wcwsa.orgwcwsa.org/files/Regional Water Tank Project 2020... · NOTICE TO BIDDERS Notice is hereby...

NOTICE TO BIDDERS

Notice is hereby given that sealed Bids are sought and requested by the Wayne County Water & Sewer Authority for Water Main Pipe, Valves, Hydrants and related materials for the Regional Water Tank 2020 Water Main Project.

A complete Bid Package may be viewed and printed at no cost from the Authority web site, www.wcwsa.org after 5 p.m. Monday, June 8, 2020. Printed copies may also be obtained for a non-refundable fee of $20.00 at the Office of the Wayne County Water & Sewer Authority. You may call Director of Operations Jason Monroe at 315-986-1929, make a request by FAX at 315-986-1687 or by email to [email protected] to request a printed copy be mailed to you upon receipt by the Authority of a check payable to the Wayne County Water & Sewer Authority for a non-refundable fee of $20.00. The Wayne County Water & Sewer Authority requests that all bids be presented in a plain sealed envelope marked “SEALED BID / Materials for the Regional Water Tank 2020 Water Main Project.” A non-collusive bidding certificate and an Affirmation of Understanding of Agreement / Certificate of Compliance for Procurement of Services are required. A manufacturer’s specification sheet shall be provided on all items bid.

This project is receiving funding from the New York State Environmental Facilities Corporation. The following requirements apply: 1) Participation of Minority- and Women-Owned Business Enterprises (“MWBE”) and Equal Employment Opportunities (“EEO”) pursuant to New York State Executive Law, Article 15-A and New York Code of Rules and Regulations, Title 5 (5 NYCRR) Parts 140-145 (Regulations of the Commissioner of Economic Development); 2) Participation of Service-Disabled Veteran-Owned Business Enterprises (“SDVOB”) pursuant to New York State Executive Law, Article 17-B and 9 NYCRR Part 252; and, 3) Requirements regarding suspension and debarment pursuant to State Labor Law § 220-b and State Executive Law § 316. The participation by MWBE and SDVOB in this bid is strongly encouraged. All questions are to be directed in writing to Director of Operations Jason Monroe by FAX at 315-986-1687 or E-mail at [email protected] no later than Thursday, June 11,2020 at 5 p.m. prevailing time.

If you want to be considered as a bidder and receive any addendum in a timely manner, you must register your organization with the Wayne County Water & Sewer Authority via e-mail to Director of Operations Jason Monroe at [email protected] AND Peter DiBenedetto at [email protected]

Bids are to be received no later than Thursday, June 18, 2020 at 1:00 p.m. at the Wayne County Water & Sewer Authority office located at 3377 Daansen Road, Walworth, NY 14568 at which time they will be publicly opened and read. The Wayne County Water & Sewer Authority Board reserves the right to reject any and all bids or to accept the bid it considers in the best interest of the Wayne County Water & Sewer Authority.

BY DIRECTION OF THE WAYNE COUNTY WATER & SEWER AUTHORITY BOARD OF DIRECTORS

http://www.wcwsa.org/mailto:[email protected]:[email protected]:[email protected]:[email protected]

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WAYNE COUNTY WATER AND SEWER AUTHORITY 3377 Daansen Road

Walworth, New York 14568

Designated Procurement Contact for this bid: Jason Monroe, Director of Operations

Phone 315-986-1929 / FAX 315-986-1687

BID SPECIFICATIONS

Materials for the Regional Water Tank 2020 Water Main Project

WAYNE COUNTY WATER AND SEWER AUTHORITY 3377 Daansen Road Walworth, New York 14568 BID SPECIFICATIONS FOR: Materials for the Regional Water Tank 2020 Water Main Project GENERAL PROVISIONS Pursuant to the State Finance Law sections 1399-j and 139-k, this Invitation for Bid includes and imposes certain restrictions on communications between the Authority and an Offerer/Bidder during the procurement process. An Offerer/Bidder is restricted from making contacts from the earliest notice of intent to solicit Invitation for Bid through the final award and approval of Procurement Contract by the Authority to other than the Authority’s Designated Contact Person unless it is a contact that is included among certain statutory exceptions set forth in State Finance Law section 139-j(3)(a). The Authority’s Designated Contact Person for the Governmental Procurement, as of the date hereof is Jason Monroe, Director of Operations, and is identified on the first page of these Bid Specifications. Authority employees are also required to obtain certain information when contacted during the restricted period and make a determination of the responsibility of the Offerer/Bidder pursuant to these two statutes. Certain findings of non-responsibility can result in rejection for contract award and in the event of two findings within a four year period the Offerer / Bidder is debarred from obtaining governmental Procurement Contracts. Further information about these requirements may be obtained from Jason Monroe, the Designated Contact Person.

The Authority requires that to be considered as a bidder the bidder must register his/her organization with the Wayne County Water & Sewer Authority via e-mail to Director of Operations Jason Monroe at [email protected] prior to the bid opening date.

The Authority requires that each bid submitted shall show the gross selling price, excluding Federal Excise and Sales taxes. The materials shall be delivered to an Authority designated delivery point, within twenty one (21) calendar days after the successful bidder has been awarded the bid. The price or prices quoted shall include all transportation charges fully prepaid to the Authority. Each bidder is required to review the specifications as published and complete the bid package as requested. The bidder shall list on the bid proposal form any deviations, exceptions or variations to the conditions and specifications of this bid in sufficient detail to allow the Authority to compare and evaluate said exceptions. Please Note: Specifications are general Authority specifications and may include items NOT on the Bid Proposal Form. All items anticipated for construction are listed on the Bid Proposal Form. All bids shall be submitted on the attached Bid Proposal Form, with all blanks fully and clearly filled in. No other form of bid will be considered. The Bidder may bid on any or all items to be considered a formal bid. No alteration, erasure or addition is to be made in the typed or printed matter of the specification or proposal.

mailto:[email protected]

Prices and information required by the proposal, except signature of the bidder, shall be typed or clearly written in ink. Bids written in pencil may be rejected. The Authority Board shall interpret or reject illegible or vague bids and the Board’s decision shall be final. All signatures must be signed in ink. Each bid will be received with the understanding that the acceptance thereof in writing by the Board of Directors, to furnish any or all of the items described therein, shall constitute a contract between the bidder and the Authority. It is mutually understood and agreed that the bidder shall not assign, transfer, convey, sublet or otherwise dispose of the contract or of his right, title or interest therein, or his power to execute such contract to any other person, company or corporation without the previous consent, in writing, of the Board of Directors. The bidder acknowledges that he is familiar with Article 5-A of the General Municipal Law and agrees to be bound by and to comply with the provisions thereof. The Authority will pay the full amount of the accepted bid within thirty (30) days after the first regularly scheduled Board meeting, following the date when the said material has been delivered in proper condition and accepted by the Authority. Standard items appearing in the manufacturer’s published specifications furnished by the bidder shall be included in the bid unless otherwise noted. Bidders must submit with their bid the latest printed specification sheet and advertising literature relevant to this bid. The data provided shall enable the Director of Operations, Executive Director and Board of Directors the opportunity to determine whether the equipment bid complies with the intent of the specifications as set forth by the Board. The Authority shall be the sole judge of the equivalencies. NOTE: THIS IS AN “AIS- AMERICAN IRON AND STEEL PROJECT” The project is funded in whole or in part with assistance through either the Clean Water State Revolving Fund (“CWSRF”) or the Drinking Water State Revolving Fund (“DWSRF”) pursuant to a financial assistance agreement with the New York State Environmental Facilities Corporation (“EFC”) executed after January 17, 2014; and subsequent statutes mandating domestic preference applies an American Iron and Steel requirement to this project. All iron and steel products used in this project must be produced in the United States. The term “iron and steel products” means the following projects made primarily of iron or steel: Lined or unlined pipes and fittings, manhole covers and other municipal castings, hydrants, tanks, flanges, pipe clamps and restraints, valves, structural steel, reinforced precast concrete, and construction materials.

It is the bidder’s obligation to bid AIS compliant materials and, if awarded, provide for all applicable delivered materials a Manufacturer’s Certificate of Compliance with The New York State Environmental Facilities Corporation (“EFC”) from each manufacturer of iron and steel products included in the shipment. If available, a general Manufacturer’s Certificate of Compliance for the applicable materials should be included with the bid. The Manufacturer’s Certification for items ordered will need to include the specific wording and information in the format of the STEP certification for AIS compliance per EFC Bid Packet (Revision Date: 10/1/2016) as shown below. Bidder declares that the bid is made without any connection with any other bidder submitting a bid for the same item and is in all respects fair and without collusion or fraud. A signed Non-Collusive Bidding Certificate, a Bidders Affirmation of Understanding and Agreement/Certification of Compliance

and an Offer of Disclosure of Prior Non-Responsibility Determinations are all required with the bid submission. Copies of all of these forms are attached. Bidders are cautioned to verify their bids before submission. Bids, amendments or requests for withdrawal of submitted bids received by the Authority after the time specified for opening will not be considered. All bids must be placed in a sealed envelope, addressed to the Wayne County Water and Sewer Authority located at 3377 Daansen Road, Walworth, New York 14568. The envelope shall be marked “SEALED BID / Materials for the Regional Water Tank 2020 Water Main Project”. All bids must be received by 1:00 p.m. on Thursday, June 18, 2020 at which time they will be publicly opened and read at the Authority Operations Center at 3377 Daansen Road, Walworth, New York 14568. Awards will be made to the lowest responsible bidder as will best promote the public interest, taking into consideration the reliability of the bidder, the quality of the materials, equipment or supplies to be furnished, their conformity with specifications, the purpose for which required, terms of the delivery and availability of parts “in stock.” The bidder must be an authorized dealer for the material supplied. The decision with respect to the submitted bids will be made at the Board’s discretion and all bids submitted shall be kept firm and in full force and effect until such date or until a decision is made by the Authority Board of Directors. The Authority shall reserve the right to waive any informalities or to reject any or all bids and have the ability to award to other than the low bidder based on compliance with this specification. The Authority may select low bids based on individual material prices and not the sum total of all individual material bid prices together. The Authority reserves the right to purchase up to 25% more of each item than quantified in this bid, at the same bid unit price.

AFFIDAVIT OR CERTIFICATE OF COMPLIANCE The manufacturer shall, when required by the purchaser for any materials, provide the purchaser with an affidavit or certificate of compliance stating: (1) that the materials supplied conform to the applicable requirements of the Wayne County Water & Sewer Authority standards and, (2) that inspections and tests required have been performed and test requirements of the applicable AWWA or other pertinent specifications have been met.

The manufacturer shall provide a Manufacturer’s Certificate of Compliance with New York State Environmental Facilities Corporation, as mandated in EPA’s State Revolving Fund Programs for all applicable AIS compliant iron and steel products delivered. See specific wording and information in the format of step certification below in Manufacturer’s AIS Certifications, EFC Bid Packet (Revision Date: 10/1/2016).

EXAMPLE OF A MANUFACTURER’S CERTIFICATION LETTER OF COMPLIANCE WITH PROVISIONS OF THE AMERICAN IRON AND STEEL (AIS) REQUIREMENTS.

New York State Environmental Facilities Corporation Manufacturer’s American Iron and Steel (AIS) Certifications.

1. The following information is provided as a manufacturers sample letter of step certification for the

AIS compliance. Documentation must be provided on company letterhead.

Date: ________________________

Company Name: _______________________________________________________________

Company Address: _____________________________________________________________

City, State Zip: ________________________________________________________________

Subject: American Iron and Steel Step Certification for Wayne County Water & Sewer Authority Regional Water Tank Water Main Project.

I, (company representative), certify that the (melting, bending, galvanizing, cutting, etc.) processes for (manufacturing or fabricating) the following products and/or material shipped or provided for the subject project is in full compliance with the American Iron and Steel requirement as mandated in EPA’s State Revolving Fund Programs.

Item, Products and/or Materials:

1.

2.

3.

Such process for AIS took place at the following location: ________________________________

If any of the above compliance statements change while providing material to this project we will immediately notify the prime contractor and the engineer.

[Signed by company representative]

Manufacturer’s AIS Certifications EFC Bid Packet (Revision Date: 10/1/2016)

WAYNE COUNTY WATER SECTION 02555

AND SEWER AUTHORITY WATERMAINS

REGIONAL WATER TANK WATER MAIN PROJECT PAGE 1

JUNE 2020

PART 1 – GENERAL 1.1 GENERAL

A. All manufacturers shall have available to the Engineer, Contractor and the Owner, the services of a competent pipe installation specialist for assistance during construction of this project.

B. With each shipment of material, the manufacturer must submit to the Engineer, in duplicate, results of all tests performed at the factory on this particular product.

PART 2 - PRODUCTS 2.1 PIPE - POLYVINYL CHLORIDE (P.V.C.) PIPE

A. Pipe shall be Polyvinyl Chloride Pipe, 4” through 12”, conforming to the requirements of AWWA C900-07, Class 235, (DR-18) as specified with plans, gasket joints, integral bells and rubber rings locked in place.

B. All pipes shall be of good quality and free from defects which would make it unfit for the use intended, all pipe shall be a true circle in section with concentric inner and outer surfaces. Pipe to be cut during installation shall be fully gauged for field cutting.

C. All individual pipes shall be appropriately sealed with a cap or plug at each end with a suitable plastic cover or acceptable alternate so that the interior length of the pipe is protected during transportation and storage and is not exposed to the environment.

D. Pipe shall be loaded for shipping and delivery such that the vertical space between bundles shall be not less than 4” (four inches) to allow room for the insertion of loader-mounted forks for unloading, moving and restacking of bundles.

E. Pipe shall be Ipex, JM Eagle, North American Pipe, or approved equal.

2.2 FITTINGS A. All fittings of iron or steel shall conform to Section 1452(a)(4)(A) of the Safe Drinking Water Act,

as amended by Section 2022 of “America’s Water Infrastructure Act of 2018”, requiring the use of American Iron and Steel (AIS) products in this project. All fittings shall be a good quality, of even grain and free from any defects which would make it unfit for the use intended. Pipe metal shall be made without any admixture of cinder iron or other inferior material. All hardware used on watermains, pipe fittings and appurtenances shall be made of cold formed, high strength, low-alloy steel (Cor-Ten), ASTM A242.

B. Fittings shall be ductile iron fittings conforming to the requirements of AWWA C-153 Specification, minimum Class 350 with mechanical joints. Fittings shall be cement-mortar lined in accordance with AWWA C-104 with a coal tar bituminous coating on the inside and outside of the pipe.

C. Joints shall be rubber gasket push-on or mechanical joint type. All joints shall conform to the requirements of ANSI/AWWA C111/A21.11.

2.3 UNDERGROUND WARNING TAPE/DETECTION MATERIALS (P.V.C. & HDPE PIPE ONLY)

A. Six inch (6”) wide, blue underground detectable warning tape, reading “Caution Buried Water Line Below”, printed with black ink on APWA (American Public Works Association) approved color to meet or exceed industry standards.

B. Light Duty Single Terminal Magnetized Tracer Box for use with HDPE pipe sections to provide access to the tracer wire installed with the HDPE pipe. Box shall be high grade ABS rigid plastic (ASTM D1788, Type 1) with non-corrosive injection-molded blue resin lid, anodized aluminum pentagon head bolt and brass terminals, Copperhead Snake Pit LD14BTP or equal.

2.4 RESTRAINERS


AND SEWER AUTHORITY WATERMAINS


JUNE 2020

A. All restrainers of iron or steel shall conform to Section 1452(a)(4)(A) of the Safe Drinking Water

Act, as amended by Section 2022 of “America’s Water Infrastructure Act of 2018”, requiring the use of American Iron and Steel (AIS) products in this project. Restrainers will be required on all mechanical joint fittings and valves. These restrainers shall be manufactured of high strength ductile iron and incorporate a full 360 degree support around the pipe. The clamping ring shall incorporate machined serrations to provide a full 360 degree support around the pipe to maintain roundness and avoid point loading. Serrations cast into the ring will not be accepted.

B. Additional restrainers may be required at joints upstream and downstream of the fitting to prevent thrust force from separating the pipe. These joints will incorporate a clamping ring with machined serrations and an additional ring designed to seat on the bell end of the pipe. T-head bolts or threaded rods shall connect the two rings.

C. The mechanical joint restraints shall be Ford Uni-Flange Series 1500, EBAA Iron, Inc. Megalug product or approved equal. Bell restraints shall be Ford Uni-Flange Series1390, EBAA Iron, Inc. Series 1500 or approved equal depending on specific use.

2.5 BOLT-THROUGH MECHANICAL JOINT RESTRAINT A. All restrainers of iron or steel shall conform to Section 1452(a)(4)(A) of the Safe Drinking Water

Act, as amended by Section 2022 of “America’s Water Infrastructure Act of 2018”, requiring the use of American Iron and Steel (AIS) products in this project.

B. Mechanical joint (MJ) valves and (MJ) fittings shall be connected using a bolt-through positive restraint mechanism manufactured of U. S. A. ductile iron conforming to ASTM A536, 65-45-12. The positive restraint device shall connect the valves and/or fittings at a linear distance not to exceed three (3) inches and without attachment to pipe. The device shall come complete with all accessories, including standard styrene butadiene rubber (SBR) MJ gaskets conforming to the latest revision of AWWA C111/ASTM F-477 and blue fluorocarbon [Teflon®] coated bolts and nuts conforming to AWWA C111/A21.11. The bolt-through MJ positive restraining device and the ductile iron spacers shall be supplied with an NSF 61, 7-mil. fusion bonded epoxy conforming to AWWA C116/A21.16-09 as well as the coating, surface preparation and application requirements of ANSI/AWWA C550.

C. Bolt-through mechanical joint restraint with standard length blue fluorocarbon coated accessories shall be Infact Corp “Foster Adapter” or approved equal.

END OF SECTION 02555


AND SEWER AUTHORITY VALVES AND VALVE BOXES


JUNE 2020


A. All manufacturers shall have available to the Engineer, Contractor and the Owner, the services of a competent valve installation specialist for assistance during construction of this project.


PART 2 – PRODUCTS 2.1 GATE, TAPPING AND BUTTERFLY VALVES AND VALVE BOXES

A. All gate valves, butterfly valves, tapping sleeves and valves and valve boxes and parts of iron or steel shall conform to Section 1452(a)(4)(A) of the Safe Drinking Water Act, as amended by Section 2022 of “America’s Water Infrastructure Act of 2018”, requiring the use of American Iron and Steel (AIS) products in this project.

B. All gate valves and tapping valves shall conform to AWWA Specification C-509 or C-515 latest revision and shall have non-rising stems, "O" ring packing and shall open left. All valves shall have mechanical joint ends. Valves shall be Clow, Mueller, or Kennedy, or equal with stainless steel bonnet bolts.

C. All butterfly valves shall be rubber-seated and conform to AWWA Specification C504 latest revision, have stainless steel valve shaft, stainless steel trim and shall open left. All valves shall have mechanical joint ends. Butterfly valves shall be Mueller Lineseal III or equal.

D. Tapping sleeves shall be 18-8 Type 304 stainless steel body, outlet and flange, with type 304 stainless steel UNC threaded bolts, and type 304 stainless steel heavy hex nuts coated to prevent galling, and a griddled virgin SBR or NBR gasket that gives 360 degrees of pipe coverage. Tapping sleeves shall be Ford FTSS, Romac SST III, TPS Triple Tap or equivalent.

E. Valve boxes shall be two (2) piece, screw type 38” - 60” range with lid; minimum total weight 100 lbs; Bingham & Taylor, Bibby-Ste-Croix, or an equivalent or equal product. Valve box covers shall be marked "WATER" and not exceed a weight of 13 pounds.



AND SEWER AUTHORITY HYDRANTS


JUNE 2020


A. All manufacturers shall have available to the Engineer, Contractor and the Owner, the services to a competent hydrant installation specialist for assistance during construction of this project.


PART 2 – PRODUCTS 2.1 HYDRANTS

A. All hydrants of iron or steel shall conform to Section 1452(a)(4)(A) of the Safe Drinking Water Act, as amended by Section 2022 of “America’s Water Infrastructure Act of 2018”, requiring the use of American Iron and Steel (AIS) products in this project.

B. Hydrants shall be manufactured in accordance with AWWA Specification C502-latest revision. They shall be designed for 150 psi working pressure and tested to 300 psi hydrostatic pressure.

C. Hydrants shall be manufactured for five and a half-foot (5-1/2’) bury with breakaway flange construction, six-inch mechanical joint inlets and weep holes. They shall open left with NST threads. Main valve opening shall be five and one-quarter inches (5-1/4") and packing shall consist of "O" ring. The manufacturer and models shall be Mueller Centurion, Kennedy Guardian K-81D or American AVK Nostalgic.

D. Anchoring pipe shall be Clow or Tyler, or equal, and shall be cement lined in accordance with ANSI Specification A21.4-latest revision and coated inside and outside with a coal tar bituminous coating. All anchoring pipes shall meet pressure requirements equivalent to that for pipe. Anchor pipe shall be used on all hydrant branches and valved outlets.

E. All hydrants shall be factory painted with fusion-bonded epoxy, one-part, heat-curable, thermosetting coating; or epoxy primer with overcoat of UV resistant polyurethane enamel. The coating colors shall be John Deere Yellow 8-0964 (body) and Ford Blue 64356 (bonnet and caps.) The Contractor shall repair any scrapes on the hydrants in the field with paint supplied by the hydrant manufacturer.



AND SEWER AUTHORITY WATER SERVICES


JUNE 2020


A. Work under this Section shall include the installation of Disinfection Sampling Taps of the size and location as indicated on the plans. Work shall include but is not limited to the installation of tapping saddles, corporations, curb stops, service pipe and connections.

PART 2 – PRODUCTS 2.1 CORPORATION STOPS, CURB STOPS

A. Corporation Stops - Shall be cast lead-free brass with "O" ring seals, AWWA Taper/ CC thread inlet and compression outlet, Mueller H-15008N, an equivalent A. Y. McDonald product, or equal. The size of the corporation stop shall be the same as the size of the service pipe.

B. Curb Stops - Shall have cast lead-free brass bodies with "O" ring seals, compression type, Mueller H-15209N, Mark II, an equivalent A. Y. McDonald Q Series product, or equal. The size of the curb stop shall be the same as the size of the service pipe.

2. 2 TAPPING SADDLES

A. All tapping saddles containing iron or steel shall conform to Section 1452(a)(4)(A) of the Safe Drinking Water Act, as amended by Section 2022 of “America’s Water Infrastructure Act of 2018”, requiring the use of American Iron and Steel (AIS) products in this project.Tapping saddles are required for all services off the P.V.C. water main. They shall be double bolt, full circle stainless steel matched to the outside diameter of the pipe. They must be provided with a full rubber gasket, not o-ring type for a pressure-tight seal on the main, Cascade CSC2 style, Smith-Blair (372) with AWWA Taper/ CC thread. All Stainless or approved equal.

2.3 WATER SERVICE PIPE

A. 1” Polyethylene, CTS, PE 3408, DR-9 according to AWWA 901-05. No color specified. 2.4 CURB BOX AND ROD

A. All curb boxes of iron or steel shall conform to Section 1452(a)(4)(A) of the Safe Drinking Water Act, as amended by Section 2022 of “America’s Water Infrastructure Act of 2018”, requiring the use of American Iron and Steel (AIS) products in this project.Bibby-Ste-Croix, Ford, Mueller, A. Y. McDonald, Erie/arch style, 2-hole lid

B. Curb Boxes, with 29"/30" ½” diameter SS rod, 4 1/2’ to 5 1/2’ bury depth C. 2-hole lid, Mueller or Equal D. 29"/30" SS curb box rod, 1/2" diameter


ITEM DESCRIPTION QTY UNIT UNIT PRICE TOTAL PRICE

16" Rubbers and 6" Fluorocarbon-coated T-Bolts 2 each

16" Rubbers and 4-1/2" Fluorocarbon-coated T-Bolts 54 each






12" Foster Adapter w/Fluorocarbon-coated accessories 12 each

16" PVC MJ Restraints "Megalug" style 55 each



Hydrant Unit, from MJ Inlet to Bonnet - 5-1/2 Foot Bury 66 each

Hydrant Unit, from MJ Inlet to Bonnet - 5 Foot Bury 12 each

12"x 6"x 12" Anchor Tee 63 each

8"x 6"x 8" Anchor Tee 8 each

6" x 4 ft Anchor pipe 3 each



6" MJ x MJ Gate Valve 72 each



16" MJ x MJ Butterfly Valve 5 each

2-piece screw type Valve Box with Lid, 38"-60" range 140 each

Light Duty Single Terminal Magnetized Tracer Box 15 each

12" HDPE to MJ Adapter w/SS Stiffener 12 each

BID PROPOSAL FORM

All materials shall conform to the standards and specifications of the Wayne County Water & Sewer Authority or as otherwise

provided in these Bid Specifications.

Continued on Page 2

Bid Proposal Page 2

12" HDPE/MJ Adapter Accs Kit w/Blue T-Bolts (Gland, Gasket, Bolts) 12 each

8" HDPE to MJ Adapter w/SS Stiffener 6 each

8" HDPE/MJ Adapter Accs Kit w/Blue T-Bolts (Gland, Gasket, Bolts) 6 each

16" MJ Solid Sleeve 2 each



16" PVC Bell-Spigot Joint Restraint 4 each

12" PVC Bell-Spigot Joint Restraint 56 each

1" Stainless Steel Tapping Saddle for 16" PVC 8 each



1" Corporation Stop 52 each

1" Curb Stop 52 each

1" Stainless Steel Insert 104 each

1" PE CTS 200 psi Water Service Tubing 600 feet

Curb Boxes, with 29"/30" ½” SS rod, 4.5’ to 5.5’ bury depth 11 each

16" MJ 22 1/2 Degree Bend 5 each

16" MJ 45 Degree Bend 6 each

16" MJ 90 Bend 6 each

16"x 16" Stainless Steel Tapping Sleeve 2 each

16" Tapping Valve, Flange x MJ 2 each


12" Tapping Valve, Flange x MJ 2 each


12"x 12"x 12" MJ Tee 6 each

Continued on Page 3

Bid Proposal Page 3

12" MJ 11-1/4 Degree Bend 6 each

12" MJ 22-1/2 Degree Bend 1 each



12" MJ Plug 2 each

12" x 8"x 12" Swivel Tee 3 each

16" x 12" MJ Reducer 2 each

12" x 8" MJ Reducer 4 each

8" MJ 22 1/2 Degree Bend 2 each

8" MJ Plug 3 each

10" Rubber and 4" Bolts 1 each

8" MJ Cap 4 each

8" MJ Gland 4 each

10" MJ Cap 1 each

10" MJ Gland 1 each

16" MJ Cap 1 each

16" MJ Gland 1 each

12" HDPE DIPS DR11 Blue Stripe Water Main Pipe 1960 feet

8" HDPE DIPS DR11 Blue Stripe Water Main Pipe 280 feet

Underground Warning Tape - 1,000 ft Roll 48 each

ALL UNIT PRICES MUST BE BID TO THE NEAREST WHOLE CENT

**** Anchor pipe bolt areas must accommodate socket type wrench. No exceptions.

NOTE: It is intentional that there are no solid sleeves in this bid.

‘Exceptions to Bid Conditions and Specifications’

Bid Specification Exceptions (note here) _____________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________

Manufacturer's Certification PVC Pressure Pipe for Potable Water

This is to certify that the water main pipe supplied to ______________________ (Contractor)

for the ___________________________________________(Project) and manufactured by

_______________________(Manufacturer), meets or exceeds the requirements of the pertinent

standards and regulating agencies including, but not necessarily limited to:

AWWA C900-07 or most recent version including any referenced standards;

Minimum cell classification of 12454 per ASTM D1784;

Integral bell gaskets meeting ASTM F477;

Gasketed joints meeting ASTM D3139;

Certified to NSF International Standard No. 61; and

Listed by Underwriters Laboratory and approved by Factory Mutual.

Certified this ________ day of _______________ By:

(month, year)

By:____________________________

Title:___________________________

BID PROPOSAL FORM FOR

WAYNE COUNTY WATER AND SEWER AUTHORITY MATERIALS AND DESCRIPTION AS PRESENTED IN BID SPECIFICATIONS: COMPANY NAME:_______________________________________________________ COMPANY REPRESENTATIVE:______________________________________________________ (printed) COMPANY REPRESENTATIVE:______________________________________________________ (Signature)

COMPANY PHONE NUMBER _______________________________________________ AVAILABILITY DATE PROPOSED SCHEDULE_____________________________________________________________ All materials shall comply with the Wayne County Water and Sewer Authority’s Design and Construction Standards for Extending Water Distribution Systems, or otherwise comply with these Bid Specifications. All bolts supplied for main line gate valves and hydrant valves shall be made of stainless steel. A delivery date for materials and schedule for work and / or availability for the proposed project scope to be accomplished shall be indicated on the bid proposal. Bid price shall include cost of delivery. Data shall be provided with the bid in sufficient detail to enable the Wayne County Water and Sewer Authority Executive Director, Director of Operations and Authority Board to determine whether the materials bid comply with the intent of the specifications as set forth. The Wayne County Water and Sewer Authority shall be the sole judge of the equivalencies. To be considered as a bidder this bidder must register his/her organization with the Wayne County Water & Sewer Authority via e-mail to Director of Operations Jason Monroe at [email protected] prior to the bid opening date.

mailto:[email protected]

WAYNE COUNTY WATER AND SEWER AUTHORITY

NON-COLLUSIVE BIDDING CERTIFICATE Pursuant to Section 103-d of the General Municipal Law, and Section 139-d of the State Finance Law, I affirm as true and under the penalties of perjury the following statement: a. By submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the case of a joint bid , each party thereto certifies as to its own organization, under penalty or perjury, that to the best of their knowledge and belief: (1) The prices in this bid have been arrived at independently without collusion, consultation, communication, or agreement, for the purpose of restricting competition, as to any matter relating to such prices with any other bidder or with any 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 competition. Bidder:__________________________________ By: ____________________________________ Title ___________________________________

Certificate of Compliance

Under

State Finance Law Sections 139-j and 139-k

The undersigned, _________________________________, being the President of

___________________________, the winning bidder (“Company”) in connection with the

procurement of __________________________________________ (“Procurement”) issued by

the Wayne County Water & Sewer Authority (“Authority”) hereby certifies that:

(i) The Company is aware of, understands and agrees to comply with the recently enacted prohibitions on procurement lobbying as defined and set forth in the Lobbying Act, as amended by Chapter 1 of the Laws of 1995;

(ii) Neither the Company, nor any of its officers, directors, employees, or agents, has attempted to influent the Procurement in a manner that would result in a violation of the Public Officers Law and/or the Authority’s Code of Ethics;

(iii) There have been no findings of non-responsibility against the Company due to violations of the provisions of State Finance Law Section 139-j(3) or otherwise within the previous four years by any governmental entity;

(iv) All information provided to the Authority by or on behalf of the Company in connection with the Procurement pursuant to State Finance Law Section 139-j and/or Section 139-k or otherwise is complete, true and accurate;

(v) Neither the Company, nor any of its officers, directors, employees, or agents, has made any inappropriate or illegal contacts with the Authority in connection with the Procurement; and

(vi) The Company understands and agrees that the Authority reserves the right to cancel any contract resulting from the Procurement in the event this certification is found to be intentionally false or intentionally incomplete.

IN WITNESS WEREOF, I have hereunto subscribed my name this ______ day

of________________, ______ on behalf of the Company.

____________________________________________________

President

Offerer Disclosure of Prior Non-Responsibility Determinations

Name of Individual or Entity Seeking to Enter into the Procurement Contract:

_______________________________________________________________________

Address: ________________________________________________________________

_______________________________________________________________________

Name and Title of Person Submitting this Form: ________________________________

________________________________________________________________________

Contract Procurement Number: ______________________________________________

Date: ________________________________

1. Has any Governmental Entity made a finding of non-responsibility regarding the individual or entity

seeking to enter into the Procurement Contract in the previous four (4) years? (Please circle):

No Yes

If yes, please answer the next questions:

2. Was the basis for the finding of non-responsibility due to a violation of State Finance Law §139-j?

(Please circle):

No Yes

3. Was the basis for the finding of non-responsibility due to the intentional provision of false or

incomplete information to a Governmental Entity? (Please circle):

No Yes

4. If you answered yes to any of the above questions, please provide details regarding the finding of non-

responsibility below.

Governmental Entity: _____________________________________________________________

Date of Finding of Non-responsibility: ________________________________________________

Basis of Finding of Non-Responsibility: _______________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

(Add additional pages as necessary)

5. Has any Governmental Entity or other governmental agency terminated or withheld a Procurement Contract with the above-named individual or entity due to the intentional provision of false or incomplete

information? (Please circle):

No Yes

6. If yes, please provide details below.

Governmental Entity: ______________________________________________________

Date of Termination or Withholding of Contract: ________________________________

Basis of Termination or Withholding: _________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

(Add additional pages as necessary)

Offerer certifies that all information provided to the Governmental Entity with respect to State Finance

Law §139-k is complete, true and accurate.

By: ___________________________________________ Date: _______________________

Signature

Name: _______________________________ Title: ________________________________

ANDREW M. CUOMO Governor

SABRINA M. TY President and CEO

Program Requirements and

Bid Packet

for Non-Construction Contracts

(For projects funded with NYS financial assistance only)

Effective October 1, 2017

New York State Environmental Facilities Corporation 625 Broadway, Albany, NY 12207-2997 P: (518) 402-6924 F: (518) 402-7456 www.efc.ny.gov

Bid Packet (For projects funded with NYS financial assistance only) Non-Construction Contracts Page 1 of 23 Revision Date: 10/1/2017

http:www.efc.ny.gov

Table of Contents PART 1: HOW TO USE THIS DOCUMENT ................................................................................................. 4 PART 2: REQUIRED CONTRACT LANGUAGE ......................................................................................... 6 SECTION 1 REQUIREMENTS AND PROCEDURES FOR BUSINESS PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED MINORITY- AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN .............................................................................................................................. 6

I. General Provisions.............................................................................................................. 6 II. Equal Employment Opportunities (EEO) ............................................................................ 6 III. Business Participation Opportunities for MWBEs............................................................... 8 A. Contract Goals ....................................................................................................... 8 B. MWBE Utilization Plan ........................................................................................... 8 C. Requests for Waiver .............................................................................................. 9 D. Monthly MWBE Contractor Compliance Report (“Monthly MWBE Report”) .................................................................................................................. 9

E. Liquidated Damages - MWBE Participation........................................................... 9 SECTION 2 PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED SERVICE-DISABLED VETERAN-OWNED BUSINESSES.......................... 10

I. General Provisions............................................................................................................ 10 II. Contract Goals .................................................................................................................. 10 III. SDVOB Utilization Plan..................................................................................................... 10 IV. Request for Waiver ........................................................................................................... 10 V. Monthly SDVOB Contractor Compliance Report (“Monthly SDVOB Report”) .................. 11 VI. Breach of Contract and Damages..................................................................................... 11 SECTION 3 REQUIREMENTS REGARDING SUSPENSION AND DEBARMENT ................ 11

PART 3: GUIDANCE MATERIALS ............................................................................................................ 12 APPLICABILITY OF PROGRAM REQUIREMENTS ..................................................................... 12 SECTION 1 GUIDANCE FOR THE REQUIREMENTS AND PROCEDURES FOR BUSINESS PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED MINORITY- AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN ................................................................................................ 13

I. Summary of EEO and MWBE Forms................................................................................ 13 A. Forms to be Submitted Prior to Contract Execution ............................................ 13 B. Forms to be Submitted During the Term of the Contract..................................... 13

II. Business Participation Opportunities for MWBEs............................................................. 13 A. Contract Goals ..................................................................................................... 13 B. Good Faith Efforts................................................................................................ 14 C. MWBE Utilization Plan ......................................................................................... 15 D. Eligibility for MWBE Participation Credit .............................................................. 16 E. Requests for Waiver ............................................................................................ 16

III. Subcontractor’s Responsibilities ....................................................................................... 17 IV. Protests/Complaints .......................................................................................................... 18 V. Waste, Fraud and Abuse .................................................................................................. 18 SECTION 2 GUIDANCE FOR NEW YORK STATE CERTIFIED SERVICE-DISABLED VETERAN-OWNED BUSINESS ENTERPRISES (“SDVOB”) PARTICIPATION OPPORTUNITIES............................................................................................................. 18

I. Summary of SDVOB Forms.............................................................................................. 18 A. Forms to be Submitted Prior to Contract Execution ............................................ 18 B. Forms to be Submitted During the Term of the Contract..................................... 18

II. SDVOB Participation Opportunities .................................................................................. 18 A. Contract Goals ..................................................................................................... 18 B. Good Faith Efforts................................................................................................ 19 C. SDVOB Utilization Plan........................................................................................ 20 D. Eligibility for SDVOB Participation Credit............................................................. 20 E. Requests for Waiver ............................................................................................ 21

III. Subcontractor’s Responsibilities ....................................................................................... 22 IV. Protests/Complaints .......................................................................................................... 22


V. Waste, Fraud and Abuse .................................................................................................. 22 SECTION 3 GUIDANCE FOR REQUIREMENTS REGARDING SUSPENSION AND DEBARMENT.................................................................................................................... 22

SECTION 4 SUMMARY OF CONTRACTOR REQUIREMENTS FOR STATE FINANCIAL ASSISTANCE PROJECTS ........................................................................... 23

ATTACHMENTS (REQUIRED FORMS) Attachment 1 - EEO Policy Statement Attachment 2 - EEO Staffing Plan Attachment 3 - EEO Workforce Employment Utilization Report Attachment 4 - MWBE Utilization Plan Attachment 5 - MWBE Waiver Request Attachment 6 - Monthly MWBE-SDVOB Contractor Compliance Report Attachment 7 - SDVOB Utilization Plan Attachment 8 – SDVOB Waiver Request


PART 1:

HOW TO USE THIS DOCUMENT

The New York State Environmental Facilities Corporation (“EFC”) implements various State funded financial assistance programs, including but not limited to the Engineering Planning Grant program, Water Infrastructure Improvement Act (“WIIA”) grant program as well as the Intermunicipal Grant (“IMG”) program.

This Program Requirements and Bid Packet for Non-Construction Contracts document contains (1) a brief description of State program requirements for Contracts and Subcontracts funded by State financial assistance, (2) required language for such Contracts and Subcontracts to satisfy State financial assistance program requirements, including required forms, and (3) guidance materials to assist entities in complying with these requirements.

PROGRAM REQUIREMENTS

The following requirements apply to projects funded with State financial assistanceonly:

• Participation of Minority- and Women-Owned Business Enterprises (“MWBE”) and Equal Employment Opportunities (“EEO”) pursuant to New York State Executive Law, Article 15-A and New York Code of Rules and Regulations, Title 5 (5 NYCRR) Parts 140-145 (Regulations of the Commissioner of Economic Development);

• Participation of Service-Disabled Veteran-Owned Business Enterprises (“SDVOB”) pursuant to New York State Executive Law, Article 17-B and 9 NYCRR Part 252; and,

• Requirements regarding suspension and debarment pursuant to State Labor Law § 220-b and State Executive Law § 316.

EFC or its authorized representatives, and other governmental entities as applicable, reserve the right to conduct occasional site inspections to monitor compliance with State financial assistance program requirements.

This document is not intended to be inclusive of all applicable legal requirements and there may be other legal requirements that need to be included in a particular Contract or Subcontract that are not set forth here. Accordingly, EFC recommends that Recipients, Contractors, Subcontractors, and any other involved entities consult their legal counsel for advice on compliance will all applicable laws, including but not limited to local laws. This document is not intended to be legal advice.

Refer to the EFC website at www.efc.ny.gov for the latest version of the bid packet to ensure that the most recent forms and contract language are being used.

REQUIRED CONTRACT LANGUAGE

Part 2 of this document is the Required Contract Language. All of the language in Part 2 must be inserted in to all Contracts and Subcontracts funded in whole or in part with State financial assistance, in order for State financial assistance Recipients, Contractors, and Subcontractors to comply with the above-listed State financial assistance program requirements.


http:www.efc.ny.gov

GUIDANCE MATERIALS

Part 3 of this document sets forth Guidance Materials intended to assist State financial assistance Recipients, Contractors, and Subcontractors in complying with the foregoing State financial assistance program requirements, as applicable.

The Guidance Materials are for informational purposes only and are not intended to be used as contractual language. Please do not incorporate the Guidance Materials into any Contracts or Subcontracts.

COMMONLY USED TERMS

The following commonly used terms are defined herein as follows:

“Contract” means an agreement between a Recipient and a Contractor.

“Contractor” means all bidders, prime contractors, Service Providers, and consultants as hereinafter defined, unless specifically referred to otherwise.

“Service Provider” means any individual or business enterprise that provides one or more of the following: legal, engineering, financial advisory, technical, or other professional services, supplies, commodities, equipment, materials, or travel.

“Subcontract” means an agreement between a Contractor and a Subcontractor.

“Subcontractor” means any individual or business enterprise that has an agreement, purchase order, or any other contractual arrangement with a Contractor.

“Recipient” means the party, other than EFC, to a financial assistance agreement or a project finance agreement with EFC through which funds for the payment of amounts due thereunder are being paid in whole or in part.

“State” means the State of New York.


PART 2:

REQUIRED CONTRACT LANGUAGE

SECTION 1 REQUIREMENTS AND PROCEDURES FOR BUSINESS PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED MINORITY- AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN

The Minority- and Women- Owned Business Enterprises (“MWBE”) and Equal Employment Opportunities requirements of this section apply to Contractors and Subcontractors working pursuant to: (1) Contracts for labor, services (including, but not limited to, legal, financial, and other professional services), supplies, equipment, materials, or any combination of the foregoing, greater than $25,000; (2) Contracts that are initially under this threshold but subsequent change orders or contract amendments increase the Contract value to above $25,000; and, (3) change orders greater than $25,000.

Disregard this section if it does not apply to this Contract or Subcontract.

I. General Provisions

A. Contractors and Subcontractors are required to comply with New York State Executive Law Article 15-A and 5 NYCRR Parts 140-145 (“MWBE Regulations”) for all State contracts as defined therein, with a value (1) in excess of $25,000 for labor, services (including, but not limited to, legal, financial, and other professional services), supplies, equipment, materials, or any combination of the foregoing, or (2) in excess of $100,000 for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon.

B. Failure to comply with all of the requirements herein may result in a finding by the Recipient that the Contractor is non-responsive, non-responsible, and/or has breached the Contract, leading to the withholding of funds or such other actions, liquidated damages pursuant to subsection III(F) of this section, or enforcement proceedings as allowed by the Contract.

C. If any terms or provisions herein conflict with Executive Law Article 15-A or the MWBE Regulations, such law and regulations shall supersede these requirements.

D. Upon request from the Recipient’s Minority Business Officer (“MBO”) and/or EFC, Contractor will provide complete responses to inquiries and all MWBE and EEO records available within a reasonable time. For purposes of this section, MBO means the duly authorized representative of the State financial assistance Recipient for MWBE and EEO purposes.

II. Equal Employment Opportunities (EEO)

A. Each Contractor and Subcontractor performing work on the Contract shall undertake or continue existing EEO programs to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. For these purposes, EEO shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation.

B. Contractor represents that it has submitted an EEO policy statement to Recipient prior to the execution of this Contract.


C. Contractor represents that it’s EEO policy statement includes the following language:

1. The contractor will not discriminate on the basis of race, creed, color, national origin, sex, age, disability, or marital status against any employee or applicant for employment, will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination and will make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on Contracts relating to State financial assistance projects. 2. The Contractor shall state in all solicitations or advertisements for employees that, in the performance of the Contract relating to this State financial assistance project, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. 3. 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.

D. The Contractor will include the provisions of Subdivisions II(A), II(C), and II(E) in every Subcontract in such a manner that the requirements of these subdivisions will be binding upon each Subcontractor as to work in connection with the Contract.

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

F. Required EEO Forms

1. EEO Staffing Plan To ensure compliance with this section, the Contractor represents that it has submitted prior to execution of this Contract an EEO Staffing Plan to the Recipient’s MBO to document the composition of the proposed workforce to be utilized in the performance of the Contract by the specified categories listed, including ethnic background, gender, and federal occupational categories.

2. EEO Workforce Employment Utilization Report (“Workforce Report”)

a. The Contractor shall submit a Workforce Report, and shall require each of its Subcontractors to submit a Workforce Report to the Recipient, in such format as shall be required by EFC on a quarterly basis during the term of the Contract. b. Separate forms shall be completed by Contractor and any Subcontractor. c. In limited instances, the Contractor may not be able to separate out the workforce utilized in the performance of the Contract from the Contractor's and/or Subcontractor's total workforce. When a separation can be made, the Contractor shall submit the Workforce Report and indicate that the information provided related to the actual workforce utilized on the Contract. When the workforce to be utilized on the Contract cannot be separated out from the Contractor's and/or Subcontractor's total workforce, the Contractor shall submit the Workforce Report and indicate that the information provided is the Contractor's total workforce during the subject time frame, not limited to work specifically under the Contract.


III. Business Participation Opportunities for MWBEs

A. Contract Goals

1. For purposes of this Contract, EFC establishes the following goals for New York State certified MWBE participation (“MWBE Combined Goals”) based on the current availability of qualified MBEs and WBEs. Program MWBE Combined Goal* Clean Water State Revolving Fund, Drinking Water State Revolving Fund, & Green Innovation Grant Program

20%

NYS WIIA Grants (also receiving EFC loan)

Clean Water project 23% Drinking Water project 26%

NYS Intermunicipal Grants (also receiving EFC loan)

Clean Water project 24% Drinking Water project 24%

NYS financial assistance only

30%

Engineering Planning Grant 30%

*May be any combination of MBE and/or WBE participation

2. For purposes of providing meaningful participation by MWBEs on the Contract and achieving the MWBE Contract Goals established in Section III-A hereof, the Contractor should reference the directory of New York State Certified MWBEs found at the following internet address: https://ny.newnycontracts.com. 3. The Contractor understands that only sums paid to MWBEs for the performance of a commercially useful function, as that term is defined in 5 NYCRR § 140.1, may be applied towards achievement of applicable MWBE participation goals. For construction-related services Contracts or Subcontracts, the portion of the Contract or Subcontract with an MWBE serving as a supplier, and so designated in ESD’s Directory, that shall be deemed to represent the commercially useful function performed by the MWBE shall be 60% of the total value of the Contract or Subcontract. The portion of a Contract or Subcontract with an MWBE serving as a broker, as denoted by NAICS code 425120, that shall be deemed to represent the commercially useful function performed by the MWBE shall be the monetary value for fees, or the markup percentage, charged by the MWBE. 4. Where MWBE Contract Goals have been established herein, pursuant to 5 NYCRR § 142.8, the Contractor must document “good faith efforts” to provide meaningful participation by MWBEs as Subcontractors or suppliers in the performance of the Contract. In accordance with Section 316-a of Article 15-A and 5 NYCRR § 142.13, the Contractor acknowledges that if it is found to have willfully and intentionally failed to comply with the MWBE participation goals set forth in the Contract, such a finding constitutes a breach of Contract and the Contractor shall be liable to the Recipient for liquidated or other appropriate damages, as set forth herein.

B. MWBE Utilization Plan

1. The Contractor represents and warrants that Contractor has submitted an MWBE Utilization Plan to the Recipient prior to the execution of this Contract. 2. The Contractor agrees to use such MWBE Utilization Plan for the performance of MWBEs on the Contract pursuant to the prescribed MWBE goals set forth in Section III-A of this section. 3. The Contractor further agrees that a failure to submit and/or use such MWBE Utilization Plan shall constitute a material breach of the terms of the Contract. Upon the occurrence of such a material breach, the Recipient shall be entitled to any remedy provided herein, including but not limited to, a finding that the Contractor is not responsive.


http:https://ny.newnycontracts.com

4. Contractor must report any changes to the Utilization Plan after Contract award and during the term of the Contract to the Recipient’s MBO. Contractor shall indicate the changes to the MBO in the next Monthly MWBE Contractor Compliance Report after the changes occurred. At EFC’s discretion, an updated MWBE Utilization Plan form and good faith effort documentation may be required to be submitted. When a Utilization Plan is revised due to execution of a change order, the change order should be submitted to the MBO with the revised Utilization Plan. 5. The Contractor shall submit copies of all fully executed subcontracts, agreements, and purchase orders that are referred to in the MWBE Utilization Plan to the MBO within 30 days of their execution.

C. Requests for Waiver

1. If the Contractor, after making good faith efforts, is unable to comply with MWBE goals, the Contractor may submit a Request for Waiver to the Recipient documenting good faith efforts by the Contractor to meet such goals. If the documentation included with the waiver request is complete, the Recipient shall forward the request to EFC for evaluation, and EFC will issue a written notice of acceptance or denial within twenty (20) days of receipt. 2. If the Recipient, upon review of the MWBE Utilization Plan and updated Quarterly MWBE Contractor Compliance Reports determines that the Contractor is failing or refusing to comply with the MWBE Contract Goals and no waiver has been issued in regards to such non-compliance, the Recipient may issue a notice of deficiency to the Contractor. The Contractor must respond to the notice of deficiency within seven (7) business days of receipt. Such response may include a request for partial or total waiver of MWBE Contract Goals.

D. Monthly MWBE Contractor Compliance Report (“Monthly MWBE Report”)

The Contractor agrees to submit a report to the Recipient by the third business day following the end of each month over the term of this Contract documenting the payments made and the progress towards achievement of the MWBE goals of the Contract. The Monthly MWBE Report must be supplemented with proof of payment by the Contractor to its Subcontractors (e.g., copies of both sides of a cancelled check) and proof that Subcontractors have been paid within 30 days of receipt of payment from the Recipient. The final Monthly MWBE Report must reflect all Utilization Plan revisions and change orders.

E. Liquidated Damages - MWBE Participation

In accordance with Section 316-a of Article 15-A and 5 NYCRR §142.13, if it has been determined by the Recipient or EFC that the Contractor has willfully and intentionally failed to comply with the MWBE participation goals, the Contractor shall be obligated to pay to Recipient liquidated damages or other appropriate damages, as specified herein and as determined by the Recipient or EFC.

Liquidated damages shall be calculated as an amount not to exceed the difference between:

1. All sums identified for payment to MWBEs had the Contractor achieved the approved MWBE participation goals; and, 2. All sums actually paid to MWBEs for work performed or materials supplied under this Contract.

The Recipient and EFC reserve the right to impose a lesser amount of liquidated damages than the amount calculated above based on the circumstances surrounding the Contractor’s non-compliance.

In the event a determination has been made by the Recipient or EFC which requires the payment of damages identified herein and such identified sums have not been withheld, Contractor shall pay such damages to the Recipient within sixty (60) days after they are assessed unless prior to the expiration of such sixtieth day, the Contractor has filed a complaint with the Empire State


Development Corporation – Division of Minority and Women’s Business Development (“ESD”) pursuant to Subdivision 8 of Section 313 of the Executive Law in which event the damages shall be payable if the Director of ESD renders a decision in favor of the Recipient.

SECTION 2 PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED SERVICE-DISABLED VETERAN-OWNED BUSINESSES

The requirements of this section apply to Contractors and Subcontractors working pursuant to: (1) Contracts for labor, services (including, but not limited to, legal, financial, and other professional services), supplies, equipment, materials, or any combination of the foregoing, greater than $25,000; (2) Contracts that are initially under this threshold but subsequent change orders or contract amendments increase the Contract value to above $25,000; and, (3) change orders greater than $25,000.

Disregard this section if it does not apply to this Contract or Subcontract.

I. General Provisions

Contractors and Subcontractors are required to comply with New York State Executive Law Article 17-B and 9 NYCRR Part 252 for all State contracts as defined therein, with a value (1) in excess of $25,000 for labor, services (including, but not limited to, legal, legal, financial, and other professional services), supplies, equipment, materials, or any combination of the foregoing, or (2) in excess of $100,000 for the acquisition, construction, demolition, replacement, major repair or renovation or real property and improvements thereon.

II. Contract Goals A. EFC hereby establishes an overall goal of 6% for SDVOB participation, based on the current availability of qualified SDVOBs. For purposes of providing meaningful participation by SDVOBs, the Contractor should reference the directory of New York State Certified SDVOBs found at: http://ogs.ny.gov/Core/docs/CertifiedNYS_SDVOB.pdf. B. Pursuant to 9 NYCRR § 252.2(n), Contractor must document “good faith efforts” to provide meaningful participation by SDVOBs as subcontractors or suppliers in the performance of the Contract.

III. SDVOB Utilization Plan A. In accordance with 9 NYCRR § 252.2(i), Contractor represents and warrants that it has submitted a completed SDVOB Utilization Plan to Recipient prior to the execution of this Contract. B. Contractor certifies that it will follow the submitted SDVOB Utilization Plan for the performance of SDVOBs on the Contract pursuant to the prescribed SDVOB contract goals set forth above. C. Contractor further agrees that a failure to use SDVOBs as agreed in the Utilization Plan shall constitute a material breach of the terms of the Contract. Upon the occurrence of such a material breach, the Recipient shall be entitled to any remedy provided herein, including but not limited to, a finding of Contractor non-responsibility. D. Contractor must report any changes to the Utilization Plan after Contract award and during the term of the Contract to the Recipient’s MBO. Contractor shall indicate the changes to the MBO in the next Monthly SDVOB Contractor Compliance Report after the changes occurred. At EFC’s discretion, an updated SDVOB Utilization Plan form and good faith effort documentation may be required to be submitted. When a Utilization Plan is revised due to execution of a change order, the change order should be submitted to the MBO with the revised Utilization Plan. E. The Contractor shall submit copies of all fully executed subcontracts, agreements, and purchase orders that are referred to in the SDVOB Utilization Plan to the MBO within 30 days of their execution.

IV. Request for Waiver A. If Contractor, after making good faith efforts, is unable to comply with the SDVOB Contract goals, Contractor may submit a request for a partial or total waiver to the Recipient, documenting good faith efforts by Contractor to meet such goals. If the documentation included with the waiver request is complete, the Recipient shall forward the request to EFC for evaluation, and EFC will


http://ogs.ny.gov/Core/docs/CertifiedNYS_SDVOB.pdf

issue a written notice of acceptance or denial within twenty (20) days of receipt. B. Contractor shall attempt to utilize, in good faith, the SDVOBs identified within its SDVOB Utilization Plan, during the performance of the Contract. Requests for a partial or total waiver of established goal requirements made subsequent to Contract award may be made at any time during the term of the Contract to the Recipient, but must be made no later than prior to the submission of a request for final payment on the Contract. C. If the Recipient, upon review of the SDVOB Utilization Plan and Monthly SDVOB Contractor Compliance Report determines that Contractor is failing or refusing to comply with the SDVOB Contract goals and no waiver has been issued in regards to such non-compliance, the Recipient may issue a notice of deficiency to Contractor. Contractor must respond to the notice of deficiency within seven business days of receipt. Such response may include a request for partial or total waiver of SDVOB Contract goals.

V. Monthly SDVOB Contractor Compliance Report (“Monthly SDVOB Report”) In accordance with 9 NYCRR § 252.2(q), Contractor is required to report monthly SDVOB contractor compliance to the Recipient during the term of the Contract for the preceding month’s activity, documenting progress made towards achieving the Contract SDVOB goals. The Contractor agrees to submit a report on to the Recipient by the third business day following the end of each month over the term of this Contract. The Monthly SDVOB Report must be supplemented with proof of payment by the Contractor to its Subcontractors (e.g., copies of both sides of a cancelled check) and proof that Subcontractors have been paid within 30 days of receipt of payment from the Recipient. The final Monthly SDVOB Report must reflect all Utilization Plan revisions and change orders.

VI. Breach of Contract and Damages In accordance with 9 NYCRR § 252.2(s), any Contractor found to have willfully and intentionally failed to comply with the SDVOB participation goals set forth in the Contract, shall be found to have breached the contract and Contractor shall pay damages as set forth therein.

SECTION 3 REQUIREMENTS REGARDING SUSPENSION AND DEBARMENT

The requirements of this section apply to all Contracts and Subcontracts.

The Contractor and any Subcontractors have not been deemed ineligible to submit a bid on or be awarded a public contract or subcontract pursuant to Article 8 of the State Labor Law, specifically Labor Law § 220-b. In addition, neither the Contractor nor any Subcontractors have contracted with, or will contract with, any party that has been deemed ineligible to submit a bid on or be awarded a public contract or subcontract under Labor Law § 220-b.

In addition, the Contractor and any Subcontractors have not been deemed ineligible to submit a bid and have not contracted with and will not contract with any party that has been deemed ineligible to submit a bid under Executive Law § 316.


PART 3:

GUIDANCE MATERIALS

APPLICABILITY OF PROGRAM REQUIREMENTS

This chart contains a listing of the State financial assistance program requirements contained within this document, as well as the following details regarding each requirement: (1) its applicability, i.e., what types of contracts/subcontracts, particular monetary thresholds if applicable; (2) a section reference to the Required Contract Language that applies from Part 2; and (3) a section reference to the Guidance that applies from this Part.

Requirement Applicability Section of Required Contract Language from Part 2

Section of Appropriate Guidance from Part 3

Minority- and Women- Owned Business Enterprises (MWBE) and Equal Employment Opportunities (EEO)

Contractors and Subcontractors working pursuant to: (1) Contracts for labor, services (including, but not limited to, legal, financial, and other professional services), supplies, equipment, materials, or any combination of the foregoing, greater than $25,000; (2) Contracts that are initially under this threshold but subsequent change orders or Contract amendments increase the Contract value above $25,000; and, (3) Change orders greater than $25,000

1 1

Service-Disabled Veteran-Owned Businesses (SDVOB)

Contractors and Subcontractors working pursuant to: (1) Contracts for labor, services (including, but not limited to, legal, financial, and other professional services), supplies, equipment, materials, or any combination of the foregoing, greater than $25,000; (2) Contracts that are initially under this threshold but

2 2

subsequent change orders or Contract amendments increase the Contract value above $25,000; and, (3) Change orders greater than $25,000

Suspension and Debarment

All Contracts and Subcontracts 3 3


SECTION 1 GUIDANCE FOR THE REQUIREMENTS AND PROCEDURES FOR BUSINESS PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED MINORITY- AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN

I. Summary of EEO and MWBE Forms

A. Forms to be Submitted Prior to Contract Execution

1. EEO Policy Statement To be submitted by the Contractor to the Recipient’s Minority Business Officer (“MBO”) prior to Contract execution. The “MBO” refers to the duly authorized representative of the State financial assistance Recipient for MWBE and EEO purposes. This form is attached hereto as Attachment 1. See Required Contract Language, Section 1(II).

2. EEO Staffing Plan To be submitted by the Contractor to the MBO prior to Contract execution. This form is attached hereto as Attachment 2. See required Contract Language, Section 1(II).

3. MWBE Utilization Plan To be submitted by the Contractor to the MBO after the bid opening, but in no case more than ten (10) business days after the Contractor receives notice from the Recipient that the Contractor has submitted a low bid. This form is attached hereto as Attachment 4. See Required Contract Language, Section 1(III)(B).

B. Forms to be Submitted During the Term of the Contract

1. EEO Workforce Employment Utilization Report (“Workforce Report”) To be submitted by the Contractor to the MBO on a quarterly basis during the term of the Contract. An exemplar form with instructions is attached hereto as Attachment 3. The actual Excel fillable form for Contractors and Subcontractors to complete will be e-mailed to MBOs by EFC at the start of the Contract term. See Required Contract Language, Section 1(II)(F).

2. Request for Partial or Total Waiver If applicable, to be submitted by the Contractor to the MBO at any time during the term of the Contract, but not later than prior to the submission of a request for final payment on the Contract. This form is attached hereto as Attachment 5. See Required Contract Language, Section 1(III)(C).

3. Monthly MWBE Contractor Compliance Report (“Monthly MWBE Report”) To be submitted by the Contractor to the MBO by the third business day following the end of each month over the term of the Contract. This form is attached hereto as Attachment 6. See Required Contract Language, Section 1(III)(D).

II. Business Participation Opportunities for MWBEs

A. Contract Goals The goals provided herein (Required Contract Language, Section 1(III)(A)) are effective as of October 1, 2017. MWBE participation goals for a contract will be based on the goals in place at the time of the execution date of each respective contract, unless otherwise specified. In certain instances, the goals may vary, such as with projects co-funded by EFC and other state/federal agencies. With some co-funded projects, EFC may defer to the MBE and WBE participation goals and program established by those agencies.


Please contact EFC if you have any questions about the applicable MWBE participation goals for your contract.

B. Good Faith Efforts The Contractor must make good faith efforts to develop an adequate MWBE Utilization Plan and must continue such good faith efforts in order to meet applicable MWBE participation goals. The Contractor shall maintain documentation of good faith efforts to solicit participation of MWBE firms for State financial assistance projects. If a Contractor is unable to meet contract MWBE participation goals, and submits a Request for Waiver, documentation of such good faith efforts must accompany the request. See Required Contract Language, Section 1(III)(C).

Contractor should also continue good faith efforts to seek opportunities for MWBE participation during the life of the contract even if proposed goals have been achieved.

Examples of documentation of good faith efforts are set forth below:

• Information on the scope of work related to the contract, such as a copy of the schedule of values from the bid submission, and specific steps taken to reasonably structure the scope of work to break out tasks or equipment needs for the purpose of providing opportunities for subcontracting with, or obtaining supplies or services from, MBEs or WBEs.

• Printed screenshots of the directory of Certified Minority- and Women- Owned Business Enterprises (“MWBE directory”) on ESD’s website on a Statewide basis, if appropriate, for both MBEs and WBEs that provide the services or equipment necessary for the contract. Contact the MBO for assistance in performing a proper search including identifying a sufficient number of solicitations to show that good faith effort was made.

• Copies of timely solicitations and documentation (e.g., faxes and emails) that the Contractor offered relevant plans, specifications, or other related materials to MBE and WBE firms on ESD’s MWBE directory to participate in the work, with the responses.

• A log prepared by the Contractor in a sortable spreadsheet documenting the Contractor’s solicitation of MBEs and WBEs for participation as Subcontractors or suppliers pursuant to a contract. The log should consist of the list of MBE and WBE firms solicited, their contact information, the type of work they were solicited to perform (or equipment to provide), how the solicitation was made (fax, phone, email) and the contact information, the contacts name and the outcome. If a bid was received, the bid price should also be included in the log. See a sample log format below:

Date M/WBE Type Company Scope

of work

Contact Name Phone/ Email Solicitation Format

MWBE Response

Negotiation Required?

Selected? If not, Explain

If no response was received to an initial solicitation, at least one follow-up solicitation should be made in a different format than the first, e.g. fax followed by phone call. Any bids received from non-MWBE firms for the same areas MWBEs were solicited should also be tracked on the log.


• Copies of any advertisements of sufficient duration to effectively seek participation of certified MBE and WBEs timely published in appropriate general circulation, trade and MWBE oriented publications, together with listing and dates of publication of such advertisements. EFC recommends the use of the NYS Contract Reporter that is free to all Contractors - https://www.nyscr.ny.gov/. A log should be kept of the responses to the ads, similar to the log for MWBE firm solicitation and should include the non-MWBE firms that responded and the bid prices. Any negotiations should be documented in the log.

• Documents demonstrating that insufficient MBEs or WBEs are reasonably available to perform the work.

• A written demonstration that the Contractor offered to make up any inability to meet the project MWBE participation goals in other contracts and/or agreements performed by the Contractor on another State financial assistance project.

• The date of pre-bid, pre-award, or other meetings scheduled by the Recipient, if any, and the contact information of any MBEs and WBEs who attended and are capable of performing work on the project.

• Any other information or documentation that demonstrates the Contractor conducted good faith efforts to provide opportunities for MWBE participation in their work. For instance, Prime Contractors and MBOs should develop a list of MWBE firms that have expressed interest in working on State financial assistance projects

C. MWBE Utilization Plan

1. The MWBE Utilization Plan must be submitted to the Recipient’s MBO after the bid opening, but in no case more than ten (10) business days after the Contractor receives notice from the Recipient that the Contractor has submitted a low bid. 2. The MBO will evaluate a completed MWBE Utilization Plan. If the MBO finds the Utilization Plan sufficient, it will be forwarded to EFC for review. If the MBO finds the Utilization Plan insufficient, the MBO will work with the Contractor to address deficiencies before submitting to EFC for review. A written notice of acceptance or deficiency will be issued by EFC within 20 business days of receipt of the Utilization Plan. Upon receipt of a notice of deficiency from either the MBO or EFC, the Contractor shall respond with a written remedy to such notice within seven (7) business days of receipt. 3. In coordination wit

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