonstrate experience with work similar in scope.

Projects should include experience involving:

· Greenhouse gas reporting

· Wastewater treatment facilities

· Environmental compliance

· NYSDEC regulatory reporting

· Municipal clients

· Greenhouse gas emissions calculations

For each project provide:

• Client name

• Facility name

• Project location

• Description of services

• Completion date

• Project value

• Client contact information

5. PROPOSAL SCHEDULE AND SUBMISSION REQUIREMENTS

All proposals should be clearly marked "RFP- WWTP GHG Reporting Services" on the outside. Submission of one (1) hard copy is required and may be delivered by mail or in person and must accompany an electronic, searchable PDF Format on a USB flash drive. Electronic copies alone will not be accepted.

Submissions should be delivered to the Cortland City Clerk’s Office, which is located on the main floor of City Hall, 25 Court Street, Cortland, New York 13045.

PROPOSALS SHALL BE ORGANIZED IN THE FOLLOWING ORDER:

☐ Cover Letter The cover letter shall include:

a. Legal name of proposer

b. Address

c. Telephone number

d. Email address

e. Primary contact person

f. Statement acknowledging review of the RFP

g. Statement confirming ability to perform the work

h. Signature of an authorized representative

☐ Bid Proposal Form ☐ Firm Qualifications Provide:

• History of the firm

• Organizational structure- Project Team

• Office locations

• Years in business

• Areas of expertise

• Municipal experience

• Environmental compliance experience

• Experience with wastewater treatment facilities

☐ Project Schedule Provide a detailed schedule showing:

• Notice to Proceed

• Kickoff meeting

• Data request

• Site visit

• Applicability Review

• Draft memorandum

• Final memorandum

• Phase 2 activities (if authorized)

• Draft report

• Final report

• Electronic submission

☐ References Provide a minimum of three (3) client references.

Include:

Client Name Organization Contact Person Telephone Email Project Description Completion Date

☐ Exceptions (if any) The Consultant shall clearly identify any requested exceptions to this RFP.

Failure to identify exceptions shall constitute acceptance of the requirements contained herein.

☐ Proof of Insurance ☐ Exhibit A: Non Collusive Bidding Certificate ☐ Exhibit B: Acknowledgement and Agreement to Comply with Standard Clauses for New York State Contracts (Appendix A) ☐ Exhibit C: Conflict of Interest Disclosure ☐ Exhibit D: Addenda Acknowledgement ☐ Exhibit E: Confidentiality and Protection of Information Clause

6. PROPOSAL WITHDRAWAL

A proposal may be withdrawn prior to the proposal submission deadline by written request submitted by an authorized representative of the proposer.

7. COST PROPOSAL

Proposals shall be submitted using the Bid Proposal Form included in this Request for Proposals. All pricing shall be provided on this form. Failure to complete the Bid Proposal Form in its entirety may result in the proposal being determined incomplete.

Costs shall include all labor, travel, meetings, project management, software, overhead, administrative costs, calculations, reporting, documentation, electronic submissions, and incidental expenses necessary to complete the work.

Phase 1 Pricing Phase 2 Pricing Optional Future Annual Reporting Hourly Rates

8. EVALUATION OF PROPOSALS

Proposals shall be evaluated by a committee designated by the City.

Evaluation shall include, but not be limited to, the following criteria.

The City reserves the right to request interviews with one or more firms prior to final selection.

9. SELECTION PROCESS

The City anticipates using the following procurement process.

1. Issue Request for Proposals

2. Receive proposals

3. Review proposals for responsiveness

4. Evaluate Proposals

5. Conduct interviews, if deemed necessary

6. Complete reference checks

7. Negotiate scope and fee with the highest-ranked proposer

8. Recommend contract award and get City Council Approval

9. Execute Professional Services Agreement The City reserves the right to modify this process as determined to be in its best interest.

Project Kickoff Meeting Within ten (10) business days following the written Notice to Proceed, the Consultant shall conduct a kickoff meeting with designated City and WWTP personnel.

The kickoff meeting shall include, at a minimum:

a. Review of the project objectives;

b. Review of the anticipated project schedule;

c. Discussion of required facility information;

d. Identification of key City contacts;

e. Discussion of available records and documentation;

h. Establishment of communication procedures throughout the project.

10. GENERAL CONDITIONS

10.1 Reservation of Rights

The City reserves the right to:

a. Reject any or all proposals;

b. Waive minor informalities or irregularities in proposals;

c. Request clarification or additional information from any proposer;

d. Conduct interviews or presentations with one or more proposers;

e. Negotiate the scope of services, schedule, staffing, or compensation with the highest-ranked proposer;

f. Cancel, amend, or reissue this Request for Proposals at any time;

g. Award all, part, or none of the services described herein;

h. Award the contract in the manner determined to be in the best interest of the City; and

i. Decline to authorize Phase 2 services following completion of Phase 1.

10.2 Contract Award

The contract shall be awarded to the proposer whose proposal is determined to provide the best overall value to the City. Award shall not be based solely upon price.

11. INSURANCE REQUIREMENTS

The selected Consultant shall maintain insurance coverage with companies authorized to conduct business in the State of New York.

Prior to commencing work, the Consultant shall furnish certificates of insurance evidencing the following minimum coverage:

GENERAL LIABILITY:

1) Comprehensive Form

2) Premises/Operations

3) Underground Explosion & Collapse Hazard

4) Products/Completed Operations

5) Contractual

6) Independent Contractors

7) Broad Form Property Damage

8) Personal Injury

9) Other- Pollution Liability

LIABILITY LIMITS FOR THE GENERAL LIABILITY INSURANCE LISTED ABOVE

2. Property Damage: $1,000,000 Each Occurrence $2,000,000 Aggregate

3. BI and PD Combined: $1,000,000 Each Occurrence $2,000,000 Aggregate

4. Personal Injury: $1,000,000 Each Occurrence $2,000,000 Aggregate

5. Professional Liability: $1,000,000 Each Occurrence $2,000,000 Aggregate

The Contractor shall name the City of Cortland as an unrestricted additional insured and shall indemnify and save harmless the City of and from any and all claims, actions, damages, and charges of every name and nature whatsoever arising from the negligence or want of care of the Contractor, his agents or employees in the execution of the work contemplated before commencing operations. The Contractor shall secure comprehensive automobile liability coverage for all motor vehicles. Said policy shall protect both injury and property damage in at least the sum of $1,000,000 single limit. Insurance shall remain in effect for the duration of the Agreement.

The City reserves the right to require higher limits or additional coverage based upon the final negotiated scope of work.

12. MWBE/SDVOB PARTICIPATION

The City encourages participation by New York State-certified Minority-Owned Business Enterprises (MBE), Women-Owned Business Enterprises (WBE), and certified Service-Disabled Veteran-Owned Businesses (SDVOB).

Proposers shall identify any proposed MWBE/SDVOB participation and describe the services to be provided by each firm.

13. ADDENDA

Questions concerning this Request for Proposals shall be submitted in writing to the Randi Mowry, Purchasing Manager; rmowry@cortlandny.gov no later than the date identified in the Proposal Schedule.

Responses to questions deemed substantive shall be issued by written addendum.

Only written addenda issued by the City shall modify this Request for Proposals.

Verbal statements or interpretations by City personnel shall not be binding upon the City.

Each proposer shall acknowledge receipt of all addenda in its proposal.

14. CONFIDENTIALITY AND FREEDOM OF INFORMATION LAW

Proposals submitted to the City may be subject to disclosure pursuant to the New York State Freedom of Information Law (FOIL).

If a proposer believes that portions of its proposal are exempt from disclosure, the proposer shall clearly identify those portions and provide the legal basis supporting the requested exemption.

The City shall make the final determination regarding disclosure in accordance with applicable law.

15. CONFLICT OF INTEREST

Proposers shall disclose any actual or potential conflicts of interest that may affect their ability to perform the requested services.

The Consultant shall promptly notify the City of any conflict arising during the term of the Agreement.

Failure to disclose conflicts may be grounds for disqualification or termination of the Agreement.

16. OWNERSHIP OF WORK PRODUCT

All reports, calculations, memoranda, spreadsheets, databases, electronic files, supporting documentation, drawings, maps, work papers, technical analyses, presentations, and other work products prepared specifically for the City under the resulting Agreement shall become the property of the City upon payment.

The Consultant shall provide all final work products in editable electronic formats, including Microsoft Word and Microsoft Excel, as applicable.

The City shall retain unrestricted rights to use, reproduce, modify, and distribute the work products for governmental purposes.

17. RECORD RETENTION

The Consultant shall maintain all project records, calculations, supporting documentation, correspondence, and related materials for a minimum of six (6) years following completion of the Agreement, or longer if required by applicable law or regulation.

Upon request, the Consultant shall provide copies of such records to the City.

18. COMPLIANCE WITH LAWS

The Consultant shall comply with all applicable federal, State of New York, and local laws, regulations, codes, and ordinances governing the performance of the work, including but not limited to applicable environmental regulations, labor laws, and occupational safety requirements.

19. NON-DISCRIMINATION

The Consultant shall not discriminate against any employee, applicant, subcontractor, or other individual on the basis of any protected characteristic under applicable federal, State, or local law.

20. INDEMNIFICATION

To the fullest extent permitted by law, the Consultant shall indemnify, defend, and hold harmless the City of Cortland, its officers, officials, employees, and agents from and against claims, damages, losses, liabilities, and expenses arising out of or resulting from the negligent acts, errors, or omissions of the Consultant or its employees, agents, or subcontractors in the performance of the services under the Agreement.

Nothing herein shall be construed to require indemnification beyond that permitted by New York law.

21. TERMINATION

The City may terminate the Agreement, in whole or in part, for convenience or for cause upon written notice to the Consultant.

Upon termination, the Consultant shall cease work as directed by the City and shall be compensated only for satisfactorily completed services performed through the effective date of termination.

22. PROPOSAL CERTIFICATION

By submitting a proposal, the proposer certifies that:

a. The proposal has been prepared independently and without collusion;

b. The proposer has examined and understands the requirements of this Request for Proposals;

c. The proposer possesses the qualifications necessary to perform the requested services;

d. All information contained in the proposal is true and accurate;

e. The individual signing the proposal is authorized to bind the proposer; and

f. The proposer agrees to comply with all requirements set forth in this Request for Proposals.

23. CITY OF CORTLAND RESERVATION OF RIGHTS

The City reserves the right to:

· Reject any or all proposals.

· Waive informalities.

· Request clarification.

· Conduct interviews.

· Negotiate with the highest-ranked proposer.

· Cancel or reissue the RFP.

· Award all or part of the work.

· Decline to proceed with Phase 2 following completion of Phase 1.

· Award the contract determined to be in the best interest of the City.

BID PROPOSAL FORM

PROPOSER INFORMATION

Company Name: ___________________________________________________________________________________ Address: ___________________________________________________________________________________ Telephone: _________________________________________________________________________ Email: _____________________________________________________________________________ Contact Person: _____________________________________________________________________ The undersigned hereby proposes to furnish all labor, travel, meetings, project management, software, overhead, administrative costs, calculations, reporting, documentation, electronic submissions, and incidental expenses necessary to complete the work in accordance with the specifications and requirements contained in the Request for Proposals.

Phase 1 Pricing Provide a lump sum fee for: Applicability Review

Amount in words: ______________________________________________________________________________________________________________________________________________________________________ Phase 2 Pricing Provide a lump sum fee for: Reporting Services.

Amount in words: ______________________________________________________________________________________________________________________________________________________________________

BID PROPOSAL FORM

Optional Future Annual Reporting Provide pricing for optional annual reporting services.

Hourly Rates Provide hourly rates for personnel that may provide additional services.

BID PROPOSAL FORM

By signing and submitting this Proposal, the Proposer certifies that the Proposal has been prepared independently and without collusion, fraud, or any agreement with another proposer; that the Proposer has carefully examined and fully understands the requirements, specifications, terms, conditions, and scope of services contained in this Request for Proposals; that the Proposer possesses the qualifications, experience, personnel, resources, and financial capability necessary to perform the services described herein; that all information contained in the Proposal and supporting documentation is true, complete, and accurate to the best of the Proposer's knowledge; that the individual signing the Proposal is duly authorized to bind the Proposer and execute contracts on behalf of the Proposer; that the Proposer agrees to comply with all requirements, conditions, and provisions contained in the Request for Proposals and any resulting Agreement; and that the Proposer acknowledges the City of Cortland reserves the right to reject any or all proposals, waive informalities, request clarification, negotiate with proposers, and award a contract in the best interest of the City.

Signature: _____________________________________ Date: __________________________

EXHIBIT A - NON COLLUSIVE BIDDING CERTIFICATE REQUIRED BY

SECTION 139-D OF THE STATE FINANCE LAW

Section 139D, Statement of Non-Collusion in bids to the State:

By submission of this bid, bidder and each person signing on behalf of bidder certifies, and in the case of joint bid, each party thereto certifies as its own organization, under penalty of perjury, that to the best of his/her knowledge, and belief:

1) The prices of this bid have been arrived at independently, without collusion, consultation, communication, or agreement, for the purposes of restricting competition, as to any matter relating to such prices with any other bidder or with any other competitor;

2) Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the Bidder and will not knowingly be disclosed by the Bidder prior to opening, directly or indirectly, to any other bidder or to any competitor; and

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

A Bid shall not be considered for award nor shall any award be made where 1, 2, 3 above have not been complied with; provided however, that if in any case, the bidder(s) cannot make the foregoing certification, the bidder shall so state and shall furnish below a signed statement which sets forth in detail the reasons therefore:

(Affix addendum to this page if space is required for statement.)

Subscribed to me under penalty of perjury under the laws of the State of New York, this ______________ day of _________________, 20_____ as the act and deed of said corporation of partnership or sole proprietor.

If Bidders are a Partnership, complete the Following:

If Bidders are a corporation, complete the following:

Name Legal Residence

President Vice President Secretary Treasurer

Identifying Data:

Potential Contractor: ______________________________________________________ Address: _______________________________________________________________ Telephone #: _______________________________ Title: ____________________ E-Mail Address: _________________________________________________________

If applicable, Responsible Corporate Officer

Name: ____________________________________ Title: _____________________

Joint or combined bids by companies or firms must be certified by each participant.

Signed: ___________________________________ Date: ________________

EXHIBIT B – ACKNOWLEDGEMENT AND AGREEMENT TO COMPLY WITH STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS (APPENDIX A)

I hereby acknowledge that I have read, understand and agree to comply with the terms as outlined in Appendix A – Standard Clauses for New York State Contracts. Failure to comply may result in immediate termination of this agreement with potential legal recourse by the County.

Signed: ___________________________________ Date: ________________

Title: _____________________________________

EXHIBIT C - CONFLICT OF INTEREST DISCLOSURE

Conflict of Interest Disclosure Form

Note: A potential or actual conflict of interest exists when commitments and obligations are likely to be compromised by the nominator(s)’other material interests, or relationships (especially economic), particularly if those interests or commitments are not disclosed.

This Conflict of Interest Form should indicate whether the nominator(s) has an economic interest in, or acts as an officer or a director of, any outside entity whose financial interests would reasonably appear to be affected by the contract. The nominator(s) should also disclose any personal, business, or volunteer affiliations that may give rise to a real or apparent conflict of interest. Relevant Federally and organizationally established regulations and guidelines in financial conflicts must be abided by. Individuals with a conflict of interest should refrain from bidding and/or contracting.

Date: _____________________________________________________________

Name: ____________________________________________________________

Position: __________________________________________________________

Please describe below any relationships, transactions, positions you hold (volunteer or otherwise), or circumstances that you believe could contribute to a conflict of interest:

______ I have no conflict of interest to report.

______ I have the following conflict of interest to report (please specify other nonprofit and for-profit boards you (and your spouse) sit on, any for-profit businesses for which you or an immediate family member are an officer or director, or a majority shareholder, and the name of your employer and any businesses you or a family member own):

1. ________________________________________________________________

2. ________________________________________________________________

3. ________________________________________________________________

I hereby certify that the information set forth above is true and complete to the best of my knowledge.

Signature: ______________________________________________

Company: _____________________________________________

Date: _________________________________________________

EXHIBIT D – ADDENDA ACKNOWLEDGEMENT

Addenda Acknowledgement

All issued addenda will be available on the City of Cortland’s website: https://cortlandny.gov/ As required by this solicitation, the undersigned Offeror hereby acknowledges receipt of any/all Addenda including:

Addendum Number Dated: Signature:

☐ No addenda were issued

EXHIBIT E -CONFIDENDIALITY AND PROTECTION OF INFORMATION CLAUSE

The Consultant acknowledges that, in the course of performing services under any resulting Agreement, it may have access to confidential, proprietary, sensitive, or otherwise non-public information belonging to the City of Cortland. The Consultant shall maintain the confidentiality of such information and shall not disclose, distribute, or use such information for any purpose other than the performance of services under the Agreement without the prior written consent of the City.

The Consultant shall implement appropriate administrative, technical, and physical safeguards to protect City information from unauthorized access, use, disclosure, alteration, or destruction.

If, during the performance of services, the Consultant is provided access to information subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) or other applicable privacy laws, the Consultant shall comply with all applicable federal and state privacy and security requirements and execute any additional agreements required by the City.

Signed: ___________________________________ Date: ________________

Title: _____________________________________

APPENDIX A

STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS

TABLE OF CONTENTS

STANDARD CLAUSES FOR NYS CONTRACTS

The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which are hereby made a part of the contract (the word "Contractor" herein refers to any party other than the State, whether a contractor, licenser, licensee, lessor, lessee or any other party):

1. EXECUTORY CLAUSE. In accordance with Section 41 of the State Finance Law, the State shall have no liability under this contract to the Contractor or to anyone else beyond funds appropriated and available for this contract.

2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without the State’s previous written consent, and attempts to do so are null and void. Notwithstanding the foregoing, such prior written consent of an assignment of a contract let pursuant to Article XI of the State Finance Law may be waived at the discretion of the contracting agency and with the concurrence of the State Comptroller where the original contract was subject to the State Comptroller’s approval, where the assignment is due to a reorganization, merger or consolidation of the Contractor’s business entity or enterprise. The State retains its right to approve an assignment and to require that any Contractor demonstrate its responsibility to do business with the State. The Contractor may, however, assign its right to receive payments without the State’s prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance Law.

3. COMPTROLLER'S APPROVAL. In accordance with Section 112 of the State Finance Law (or, if this contract is with the State University or City University of New York, Section 355 or Section 6218 of the Education Law), if this contract exceeds $50,000 (or the minimum thresholds agreed to by the Office of the State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000, it shall not be valid, effective or binding upon the State until it has been approved by the State Comptroller and filed in his office. Comptroller's approval of contracts let by the Office of General Services is required when such contracts exceed $85,000 (State Finance Law Section 163.6-a). However, such pre-approval shall not be required for any contract established as a centralized contract through the Office of General Services or for a purchase order or other transaction issued under such centralized contract.

4. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law.

5. NON-DISCRIMINATION REQUIREMENTS. To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex (including gender identity or expression), national origin, sexual orientation, military status, age, disability, predisposing genetic characteristics, marital status or domestic violence victim status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall by reason of race, creed, color, national origin, age, sex or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent violation.

6. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor Department in accordance with the Labor Law. Additionally, effective April 28, 2008, if this is a public work contract covered by Article 8 of the Labor Law, the Contractor understands and agrees that the filing of payrolls in a manner consistent with Subdivision 3-a of Section 220 of the Labor Law shall be a condition precedent to payment by the State of any State approved sums due and owing for work done upon the project.

7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor affirms, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Contractor further affirms that, at the time Contractor submitted its bid, an authorized and responsible person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf.

8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-f of the Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affiliates of Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the contract's execution, such contract, amendment or modification thereto shall be rendered forfeit and void. The Contractor shall so notify the State Comptroller within five (5) business days of such conviction, determination or disposition of appeal (2NYCRR 105.4).

9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory rights of set-off. These rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any other contract with any State department or agency, including any contract for a term commencing prior to the term of this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto. The State shall exercise its set-off rights in accordance with normal State practices including, in cases of set-off pursuant to an audit, the finalization of such audit by the State agency, its representatives, or the State Comptroller.

10. RECORDS. The Contractor shall establish and maintain complete and accurate books, records, documents, accounts and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the Records"). The Records must be kept for the balance of the calendar year in which they were made and for six (6) additional years thereafter. The State Comptroller, the Attorney General and any other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from public disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided that: (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's right to discovery in any pending or future litigation.

11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION. (a) Identification Number(s). Every invoice or New York State Claim for Payment submitted to a New York State agency by a payee, for payment for the sale of goods or services or for transactions (e.g., leases, easements, licenses, etc.) related to real or personal property must include the payee's identification number. The number is any or all of the following: (i) the payee’s Federal employer identification number, (ii) the payee’s Federal social security number, and/or (iii) the payee’s Vendor Identification Number assigned by the Statewide Financial System. Failure to include such number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or Claim for Payment, must give the reason or reasons why the payee does not have such number or numbers.

(b) Privacy Notification. (1) The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5 of the State Tax Law. Disclosure of this information by the seller or lessor to the State is mandatory. The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the Commissioner of Taxation and Finance. The information will be used for tax administration purposes and for any other purpose authorized by law. (2) The personal information is requested by the purchasing unit of the agency contracting to purchase the goods or services or lease the real or personal property covered by this contract or lease. The information is maintained in the Statewide Financial System by the Vendor Management Unit within the Bureau of State Expenditures, Office of the State Comptroller, 110 State Street, Albany, New York 12236.

12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN. In accordance with Section 312 of the Executive Law and 5 NYCRR 143, if this contract is: (i) a written agreement or purchase order instrument, providing for a total expenditure in excess of $25,000.00, whereby a contracting agency is committed to expend or does expend funds in return for labor, services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or (iii) a written agreement in excess of $100,000.00 whereby the owner of a State assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then the following shall apply and by signing this agreement the Contractor certifies and affirms that it is Contractor’s equal employment opportunity policy that:

(a) The Contractor will not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability or marital status, shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on State contracts and will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination. Affirmative action shall mean recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation;

(b) at the request of the contracting agency, the Contractor shall request each employment agency, labor union, or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, to furnish a written statement that such employment agency, labor union or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the Contractor's obligations herein; and

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

Contractor will include the provisions of "a", "b", and "c" above, in every subcontract over $25,000.00 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. Section 312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii) employment outside New York State. The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of this section. The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful rules and regulations of the Department of Economic Development’s Division of Minority and Women's Business Development pertaining hereto.

13. CONFLICTING TERMS. In the event of a conflict between the terms of the contract (including any and all attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of this Appendix A shall control.

14. GOVERNING LAW. This contract shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise.

15. LATE PAYMENT. Timeliness of payment and any interest to be paid to Contractor for late payment shall be governed by Article 11-A of the State Finance Law to the extent required by law.

16. NO ARBITRATION. Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of competent jurisdiction of the State of New York.

17. SERVICE OF PROCESS. In addition to the methods of service allowed by the State Civil Practice Law & Rules ("CPLR"), Contractor hereby consents to service of process upon it by registered or certified mail, return receipt requested. Service hereunder shall be complete upon Contractor's actual receipt of process or upon the State's receipt of the return thereof by the United States Postal Service as refused or undeliverable. Contractor must promptly notify the State, in writing, of each and every change of address to which service of process can be made. Service by the State to the last known address shall be sufficient. Contractor will have thirty (30) calendar days after service hereunder is complete in which to respond.

18. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and warrants that all wood products to be…