Sewer Dist 3 Southtowns Advanced Water Treatment Facility

NOTICE OF INVITATION TO SUBMIT A PROPOSAL FOR PROFESSIONAL ENGINEERING SERVICES

Proposals are requested by the Erie County Department of Environment and Planning, Division of Sewerage Management (DEP/DSM) for engineering consultant services to provide an Engineer’s Report, design plans and specifications, and construction phase services for the Southtowns Advanced Wastewater Treatment Facility – Phase 1 and Phase 2 Expansion project. The top rated respondent(s) will be selected to enter into an agreement to provide the services.

In accordance with Local Law No. 6, proposals are hereby invited for the subject project. Proposals are to be submitted in the exact format detailed in the request for proposals (RFP). Proposals will be due at 4:00 PM on June 15, 2021. Proposal shall be delivered to ECDEP- DSM, Room 1034, 95 Franklin St., Buffalo, NY 14202.

To obtain a copy of the RFP guidelines, please visit the following website, http://www2.erie.gov/purchasing/index.php?q=requests-proposals-amp-construction-bids. Alternatively, you may call (716) 858-8383 or e-mail [email protected] if you would like to request a hardcopy.

This invitation does not commit Erie County, or its DEP-DSM to accept any priced proposal, nor does it obligate Erie County for any costs associated with preparing or submitting proposals.

By: Joseph Fiegl, P.E., BCEE Deputy Commissioner Erie County DEP-DSM

Dated: March 31, 2021 Published: April 7, 2021

ERIE COUNTY

REQUEST FOR PROPOSAL (RFP) TO PROVIDE Engineering Services for Erie County / Erie County Sewer District No. 3 Southtowns Advanced Wastewater Treatment Facility (AWTF) Phase 1 and Phase 2 Expansion Project

PHASE 1: Disinfection Systems, Overflow Retention Facility (ORF) and Outfall Modifications, Effluent Pumping and Hydraulic Improvements

PHASE 2: Bioclarifier and Aeration/UNOX System Improvements; Additional Facility Needs Evaluation / Assessment

File 3.3.2.STAWTF-EXP

April, 2021

DEPARTMENT OF ENVIRONMENT & PLANNING DIVISION OF SEWERAGE MANAGEMENT EDWARD A. RATH COUNTY OFFICE BUILDING 95 FRANKLIN STREET BUFFALO, NEW YORK 14202

COUNTY OF ERIE, NEW YORK

REQUEST FOR PROPOSALS (“RFP”) File No. 3.3.2.STAWTF-EXP

TO PROVIDE Engineering Services for the design and construction of expansion of the Southtowns AWTF in Erie County Sewer District (ECSD) No. 3 as follows:

PHASE 1: Disinfection Systems, ORF and Outfall Modifications, Effluent Pumping and Hydraulic Improvements

PHASE 2: Bioclarifier and Aeration/UNOX System Improvements; Additional Facility Needs Evaluation / Assessment

I. INTRODUCTION

The County of Erie, New York (the “County”) is currently seeking Proposal Statements from qualified firms interested in providing engineering services. All proposers interested in providing engineering services are invited to respond to this request.

It is the County's intent to select the Proposer(s) that provides the best solution for the two (2) phases of this project. The County may select a single engineering firm/team for both phases or multiple firms/teams based on the evaluation of the proposals received.

The selected engineer(s) shall adhere to the NYSDEC schedule, listed below, and must receive County Authorization prior to the start of any Phase or sub-phase for this project.

The Schedule is as follows:

PHASE 1 Design Complete: March 1, 2023 Construction Complete: September 1, 2025

PHASE 2 Design Complete: March 1, 2025 Bioclarifiers Construction Complete: September 1, 2027 Aeration Construction Complete: September 1, 2029

Note: the above schedule does not include additional time required for the New York State Department of Environmental Conservation’s (NYSDEC’s) to review and approve the Engineer’s Report or the Design Plans.

The County reserves the right to amend this RFP. The County reserves the right to reject any or all of the proposals, or any part thereof, submitted in response to this RFP, and reserves the right to waive informalities, if such action is deemed to be in the best interest of the County. The County reserves the right to request additional information from any proposer. The County reserves the right to award negotiated contracts to one or more proposers.

This RFP is not intended and shall not be construed to commit the County to pay any costs incurred in connection with any proposal or to procure or contract with any firm.

The County will only contract with firms that do not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability, marital status, sexual orientation, citizenship status or any other status protected by New York State and Federal laws.

II. PROPOSAL PROCEDURES

A. ANTICIPATED SCHEDULE OF PROPOSAL The following schedule is for informational purposes only. The County reserves the right to amend this schedule at any time.

Advertise RFP: April 7, 2021

Pre-Proposal Meeting May 4, 2021

Site Visit May 5, 2021

Proposals Due: June 15, 2021

Interviews: TBD, tentatively August 2021

Agreement Signed: Following all necessary County approvals.

Anticipated Notice-To-Proceed October/November 2021

B. GENERAL REQUIREMENTS

1. Each proposal shall be prepared simply and economically avoiding the use of elaborate promotional materials beyond what is sufficient to provide a complete, accurate and reliable presentation.

2. One (1) original and Six (6) copies shall be submitted, each with a signed Proposer Certification (Exhibit “A”). Proposals without a signed certification will be rejected.

3. Submission of the proposals shall be directed to:

Joseph Fiegl, P.E., Deputy Commissioner Department of Environment & Planning Division of Sewerage Management 95 Franklin Street – Room 1034 Buffalo, New York 14202

All proposals must be delivered to the above office on or before June 15, 2021 at 4:00 p.m. Proposals received after the above date and time will not be considered. The County is under no obligation to return proposals.

4. Requests for clarification of this RFP must be written and submitted to David Millar, P.E. at 95 Franklin Street, Room 1034, Buffalo, New York 14202 or [email protected] no later than 4:00 p.m. on May 25, 2021. Formal written

responses will be distributed by the County on or before 4:00 p.m. on June 1, 2021. Anyone that wishes to be included on any responses to requests for clarification must submit a request, in writing, to Mr. Millar. NO COMMUNICATIONS OF ANY KIND WILL BE BINDING AGAINST THE COUNTY, EXCEPT FOR THE FORMAL WRITTEN RESPONSES TO ANY REQUEST FOR CLARIFICATION.

5. It is anticipated the top ranked firms will be interviewed to clarify or elaborate on the written proposal. Those proposers will be notified to arrange specific times after the County’s review of proposals.

6. No proposal will be accepted from nor any agreement awarded to any proposer that is in arrears upon any debt or in default of any obligation owed to the County. Additionally, no agreement will be awarded to any proposer that has failed to satisfactorily perform pursuant to any prior agreement with the County.

7. Proposers are encouraged to attend the pre-proposal meeting which will be held via WebEx on May 4, 2021 at 10:00 AM. The WebEx details are as follows:

Join from the meeting link https://erie.webex.com/erie/j.php?MTID=me6f2c5824f74b3dedab64fcc230de8c9 Join by meeting number Meeting number (access code): 187 425 6852 Meeting password: 3YkyRFq9Pk2

Tap to join from a mobile device (attendees only) +1-415-655-0003,,1874256852## United States Toll

Join by phone +1-415-655-0003 United States Toll Global call-in numbers

Join by video system, application or Skype for business Dial [email protected] You can also dial 173.243.2.68 and enter your meeting number.

Site visits will be conducted on May 5, 2021 by appointment only. Three tours will be available: 9:00 AM to 10:00 AM, 10:00 AM to 11:00 AM, and 11:00 to 12:00 PM. No more than two firms will be scheduled per tour. Please contact Mr. Dave Millar via email [email protected] to reserve an appointment. Please note, no questions will be addressed during plant tours. As noted, requests for clarification must be submitted in writing to Mr. Millar via email [email protected] no later than 4:00 p.m. on May 25, 2021.

8. All firms submitting proposals must include, in a single separately sealed envelope, a summary with the overall cost, a summary of the total cost for each Phase, and individual cost proposals for each task within the phases using DEP Summary Form, ECDEP-CS-1 (see Schedule “E”). See Exhibit “C”. The envelope shall be clearly labeled Cost Proposal - with the proposer name, due date, and proposal name.

III. SCOPE OF PROFESSIONAL SERVICES REQUIRED

See Exhibit “D” (Schedule “A” and “A-1” of the Agreement).

IV. STATEMENT OF RIGHTS

UNDERSTANDINGS

Please take notice, by submission of a proposal in response to this request for proposals, the proposer agrees to and understands:

 that any proposal, attachments, additional information, etc. submitted pursuant to this Request for Proposals constitute merely a suggestion to negotiate with the County of Erie and is not a bid under Section 103 of the New York State General Municipal Law;

 submission of a proposal, attachments, and additional information shall not entitle the proposer to enter into an agreement with the County of Erie for the required services;

 by submitting a proposal, the proposer agrees and understands that the County of Erie is not obligated to respond to the proposal, nor is it legally bound in any manner whatsoever by submission of same;

 that any and all counter-proposals, negotiations or any communications received by a proposing entity, its officers, employees or agents from the County, its elected officials, officers, employees or agents, shall not be binding against the County of Erie, its elected officials, officers, employees or agents unless and until a formal written agreement for the services sought by this RFP is duly executed by both parties and approved by the Erie County Legislature, the Erie County Fiscal Stability Authority (if required), and the Office of the Erie County Attorney.

In addition to the foregoing, by submitting a proposal, the proposer also understands and agrees that the County of Erie reserves the right, and may at its sole discretion exercise, the following rights and options with respect to this Request for Proposals:

 To reject any or all proposals;  To issue amendments to this RFP;  To issue additional solicitations for proposals  To waive any irregularities in proposals received after notification to proposers affected;  To select any proposal as the basis for negotiations of a contract, and to negotiate with one or more of the proposers for amendments or other modifications to their proposals;  To conduct investigations with respect to the qualifications of each proposer;  To exercise its discretion and apply its judgment with respect to any aspect of this RFP, the evaluation of proposals, and the negotiations and award of any contract;  To enter into an agreement for only portions (or not to enter into an agreement for any) of the services contemplated by the proposals with one or more of the proposers;

 To select the proposal that best satisfies the interests of the County and not necessarily on the basis of price or any other single factor;

 To interview the proposer(s);

 To request or obtain additional information the County deems necessary to determine the ability of the proposer;

 To modify dates;

 All proposals prepared in response to this RFP are at the sole expense of the proposer, and with the express understanding that there will be no claim, whatsoever, for reimbursement from the County for the expenses of preparation. The County assumes no responsibility or liability of any kind for costs incurred in the preparation or submission of any proposal;

 While this is an RFP and not a bid, the County reserves the right to apply the case law under General Municipal Law § 103 regarding bidder responsibility in determining whether a proposer is a responsible vendor for the purpose of this RFP process;

 The County is not responsible for any internal or external delivery delays which may cause any proposal to arrive beyond the stated deadline. To be considered, proposals MUST arrive at the place specified herein and be time stamped prior to the deadline.

EVALUATION

The following criteria, not necessarily listed in order of importance, will be used to review the proposals. The County reserves the right to weigh its evaluation criteria in any manner it deems appropriate:

 Proposer’s demonstrated capability to provide the services.

 Evaluation of the professional qualifications, personal background and resume(s) of individuals involved in providing services.

 Proposer’s experience to perform the proposed services.

 Proposer’s financial ability to provide the services.

 Evaluation of the proposer’s fee submission. It should be noted that while price is not the only consideration, it is an important one.

 A determination that the proposer has submitted a complete and responsive proposal as required by this RFP.

 An evaluation of the proposer’s projected approach and plans to meet the requirements of this RFP.

 The proposer’s written and oral presentation and the overall results of the interview conducted with the proposer.

 Selection of the successful candidate(s) will be based on the results of the ranking sheet (Exhibit “B”), cost(s) (Exhibit “E”), and interview(s).

 Proposers MUST sign the Proposal Certification attached hereto as Exhibit “A”. Unsigned proposals will be rejected.

WRITTEN PROPOSALS

Submit one (1) original and six (6) copies of your written proposal, and in a separate sealed envelope the cost proposal. The written proposal shall include answers to the questions listed below.

Proposals will be evaluated on your firm’s response to the questions below, (Score sheet is shown in Exhibit “B”), Proposer’s Cost Estimate, and Proposer’s Oral presentation and Interview.

A. Qualifications

1) State clearly whether your main office/parent firm is currently licensed as an individual, partnership or corporation to do professional engineering in New York State. (If not licensed in New York State, please advise how you propose to execute an agreement as a licensed New York State firm.) Indicate if this would be a joint venture proposal with another professional organization. The reasons for a joint venture should be presented.

2) State any potential conflicts of interest. Include any employment or other relationship your firm has with regulating agencies, or any other entity which may be perceived as a conflict of interest. Explain why any such potential conflicts of interest would not impact this project.

3) State the number of Employees in the Firm - If a branch office will perform work, indicate the size of the branch office. Also indicate, in relation to this project, how size of firm would relate to performance.

4) State the location (municipality) of the design team you would assign to this project. If more than one design team is proposed or if design team support is to be provided by another office, please explain.

5) Indicate the percent of minority personnel both at the firm level and on the project team. Females, if identified as minority, must be listed as technical or clerical.

6) List any current or anticipated obligations which may affect the project or use of the identified personnel proposed for this project.

B. Expertise/Experience

1) Present your special expertise for the project and how your firm’s qualifications would best serve the County on this Project. (Resumes should be attached at the end of the proposal.)

2) Indicate what professional or technical subcontractors you would utilize for the project. Indicate where the subcontractors are located and what services they would provide. Recite any experience or familiarity of the subcontractors which is pertinent to the specific requirements of this project and the basis of your confidence in their ability to perform. If your firm possesses specialty capabilities which allows work normally subcontracted to be performed in-house, present this information here.

3) Recite a list of no more than five similar projects within the last five years giving the size of the project in dollars, the client, including the name and phone number of the person to whom you were accountable, whether DEC and/or EPA were involved and if the project was constructed or otherwise completed.

4) Recite current and past work experience within the last five year if any, your firm has had with the County outside of the Department of Environment and Planning. Identify the other Department(s) for which the services were provided and the project title.

5) Disclosure of any Past County Employees - Indicate any personnel (either as an employee or thru a contractual relationship) who, within the last year prior to the date of this proposal, had been employed by the County of Erie. Also, indicate that person’s County work title and the Department for which he/she worked. If any, an explanation of the significance of the employee on the project should be presented.

C. Project

1) Provide a written evaluation of the “Scope of Services” which indicates your unique approach to performing this project.

2) Based on the Scope of Services, Form of Contract, these Guidelines and the expected job duration, indicate the total number of manhours for each of the various employee types (job classification) who will be assigned to the project. The manhours should be listed and totaled by Job Classification and Engineering Phase. If subcontractors are to be utilized on any phase of the project, provide separate breakdown which displays the number of manhours for each of their employee types who will assist on this project. The above information is to be presented in a format as shown on the enclosed table labeled “Manhour Summary Sheet” (Exhibit “C”). You may substitute your own layout (i.e. spreadsheet printouts) in lieu of using the enclosed form. (Please note the DEP Summary Form, ECDEP-CS-1, is to be utilized in the breakdown of costs in sealed price proposal). Resident engineering is to be assumed full time for the duration of construction for this project. Insofar as you propose utilizing County personnel for this project, state clearly the level of effort or task you would expect the County to provide. All manhours must be shown in this part of the proposal.

3) Utilize the forms listed in Schedule “N” to indicate which MWBE subcontractors you would propose to use on this project. The MWBE goal will be 30% combined. If your firm is a certified MBE and/or WBE firm, please state here and include self-performed work in the calculation of MBE and/or WBE utilization. Please note – depending on the funding source, there may be requirements concerning good faith efforts to promote and assist in the participation of Service-Disabled Veteran-Owned Businesses (SDVOBs). The directory of New York State Certified SDVOBs can be viewed at: http://ogs.ny.gov/Core/SDVOBA.asp. All are encouraged to contact the Office of General Services’ Division of Service-Disabled Veteran’s Business Development at 518-474-2015 or [email protected] to discuss methods of maximizing participation by SDVOBs.

4) State the length of time necessary to complete each engineer phase/task (Exhibit “D” - Agreement, Schedule A – Phase 1 / Phase 2 Tasks IA, IB, II, IIIA, IIIB, IIIC, IIID, & IIIE; Phase 2 – Additional Facilities Need Evaluation/Assessment). Indicate the minimum time required.

D. Rate

Indicate the firm’s total composite indirect cost rate(s) (overhead) which would be added to salaries in your billings for the project. The stated overhead rate(s) should take into consideration the project’s duration. The rate(s) will be considered fixed for the duration of the project. The overhead rate is to be based either directly on actual costs (hours rates) or if salary cost is used, indicate the percentage applied to direct salaries to arrive at the salary cost. Indicate your firm’s indirect cost rate which would be applied to overtime hours. If the same, indicate as such. List the overhead rates to be used for office and field personnel separately.

E. Proposer Certification: Proposals without of signed Proposer Certification will be rejected.

PRICED PROPOSAL

In a separately sealed envelope submit one (1) copy of your priced proposal for each of the tasks/phases clearly labeled with:  The firm/proposer name,  Due date of proposal,  Project name: “ECSD No. 3, Southtowns AWTF Phase 1 and Phase 2 Expansion Project, RFP # 3.3.2. STAWTF-EXP. – Cost Proposal”, and  Mark the sealed envelope: “CONFIDENTIAL - Pricing Information - To be Opened by Deputy Commissioner, Joseph Fiegl, P.E.”

The priced proposal is to be for the entire project (i.e. both Phase 1 and Phase 2) as described in these Instructions, the Form of Agreement and the Scope of Services attached, with the costs for each Phase and the tasks within clearly listed. Exceptions or limitations in your proposal shall not be placed in the sealed priced proposal unless clearly described in the written proposal.

Respondents are advised that all priced proposals are subject to negotiation at the discretion of the County.

The proposed costs and fees are to be presented on the Erie County Division of Sewerage Management for entitled “Cost Summary Format for Engineering Subagreements” (ECDEP-CS- 1). See Schedule “E” in Exhibit “D” and shall be presented in tasks/phases of the project. Please include a summary page with separate total costs listed for Phase 1 and Phase 2 clearly listed.

SELECTION

All Proposals, timely received and complete, will be evaluated and ranked by a selection committee comprised of staff from Erie County. The evaluation is based on the Written Proposals using a numerical score sheet related to the questions posed in the Proposal Guidelines (see Exhibit “B”).

When the evaluation of the written proposals is complete, all priced proposals will be opened. The cost will be part of the criteria to select firms for interviews. Once interviews have been conducted, the written proposals, priced proposals, and interview results will be used to either select an engineering firm/team for the entire project or Phase 1 and Phase 2 may be split and awarded to separate proposers.

AGREEMENT

After selection of the successful proposer, a formal written agreement (see Exhibit “D”) will be prepared by the County of Erie and will not be binding until signed by both parties and, if necessary, approved by the Erie County Legislature, the Erie County Fiscal Stability Authority and the Office of the County Attorney. NO RIGHTS SHALL ACCRUE TO ANY PROPOSER BY THE FACT THAT A PROPOSAL HAS BEEN SELECTED BY THE COUNTY FOR SUBMISSION TO THE ERIE COUNTY LEGISLATURE AND/OR THE ERIE COUNTY FISCAL STABILITY AUTHORITY FOR APPROVAL. THE APPROVAL OF SAID LEGISLATURE AND/OR AUTHORITY MAY BE NECESSARY BEFORE A VALID AND BINDING AGREEMENT MAY BE EXECUTED BY THE COUNTY.

INDEMNIFICATION AND INSURANCE

The proposer accepts and agrees that language in substantially the following form will be included in the agreement between the proposer and the County:

“In addition to, and not in limitation of the insurance requirements contained herein the Consultant agrees:

caused to incur because of or as a result of (a) any wrongful act, error, or omission of the Consultant or third-parties under the direction or control of the Consultant; or (b) any willful misconduct of the Consultant or third parties under the direction or control of the Consultant; or (c) any infringement of any claimed copyright or patent right of designs, plans, drawings, or specifications furnished by the Consultant or its subconsultant. Nothing contained herein shall create or give to third parties any claim or right of action against the County or the Consultant beyond such as may legally exist without regard to this provision.

Upon execution of any agreement between the proposer and the County, the proposer will be required to provide proof of the insurance coverage described in Schedule “B” of the attached Agreement (Exhibit “D”).

Insurance coverage in amount and form shall not be deemed acceptable until approved by the County Attorney.

INTELLECTUAL PROPERTY RIGHTS

The proposer accepts and agrees that language in substantially the following form will be included in the agreement between the proposer and the County:

All deliverables created under this Agreement by the Consultant are to be considered “works made for hire”. If any of the deliverables do not qualify as “works made for hire”, the Consultant hereby assigns to the County all right, title and interest (including ownership of copyright) in such deliverables and such assignment allows the County to obtain in its name copyrights, registrations and similar protections which may be available. The Consultant agrees to assist the County, if required, in perfecting these rights. The Consultant shall provide the County with at least one copy of each deliverable.

The Consultant agrees to indemnify and hold harmless the County for all damages, liabilities, losses and expenses arising out of any claim that a deliverable infringes upon an intellectual property right of a third party. If such a claim is made, or appears likely to be made, the Consultant agrees to enable the County’s continued use of the deliverable, or to modify or replace it. If the County determines that none of these alternatives is reasonably available, the deliverable will be returned.

All records compiled by the Consultant in completing the work described in this Agreement, including but not limited to written reports, source codes, studies, drawings, blueprints, negatives of photographs, computer printouts, graphs, charts, plans, specifications and all other similar recorded data, shall become and remain the property of the County. The Consultant may retain copies of such records for its own use.

NON-COLLUSION

The proposer, by signing the proposal, does hereby warrant and represent that any ensuing agreement has not been solicited, secured or prepared directly or indirectly, in a manner contrary to the laws of the State of New York and the County of Erie, and that said laws have not been violated and shall not be violated as they relate to the procurement or the performance of the agreement by any conduct, including the paying or the giving of any fee, commission, compensation, gift, gratuity or consideration of any kind, directly or indirectly, to any County employee, officer or official.

CONFLICT OF INTEREST

All proposers must disclose with their proposals the name of any officer, director or agent who is also an employee of the County of Erie. Further, all proposers must disclose the name of any County employee who owns, directly or indirectly, an interest of ten percent or more in the firm or any of its subsidiaries or affiliates.

There shall be no conflicts in existence during the term of any agreement with the County. The existence of a conflict shall be grounds for termination of an agreement.

COMPLIANCE WITH LAWS

By submitting a proposal, the proposer represents and warrants that it is familiar with all federal, state and local laws and regulations and will conform to said laws and regulations. The preparation of proposals, selection of proposers and the award of agreements are subject to provisions of all Federal, State and County laws, rules and regulations.

CONTENTS OF PROPOSAL

The New York State Freedom of Information Law as set forth in Public Officers Law, Article 6, Sections 84 et seq., mandates public access to government records. However, proposals submitted in response to this RFP may contain technical, financial background or other data, public disclosure of which could cause substantial injury to the proposer's competitive position or constitute a trade secret. Proposers who have a good faith belief that information submitted in their proposals is protected from disclosure under the New York Freedom of Information Law shall:

a) insert the following notice in the front of its proposal:

“NOTICE

The data on pages ___ of this proposal identified by an asterisk (*) contains technical or financial information constituting trade secrets or information the disclosure of which would result in substantial injury to the proposer’s competitive position.

The proposer requests that such information be used only for the evaluation of the proposal, but understands that any disclosure will be limited to the extent that the County considers proper under the law. If the County enters into an agreement with this

proposer, the County shall have the right to use or disclose such information as provided in the agreement, unless otherwise obligated by law.” and

b) clearly identify the pages of the proposals containing such information by typing in bold face on the top of each page " * THE PROPOSER BELIEVES THAT THIS INFORMATION IS PROTECTED FROM DISCLOSURE UNDER THE STATE FREEDOM OF INFORMATION LAW."

The County assumes no liability for disclosure of information so identified, provided that the County has made a good faith legal determination that the information is not protected from disclosure under applicable law or where disclosure is required to comply with an order or judgment of a court of competent jurisdiction.

The contents of the proposal which is accepted by the County, except portions "Protected from Disclosure", may become part of any agreement resulting from this RFP.

EFFECTIVE PERIOD OF PROPOSALS

All proposals must state the period for which the proposal shall remain in effect (i.e. how much time does the County have to accept or reject the proposal under the terms proposed). Such period shall not be less than 180 days from the proposal date.

EXHIBIT “A”

PROPOSER CERTIFICATION

The undersigned agrees and understands that this proposal and all attachments, additional information, etc. submitted herewith constitute merely an offer to negotiate with the County of Erie and is NOT A BID. Submission of this proposal, attachments, and additional information shall not obligate or entitle the proposing entity to enter into a service agreement with the County of Erie for the required services. The undersigned agrees and understands that the County of Erie is not obligated to respond to this proposal nor is it legally bound in any manner whatsoever by the submission of same. Further, the undersigned agrees and understands that any and all proposals and negotiations shall not be binding or valid against the County of Erie, its directors, officers, employees or agents unless an agreement is signed by a duly authorized officer of the County of Erie and, if necessary, approved by the Erie County Legislature, Erie County Fiscal Stability Authority and/or the Office of the County Attorney.

It is understood and agreed that the County of Erie reserves the right to reject consideration of any and all proposals including, but not limited to, proposals which are conditional or incomplete. It is further understood and agreed that the County of Erie reserves all rights specified in the Request for Proposals.

It is represented and warranted by those submitting this proposal that except as disclosed in the proposal, no officer or employee of the County of Erie is directly or indirectly a party to or in any other manner interested in this proposal or any subsequent service agreement that may be entered into.

Proposer Name

By: Name and Title

EXHIBIT “B” QUALIFICATIONS REVIEW RATING SHEET DIVISION OF SEWERAGE MANAGEMENT PROPOSAL REVIEW RATING SHEET SOUTHTOWNS AWTF PHASE 1 AND PHASE 2 EXPANSION PROJECT ERIE COUNTY SEWER DISTRICT NO. 3

ITEMS FIRMS

A. Qualifications

1. Licensed Firm NNR

2. Conflict of Interest 5

3. Size of Firm vs. Project Size 5

4. Location of Team(s) 5

5. Percent Minority within Firm/ 10 Project Team

6. Current Obligations (Effect on 5 Project Described)

B. Expertise/Experience 30 1. Special Expertise – Personnel

2. Professional/Technical 10 Subcontractors In-House

3. Similar Projects 30

4. Experience with other County NNR Departments

5. Past County Employees NNR

C. Project 1. Evaluation of Scope of Services 35

2. Manhours Projects Per Phase 20

3. MBE/WBE Subcontractors 15

4. Time of Completion 10

D. Rate 20 1. Overhead Rate(s)

E. Proposer Certification NNR

TOTAL SCORE 200

RANK NNR – No Numerical Rating ; however, response is required from Proposer

EXHIBIT “C” MANHOUR SUMMARY SHEET

ERIE COUNTY DEPARTMENT OF ENVIRONMENT AND PLANNING DIVISION OF SEWERAGE MANAGEMENT ERIE COUNTY SEWER DISTRICT NO. 3 Southtowns AWTF Phase 1 and Phase 2 Expansion Project

The sealed cost proposal shall provide a separate Cost Estimate Form for each Task and a summary for each Phase.

PHASE 1 PERSONNEL MANHOURS BY JOB ENGINEERING TASK CLASSIFICATION TOTALS All Phase 1 Work IA- Design Report IB- SEQRA II- Design Documents III- Construction ======IIIA. Bid Phase IIIB. General Services During Construction IIIC. Resident Engineering IIID. Start-Up IIIE. Post Operation & Maintenance TOTAL – ALL PHASE 1

PHASE 2* PERSONNEL MANHOURS BY JOB ENGINEERING TASK CLASSIFICATION TOTALS Engineering Report– Additional Facility Needs Evaluation / Assessment

Secondary Treatment Expansion IA- Design Report IB- SEQRA II- Design Documents III- Construction ======IIIA. Bid Phase IIIB. General Services During Construction IIIC. Resident Engineering IIID. Start-Up IIIE. Post Operation & Maintenance Subtotal – Secondary Treatment

TOTAL – ALL PHASE 2

C-1

* - Phase 2 costs shall be estimated assuming the scope of services will only include those items required to fully implement the expansion of the secondary treatment process (bioclarifiers, aeration/UNOX system, and associated improvements) and to perform an evaluation/assessment of other facility needs (electrical systems, backup generation, IT infrastructure, physical plant, office/laboratory space, etc.). After completion of the report for the evaluation/assessment of other facility needs, the County may negotiate a revised scope and budget with the selected Phase 2 engineering firm/team to incorporate design and construction phase services for certain recommendations from the evaluation/assessment.

EXHIBIT “D”

AGREEMENT

THIS AGREEMENT made the ______day of ______20__ by and between

THE COUNTY OF ERIE, a municipal corporation of the State of New York, having an office and place of business at 95 Franklin Street, Buffalo, New York 14202 (hereafter the “County”) and

[Insert legal name of the CONSULTANT,], a [insert state, e.g., New York State, and insert the legal status, e.g. corporation, partnership or limited liability company, if applicable] having an office and principal place of business at [insert address] (hereafter the “Consultant”)

W I T N E S S E T H :

FIRST: The Consultant shall provide Erie County /Erie County Sewer District No. 3, Southtowns Advanced Wastewater Treatment facility (AWTF) [Phase 1] [and] [Phase 2] Expansion project (the “Project”), as more fully described in Schedule “A” and “A-1”, which is attached hereto and made a part hereof (the “Work”). The Work shall be carried out by the Consultant in accordance current industry standards and trade practices.

 The Design for Phase-I shall be complete and submitted to NYSDEC for review and approval on or before March 1, 2023.  The Construction shall be completed by September 1, 2025.  The Design for Phase-II shall be complete and submitted to NYSDEC for review and approval on or before March 1, 2025.  The construction for the Bioclarifiers be Completed by September 1, 2027 and for the Aeration be Complete by September 1, 2029.

The Consultant expressly agrees that the provisions set forth in the following schedules:

1 Schedule A - Scope/Specifications Schedule A-1 - Department Specific Requirements Schedule B - Standard Insurance Certificate Schedule C - Time of Completion Schedule D - Detailed Description of Compensation Schedule E - Cost Summary Form Schedule F - [BLANK] Schedule G - Certification Regarding Debarment and Suspension Schedule H - Certification Regarding Drug-Free Workplace Schedule I - Certification Regarding Lobbying Schedule J - Erie County Equal Pay Certification Schedule K - NYSRF – Program Requirements / Language / Materials Schedule L - NYSRF – Required Forms Schedule M - Legislature Resolution

which are attached hereto shall be incorporated into this Agreement as if fully set forth herein.

A list of key personnel of the Consultant, who shall be responsible for the implantation of this Agreement, is set forth in Schedule “A”. The Consultant shall provide the County with prior written notice of any proposed changes in key personnel, and the Commissioner of Environment and Planning or his/her duly authorized designee (the “Commissioner”) shall have sole discretion to approve or disapprove of any such personnel changes.

SECOND: The Consultant shall commence the Work immediately upon written notification from the Department (the “Commencement Date”) and shall be completed no later than within the time frames set forth in Schedule “C”.

The Consultant shall report to the County on its progress toward completing the Work, as the Commissioner may request, and shall immediately inform the Commissioner in writing of any cause for delay in the performance of its obligations under this Agreement.

The Consultant shall properly maintain a detailed daily log relative to the services rendered for which compensation is to be paid by the County pursuant to the terms of this

2 Agreement, which shall be submitted on a monthly basis. This log shall include, but not be limited to, the following: 1. Date. 2. Names and titles of employees rendering service. 3. Phase of project worked on. 4. Required time expended.

The Consultant shall complete those specific Work items identified in Schedule “A” by the interim deadlines set forth therein, unless an interim deadline is extended by the Commissioner in writing, subject to any necessary legal approval of such amendment. Timely completion of the Work is of the essence. It is hereby agreed that the Consultant will complete the Work within the time as described in Scheduled “C” attached hereto and made a part hereof. It is further agreed that the County may invoke liquidated damages, if any, as set forth in said Schedule C, for failure on the part of the Consultant to complete the Work as specified.

The Consultant shall supply sufficient and adequate personnel to assure completion of the Work within the time agreed.

THIRD: For the Project to be performed pursuant to Paragraph “FIRST,” the Consultant shall be paid an amount not-to-exceed [insert amount] ($[insert numeric amount]) Dollars, in the manner and at the rates set forth in Schedule [“D”] [If there is no Schedule “D”, or if payment previsions are not set out in Schedule “D”, insert a description of how often and when payments will be made and how much of the total will be paid, e.g. “which shall be paid in equal monthly installments”, and delete the rest of this sentence], which is attached hereto and made a part hereof. Except as otherwise expressly stated in this Agreement, no payment shall be made by the County to the Consultant for out-of-pocket expenses or disbursements made in connection with the services rendered or the work to be performed hereunder. Any and all requests for payment to be made, including any request for partial payment if such is permitted hereunder, shall be submitted by the Consultant on properly executed payment vouchers of the County and paid only after approval by the County. All payment vouchers must be accompanied by a numbered invoice and must contain the invoice number where indicated. All invoices submitted during each calendar year shall utilize

3 consecutive numbering and be non-repeating. In no event shall final payment be made to the Consultant prior to completion of all Work and the approval of same by the County.

The Consultant shall, at no additional charge, furnish all labor, services, materials, tools, equipment and other appliances necessary to complete the Work, unless specific additional charges are expressly permitted under this Agreement. It is recognized and understood that even if specific additional charges are expressly permitted under this Agreement, in no event shall total payment to the Consultant exceed the not-to-exceed amount set forth above.

FOURTH: Prior to the making of any payments hereunder, the County may, at its option, audit such books and records of the Consultant as are reasonably pertinent to this Agreement to substantiate the basis for payment. The County shall, in addition, have the right to audit such books and records subsequent to payment, if such audit is commenced within one year following termination of this Agreement.

FIFTH: The parties recognize and acknowledge that the obligations of the County under this Agreement are subject to appropriations by the Erie County Legislature. Therefore, this Agreement shall be deemed executory only to the extent of the monies appropriated and available. The County shall have no liability under this Agreement beyond funds appropriated and available for payment pursuant to this Agreement. The parties understand and intend that the obligation of the County hereunder shall constitute a current expense of the County and shall not in any way be construed to be a debt of the County in contravention of any applicable constitutional or statutory limitations or requirements concerning the creation of indebtedness by the County, nor shall anything contained in this Agreement constitute a pledge of the general tax revenues, funds or moneys of the County. The County shall pay amounts due under this Agreement exclusively from legally available funds appropriated for this purpose. The County shall retain the right, upon the occurrence of the adoption of any County Budget by the County Legislature during the term of this Agreement or any amendments thereto, and for a reasonable period of time after such adoption(s), to conduct an analysis of the impacts of any such County Budget on County finances. After such analysis, the County shall retain the right to either terminate this Agreement or to renegotiate the amounts and rates set forth herein. If the County

4 subsequently offers to pay a reduced amount to the Consultant, then the Consultant shall have the right to terminate this Agreement upon reasonable prior written notice.

This Agreement is also subject to further financial analysis of the impact of any New York State Budget (the “State Budget”) proposed and adopted during the term of this Agreement. The County shall retain the right, upon the occurrence of any release by the Governor of a proposed State Budget and/or the adoption of a State Budget or any amendments thereto, and for a reasonable period of time after such release(s) or adoption(s), to conduct an analysis of the impacts of any such State Budget on County finances. After such analysis, the County shall retain the right to either terminate this Agreement or to renegotiate the amounts and rates approved herein. If the County subsequently offers to pay a reduced amount to the Consultant, then the Consultant shall have the right to terminate this Agreement upon reasonable prior written notice.

SIXTH: (a) The County, upon ten (10) days notice to the Consultant, may terminate this Agreement in whole or in part when the County deems it to be in its best interest. In such event, the Consultant shall be compensated and the County shall be liable only for payment for services already rendered under this Agreement prior to the effective date of termination at the rates specified in Schedule “D”. Upon receipt of notice that the County is terminating this Agreement in its best interests, the Consultant shall stop work immediately and incur no further costs in furtherance of this Agreement without the express approval of the Commissioner, and the Consultant shall direct any approved subconsultants to do the same.

In the event of a dispute as to the value of the Work rendered by the Consultant prior to the date of termination, it is understood and agreed that the Commissioner shall determine the value of such Work rendered by the Consultant. The Consultant shall accept such reasonable and good faith determination as final.

(b) In the event the County determines that there has been a material breach by the Consultant of any of the terms of the Agreement and such breach remains uncured for five (5) business days after service on the Consultant of written notice thereof, the County, in addition to any other right or remedy it might have, may terminate this Agreement and the County shall

5 have the right, power and authority to complete the Work provided for in this Agreement, or contract for its completion, and any additional expense or cost of such completion shall be charged to and paid by the Consultant. Without limiting the foregoing, upon written notice to the Consultant, repeated breaches by the Consultant of duties or obligations under this Agreement shall be deemed a material breach of this Agreement justifying termination for cause hereunder without requirement for further opportunity to cure.

SEVENTH: The Consultant agrees to procure and maintain insurance naming the County as additional insured where indicated, as provided and described in Schedule “B”, entitled “Standard Insurance Provisions”, which is attached hereto and made part hereof.

The Consultant agrees: that except for the amount, if any, of damage contributed to, caused by, or resulting from the negligence of the County, the Consultant shall defend, indemnify and hold harmless the County, its officers, employees, and agents from and against the Consultant’s proportional share of liability, damage, claim, demand, cost, judgment, fee, attorneys’ fees, or loss which the County may sustain, be subject to, or be caused to incur because of or as a result of (a) any wrongful act, error, or omission of the Consultant or third- parties under the direction or control of the Consultant; or (b) any willful misconduct of the Consultant or third parties under the direction or control of the Consultant; or (c) any infringement of any claimed copyright or patent right of designs, plans, drawings, or specifications furnished by the Consultant or its subconsultant. Nothing contained herein shall create or give to third parties any claim or right of action against the County or the Consultant beyond such as may legally exist without regard to this provision.

EIGHTH: The Consultant expressly agrees that neither it nor any consultant, subconsultant, employee, or any other person acting on its behalf shall discriminate against or intimidate any employee or other individual on the basis of race, creed, religion, color, gender, age, national origin, ethnicity, alienage or citizenship status, disability, marital status, sexual orientation, familial status, genetic predisposition or carrier status or any other status protected by New York State or Federal laws during the term of or in connection with this Agreement.

6 NINTH: The Consultant shall comply, at its own expense, with the provisions of all applicable local, state and federal laws, rules and regulations. The Consultant shall further comply, at its own expense, with all applicable rules, regulations and licensing requirements pertaining to its professional status and that of its employees, partners, associates, subconsultants and others employed to render the Work hereunder.

TENTH: All records or recorded data of any kind compiled by the Consultant in completing the Work described in this Agreement, including but not limited to written reports, studies, drawings, blueprints, computer printouts, graphs, charts, plans, specifications and all other similar recorded data, shall become and remain the property of the County. The Consultant may retain copies of such records for its own use and shall not disclose any such information without the express written consent of the Commissioner. The County shall have the right to reproduce and publish such records, if it so desires, at no additional cost to the County.

Notwithstanding the foregoing, all deliverables created under this Agreement by the Consultant are to be considered “works made for hire.’ If any of the deliverables do not qualify as “works made for hire,” the Consultant hereby assigns to the County all right, title and interest (including ownership of copyright) in such deliverables and such assignment allows the County to obtain in its name copyrights, registrations and similar protections which may be available. The Consultant agrees to assist the County, if required, in perfecting these rights. The Consultant shall provide the County with at least one copy of each deliverable.

The Consultant agrees to defend, indemnify and hold harmless the County for all damages, liabilities, losses and expenses arising out of any claim that a deliverable infringes upon an intellectual property right of a third party. If such a claim is made, or appears likely to be made, the Consultant agrees to enable the County’s continued use of the deliverable, or to modify or replace it. If the County determines that none of these alternatives is reasonably available, the deliverable may be returned.

ELEVENTH: The Consultant shall not delegate any duties or assign any of its rights under this Agreement without the prior express written consent of the County. The

7 Consultant shall not subcontract any part of the Work without the written consent of the County, subject to any necessary legal approvals. Any purported delegation of duties, assignment of rights or subcontracting of Work under this Agreement without the prior express written consent of the County is void. All subcontracts that have received such prior written consent shall provide that subconsultants are subject to all terms and conditions set forth in this Agreement. It is recognized and understood by the Consultant that for the purposes of this Agreement, all Work performed by a County-approved subcontractor shall be deemed Work performed by the Consultant and the Consultant shall insure that such subcontracted work is subject to the material terms and conditions of this Agreement.

Notwithstanding the above, the parties hereto acknowledge and agree that, at the time of execution of this Agreement, the following subconsultants have been approved to provide services for the named purpose(s) in connection with the Agreement: [insert subconsultant(s) name(s), address(es) and purpose(s)].

TWELFTH: The Consultant and the County agree that the Consultant and its officers, employees, agents, contractors, subcontractors and/or consultants are independent contractors and not employees of the County or any department, agency or unit thereof. In accordance with their status as independent contractors, the Consultant covenants and agrees that neither the Consultant nor any of its officers, employees, agents, contractors, subcontractors and/or consultants will hold themselves out as, or claim to be, officers or employees of the County or any department, agency or unit thereof.

THIRTEENTH: Failure of the County to insist, in any one or more instances, upon strict performance of any term or condition herein contained shall not be deemed a waiver or relinquishment of such term or condition, but the same shall remain in full force and effect. Acceptance by the County of any Work or the payment of any fee or reimbursement due hereunder with knowledge of a breach of any term or condition hereof, shall not be deemed a waiver of any such breach and no waiver by the County of any provision hereof shall be implied.

8 FOURTEENTH: All notices of any nature referred to in this Agreement shall be in writing and either sent by registered or certified mail postage pre-paid, or delivered by hand or overnight courier, or sent by facsimile (with acknowledgment received and a copy of the notice sent by registered or certified mail postage pre-paid), as set forth below or to such other addresses as the respective parties hereto may designate in writing. Notice shall be effective on the date of receipt. Notices shall be sent to the following: To the County:

Joseph Fiegl, P.E., BCEE Deputy Commissioner Department of Environment & Planning Division of Sewerage Management 95 Franklin Street – Rm. 1034 Buffalo, New York 14202

with a copy to: County Attorney 95 Franklin Street, Room 1634 Buffalo, New York 14202

To the Consultant: ______

FIFTEENTH: This Agreement and its attachments constitute the entire Agreement between the parties with respect to the subject matter hereof and shall supersede all previous negotiations, commitments and writings. It shall not be released, discharged, changed or modified except by an instrument in writing signed by a duly authorized representative of each of the parties.

In the event of any conflict between the terms of this Agreement and the terms of any schedule or attachment hereto, it is understood that the terms of this Agreement shall be controlling with respect to any interpretation of the meaning and intent of the parties.

9 SIXTEENTH: Nothing herein is intended or shall be construed to confer upon or give to any third party or its successors and assigns any rights, remedies or basis for reliance upon, under or by reason of this Agreement, except in the event that specific third-party rights are expressly granted herein.

SEVENTEENTH: The Consultant recognizes that this Agreement does not grant the Consultant the exclusive right to perform the Work for the County and that the County may enter into similar agreements with other consultants on an “as needed” basis.

EIGHTEENTH: The Consultant hereby represents that, if operating under an assumed name, it has filed the necessary certificate pursuant to New York State General Business Law Section 130. The Consultant further represents and warrants that it has not employed or retained any person, other than a bona fide full time salaried employee working solely for the Consultant to solicit or secure this Agreement, and that it has not paid or agreed to pay any person (other than payments of fixed salary to a bona fide full time salaried employee working solely for the Consultant) any fee, commission, percentage, gift or other consideration, contingent upon or resulting from the award or making of this Agreement. For the breach or violation of this provision, without limiting any other rights or remedies to which the County may be entitled or any civil or criminal penalty to which any violator may be liable, the County shall have the right, in its discretion, to terminate this Agreement without liability, and to deduct from the contract price, or otherwise to recover, the full amount of such fee, commission, percentage, gift or consideration.

NINETEENTH: Pursuant to Federal Executive Order 12549, and as prescribed by federal regulations, including 48 C.F.R. Subpart 9.4, the Consultant hereby agrees to complete the Debarment and Suspension Certificate attached hereto as Schedule “G” and which is made a part hereof. In addition, the Consultant agrees to sign the certifications regarding Drug Free Workplace and Lobbying, attached hereto as Schedules “H” and “I”, and made a part hereof.

10 TWENTIETH: The Consultant shall comply with Erie County Executive Order 13 (2014) and agrees to complete the Certificate collectively attached hereto as Schedule “J” and made a part hereof. The Consultant shall make such records available, upon request, to the County’s Division of Equal Employment Opportunity for review. The County shall have the right, upon reasonable notice and at reasonable times, to inspect the books and records of the Consultant, its offices and facilities, for the purpose of verifying information supplied in the Erie County Equal Pay Certification and for any other purpose reasonably related to confirming the Agency’s compliance with Erie County Executive Order 13 (2014). Notwithstanding the termination provisions contained herein, violation of the provisions of Executive Order 13 (2014), may constitute grounds for the immediate termination of this Agreement and may constitute grounds for determining that the Consultant is not qualified to participate in future County contracts.

TWENTY-FIRST: The consultant shall comply with the New York State Revolving Fund (NYSRF) Program Requirements and Guidance Materials as described in the attached Schedules “K”, “L” and “M”, respectively. In addition, the Consultant agrees to complete all the necessary forms listed in the attached Schedule “N”.

TWENTY-SECOND: The Consultant shall use all reasonable means to avoid any conflict of interest with the County and shall immediately notify the County in the event of a conflict of interest. The Consultant shall also use all reasonable means to avoid any appearance of impropriety.

TWENTY-THIRD: This Agreement may be executed simultaneously in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument. This Agreement shall be construed and enforced in accordance with the laws of the State of New York. In addition, the parties hereby agree that for any cause of action arising out of this Agreement shall be brought in the County of Erie.

11 If any term or provision of this Agreement is held by a court of competent jurisdiction to be invalid or void or unenforceable, the remainder of the terms and provisions of this Agreement shall in no way be affected, impaired, or invalidated, and to the extent permitted by applicable law, any such term, or provision shall be restricted in applicability or reformed to the minimum extent required for such to be enforceable. This provision shall be interpreted and enforced to give effect to the original written intent of the parties prior to the determination of such invalidity or unenforceability.

TWENTY-FOURTH: This Agreement shall not be enforceable until signed by both parties and approved by the Office of the County Attorney.

12 IN WITNESS WHEREOF, The County of Erie and the Consultant have caused this Agreement to be executed.

THE COUNTY OF ERIE CONSULTANT

By: By: Name: Mark Poloncarz/Maria R. Whyte Name: Title: County Executive/Deputy County Executive Title: Date: Date:

Witness:

Approved as to Content Approved as to Form

By: Electronically Signed By: Electronically Signed Name: Thomas R. Hersey Jr. Name: Kristen Walder Title: Commissioner Title: Assistant County Attorney Date: Doc. No. Date:

Recommended:

By: ______By: ______Name: Gregory Gach______Name: Joseph Fiegl, P.E., BCEE Title: Deputy Comptroller______Title: Deputy Commissioner ______Date: ______Date:

On: Item:

13 UNIFORM CERTIFICATE OF ACKNOWLEDGEMENT

STATE OF NEW YORK ) ss.: COUNTY OF )

On the day of , the year , before me, the undersigned, personally appeared , personally known to me or proved to me on the basis of satisfactory evidence to be the individual(s) whose name(s) is (are) subscribed to the within instrument and acknowledged to me that he/she/they/ executed the same in his/her/their capacity(ies), and that by his/her/their signature(s) on the instrument, the individual(s), or the person upon behalf of which the individual(s) acted, executed the instrument.

UNIFORM CERTIFICATE OF ACKNOWLEDGEMENT

STATE OF NEW YORK ) COUNTY OF ERIE )ss.: CITY OF BUFFALO)

On the day of , in the year 20 , before me, the undersigned, personally appeared Mark C. Poloncarz, Erie County Executive/Maria R. Whyte, Deputy County Executive, personally known to me or proved to me on the basis of satisfactory evident to be the individual whose name is subscribed to the within instrument and acknowledged to me that he executed the same in his capacity, and that by his signature on the instrument, the entity or individual upon behalf of which the individual acted, executed he instrument.

Notary Public

14 SCHEDULE “A”

SCOPE / SPECIFICATIONS

General

For the purposes of this Agreement, the words or abbreviations listed shall have the definitions following; other terms not specifically defined shall be as commonly defined in the profession.

NYSDEC - New York State Department of Environmental Conservation

NYSEFC - New York State Environmental Facilities Corporation

USEPA - United States Environmental Protection Agency

ECDEP-DSM / County Erie County Department of Environment and Planning- Division of Sewerage Management

ECSD - Erie County Sewer District.

SPDES - State Pollutant Discharge Elimination System

AWTF - Advanced Wastewater Treatment Facility

ORF - Overflow Retention Facility

UFP - Updated Facilities Plan

TRC - Total Residual Chlorine

NFA - No Feasible Alternative

BACKGROUND

The Southtowns AWTF, located at S3690 Lakeshore Road, Erie County, New York became operational in December 1980. After many years of discussion and negotiations, the ECDSM and the NYSDEC came to terms on a new SPDES Permit (NY0095401) for the Southtowns AWTF in late summer of 2012, with an effective date in the fall of 2012. The “Schedule of Compliance” section of this SPDES permit included, amongst other conditions, the following studies:

A - 1  Total Residual Chlorine (TRC) Study: for more restrictive chlorine residual limitations on both the main outfall and ORF.  Ammonia Study: for new daily maximum ammonia limits on the main outfall.  Phenolics and Cyanide Study: for new cyanide and phenolics limits on the main outfall.  No Feasible Alternatives Analysis: addressing the utilization of the onsite ORF.  Facility Report: to develop a plan to convey and treat all peak flows and meet SPDES permit limitations.

In October 2015, the ECDEP-DSM submitted an “Updated Facilities Plan” (Arcadis and GHD) detailing the proposed Southtowns AWTF improvements necessary to meet the SPDES permit requirements. The “Updated Facilities Plan” included in its appendices previously submitted reports for the TRC Study, Ammonia Study, and Phenolics and Cyanide Study.

In September 2016, the NYSDEC issued a comment letter regarding the “Updated Facilities Plan” submission. The September 2016 NYSDEC comment letter primarily focused on the plant hydraulics and the amount of flow managed during various scenarios. The ECDEP-DSM and NYSDEC subsequently met several times to discuss the September 2016 comment letter and address various questions / concerns. In April 2017 the “No Feasible Alternative Analysis” (GHD) for the Southtowns AWTF was submitted to the NYSDEC. The “No Feasible Alternative Analysis” document further refined the upgrade plan and recommitted the ECDEP- DSM to implementing the improvements recommended in the “Updated Facilities Plan.”

After additional meetings and discussions with the NYSDEC, in September 2019 the ECDEP- DSM submitted an “Updated Facility Plan – Summary Letter Report” (Arcadis and GHD) providing further hydraulic and ammonia analyses and formally amending the October 2015 submission. The amended plan as presented in the “Summary Letter Report” updated the proposed improvements to be implemented, the proposed schedule, and cost estimate.

The phased approach as detailed in the “Updated Facility Plan – Summary Letter Report” is as follows:

Phase 1  Disinfection and Effluent Pumping Improvements: including ultraviolet (UV) disinfection or chlorination/dechlorination via a new chlorine contact tank and a new effluent pumping station  ORF/Outfall Modifications: including replacement of existing outfall diffuser ports, replacement of existing ORF discharge pipe, and construction of onshore hydraulic relief point.

Phase 2  Aeration/UNOX: including two (2) new UNOX tanks, new UNOX influent distribution chamber, various modifications to change the flow path and liquid depths in the UNOX system, new UNOX mixers, and general rehabilitation of existing tanks.  Bioclarifiers: including eight (8) new rectangular bioclarifiers and new distribution chamber.

A - 2 Phase 3 [not part of this RFP]  Solids handling: new gravity thickener, new thickener distribution chamber, thickener covers, and dewatering improvements.

In February 2020, the NYSDEC issued an approval letter for the “Updated Facilities Plan” as amended via the “Summary Letter Report.” The NYSDEC approval letter included a caveat regarding the dilution factors utilized in both the 2012 SPDES permit limitation calculations and the analyses completed for the “Updated Facility Plan – Summary Letter Report.” Additionally, the February 2020 NYSDEC approval letter included implementation schedule milestones that were concerning to the ECDEP-DSM. As a result, memorandums titled “Action Levels for Zinc, Copper, and Nickel; at the Southtowns Advanced Wastewater Treatment Facility – FINAL” (Arcadis and GHD, June 2020) and “Effect of Reduced Dilution Factor on Cyanide and Phenol in the Treated Effluent at the Southtowns Advanced Wastewater Treatment Facility” (Arcadis, August 2020) were completed to evaluate the impacts associated with these potential dilution factor changes. These memorandums were transmitted via an August 2020 ECDEP-DSM letter that also addressed the County’s concerns regarding the implementation schedule in the February 2020 approval letter.

In a September 2020 response letter, the NYSDEC verified the conclusions in the June 2020 and August 2020 technical memorandums and corrected/clarified the approved implementation schedule. The ECDEP-DSM responded via letter in October 2020 requesting additional consideration on the schedule impacts. Via a February 2021 e-mail, the NYSDEC updated the implementation schedule and confirmed a SPDES permit modification would be initiated.

There are several tasks related to the Southtowns AWTF expansion that are not yet complete but are anticipated to be finished by the close of summer 2021. These items are not part of the scope of services for this RFP, but the work products will be available for the selected consultant(s) use when the Southtowns AWTF Phase 1 and Phase 2 Expansion Project engineering work commences:  Re-formatting existing documents to meet the current NYSEFC report requirements.  An analysis and petition to the USEPA for a dilution factor greater than 10:1.  Internal and external inspection of the Southtowns AWTF outfall.  Evaluation of the TRC Study to make a final technology decision for Outfall 001 (UV disinfection or chlorination/dechlorination). Included in this evaluation will be collimated beam and UV-T testing, bench scale chlorination/dechlorination, and other data that may be used during design. Prior to the commencement of Phase 1 engineering work, the ECDEP- DSM will have decided on the technology to be implemented.

GENERAL

This invitation does not commit the County of Erie/Erie County Sewer District No. 3 to accept any proposal, nor does it obligate these entities for any costs associated with preparing or submitting proposal packages.

A - 3 Respondents are advised that the firm selected must be prepared to perform all services necessary for the successful completion of this project. However, the County may authorize only portions of the work at its discretion. The right to amend the scope of the work and subdivide or combine work is retained. The right to reject any or all proposals is also retained.

Note that the text below (specifically in the “Additional Details” section) presents general guidelines for ECDEP-DSM projects; however, certain items may not be applicable to this work. The Engineer shall detail their anticipated scope of services in their proposal using these general guidelines.

The design of the Phase 1 and Phase 2 improvements should satisfy the specific conditions and capacity limits as stated in the “Updated Facility Plan” and “Updated Facility Plan – Summary Letter Report”, as well as SPDES permit requirements. Further, all improvements shall be consistent with the guidelines as established in the latest edition of the “Recommended Standards for Wastewater Facilities” (10-State Standards) and the “ECDEP-DSM’s Construction Specifications”. Force main and pumping station structures, channels and wells shall be sized for 50 years of growth and process/mechanical equipment for a minimum of 20-year service life. All new building designs and/or building alterations shall comply fully with the requirements of the Americans with Disabilities Act of 1990 and International Building Codes, Electrical and Plumbing Codes. Gravity sewer system components shall be designed, and materials so designed and installed, shall provide service for 50 years of population and flow rate growth.

The record drawings of the Southtowns AWTF and ORF are available but not necessarily reliable. They do, however, represent the best information available. The Consultant shall field verify all dimensions, elevations and layouts prior to start of design work.

The design drawings for the project shall be prepared utilizing the latest version of AutoCad. At the completion of construction, the Engineer will be required to provide the owner with a copy of the AutoCad file(s) for the As-Built (Record Drawings) file(s) on CD or Flash drive.

If the consultant recommends or if their design of Phase 1 dictates the need to include any portion of the proposed Phase 2 improvements, the consultant shall notify the ECDEP-DSM at the earliest time as possible.

PROJECT

The ECDEP-DSM is interested in securing professional services for the design and construction of the Phase 1 and Phase 2 improvements detailed in the “Updated Facility Plan” and “Updated Facility Plan – Summary Letter Report.” The design shall include all replacement and/or modifications necessary to provide a fully functional system. The design shall meet all applicable codes and gain the final approval of the NYSDEC to construct. The scope of services

A - 4 will involve preparation of a design report, design documents, and the subsequent construction related services for installation of the project at the Southtowns AWTF and its ORF. The responses to this RFP shall include separate scopes and budgets for Phase 1 and Phase 2 improvements, respectively.

The recommendations from the “Updated Facility Plan” and “Updated Facility Plan – Summary Letter Report” shall serve as the basis for the proposed improvements; however, the selected consultant is expected to evaluate said recommendations. Respondents are encouraged to utilize their experience to develop cost effective solutions that best serve the long-term function and viability of the Southtowns AWTF and ORF. As just one example, the current recommendation for effluent pumping improvements includes a new building, new structure, and other modifications; however, the ECDEP-DSM would be willing to consider other solutions that could meet the necessary flow and hydraulic requirements and be done more cost effectively.

The following outlines a basic scope of work for both Phases of the project (except where noted). Please refer to the “Additional Details” section below for further information:  Task IA – Design Report: evaluate available documents to generate a final design report. Included in this report will be the results from any further modeling, evaluations, surveys, inspections, test results, etc. completed as part of this Project. The report shall detail final recommendations for the improvements to the Southtowns AWTF and ORF to meet the limits in the SPDES permit. This scope shall include submittal to the NYSDEC, addressing comments, and ultimately garnering regulatory approval. The report shall meet NYSEFC and NYSDEC Guidelines. A final cost estimate shall be provided, along with any schedule updates.  Task 1B – SEQRA: all services necessary to meet New York State Environmental Quality Review Act requirements.  Task II – Design Documents: based on the approved design report, develop design drawings, specifications, and other documents for bidding. This scope shall include submittal to the NYSDEC/NYSEFC, addressing comments, and ultimately garnering regulatory approval.  Task IIIA – Bid Phase: assist the ECDEP-DSM with bid phase services, up to and including award and execution of the contracts.  Task IIIB – General Services During Construction: assist the ECDEP-DSM with construction administration services. This shall include coordination amongst all involved with the project, including Southtowns AWTF operations, contractors from both Phases of the project (where applicable), the NYSDEC, etc.  Task IIIC – Resident Engineering: provide necessary observations and coordination during construction. It shall be assumed for the purposes of these proposals that full-time resident engineering will be required for the duration of the construction work.  Task IIID – Start Up: assist the County with understanding the operational features of the completed facilities upon commissioning.  Task IIIE – Post Operations and Maintenance: provide guidance after start-up of facilities. One year after initial start-up, certify to the County whether the facilities are meeting the intended design performance standards.  Additional Facility Needs Evaluation/Assessment (Phase 2 only): As part of the Phase 2 scope of services, a report separate and distinct from the proposed secondary treatment

A - 5 process improvements (bioclarifiers and aeration/UNOX system) is requested to summarize an evaluation and assessment of other facility needs at the Southtowns AWTF. Items to be evaluated include the electrical systems, overall backup power generation, IT infrastructure, physical plant, HVAC, office/laboratory/locker room space, and the like. The report shall include cost estimates and recommended staging of these other facility needs. It is expected Phase 3 improvements identified in the “Updated Facility Plan – Summary Letter Report” would be incorporated into this report for planning purposes. This evaluation/assessment shall be started upon notice to proceed for Phase 2 engineering services. After completion of the evaluation/assessment, the County may negotiate a revised scope and budget with the selected Phase 2 engineering firm/team to incorporate design and construction phase services for certain recommendations.

AVAILABLE DOCUMENTS

The ECDSM asks that respondents to this request for proposals review the information listed below and conduct supporting investigations as necessary, and develop their own scope of services for this project. The following documents are available for review by contacting William Lardo of the ECDSM at (716) 858-8760 or [email protected]:

 Updated Facilities Plan, Arcadis and GHD, October 2015  Appendix A – Lake Level Position Memorandum, Arcadis, April 2014  Appendix B - Southtowns Facility Plan Update – Total Residual Chlorine Study, GHD, October 2014 (TRC Study)  Appendix C – Southtowns Facility Plan Update – Ammonia Study Memorandum, Arcadis, December 2014 (Ammonia Study)  Appendix D – Southtowns Facility Plan Update – Cyanide and Phenol Position Memorandum, Arcadis, October 2014  Appendix E – Cost Estimates for Shortlisted Alternatives  No Feasible Alternative Analysis, GHD April 2017  UNOX Reactors 1 & 2 Evaluation, Greenman-Pedersen, Inc. January 2018  UNOX Reactors 3 & 4 Evaluation, Greenman-Pedersen, Inc. 2018  Updated Facilities Plan – Letter Report, GHD and Arcadis, September 2019  Southtowns AWTF Hydraulic Analysis, GHD, May 2019  Southtowns Facility Plan Update – Additional Ammonia Evaluations Memorandum, Arcadis, May 2019  Updated Facility Plan – approval correspondences  NYSDEC Letter, February 18, 2020  ECDSM Letter, August 13, 2020 . Action Levels for Zinc, Copper, and Nickel; at the Southtowns Advanced Wastewater Treatment Facility – FINAL, Arcadis and GHD, June 2020 . Effect of Reduced Dilution Factor on Cyanide and Phenol in the Treated Effluent at the Southtowns Advanced Wastewater Treatment Facility, Arcadis, August 2020  NYSDEC Letter, September 14, 2020

A - 6  ECDSM Letter, October 1, 2020  NYSDEC E-mail, February 26, 2021  Record Drawings – Southtowns AWTF and ORF

SCHEDULE

The schedule approved by the NYSDEC is as follows:

Phase 1  Design Complete: March 1, 2023  Construction Complete: September 1, 2025

Phase 2  Design Complete: March 1, 2025  Bioclarifiers Construction Complete: September 1, 2027  Aeration/UNOX Construction Complete: September 1, 2029

Note: the ECDEP-DSM had previously requested dynamic schedule milestones be provided as there are factors outside of the County’s control (specifically – NYSDEC review/approvals) that could impact these dates. The NYSDEC indicated in its September 2020 response letter that a Schedule of Compliance in a future modified SPDES would incorporate dynamic milestones to build in a regulatory review period. For the purpose of this RFP, respondents should assume the dates above shall be met.

Time is of the essence for completion of the “Additional Facility Needs Evaluation/Assessment” in Phase 2. Engineers shall submit a completion date within their proposals with an expedited schedule with said duration not to exceed 18-months from notice to proceed.

FUNDING

This Project may be eligible for assistance under the New York State Revolving Fund Loan Program. The Engineer will be required to comply with the requirements of the New York State Revolving Fund Loan Program, accordingly. The Engineer will be required to comply with the Minority and Women-Owned Business Enterprises/Equal Employment Opportunity Program requirements, and Service-Disabled Veteran’s Business Development listed under SCHEDULES K and L.

ADDITIONAL DETAILS

The text below presents general guidelines for Division of Sewerage Management projects:

IA. Design Report

A - 7 1. The Engineer shall prepare an Engineer’s Report establishing the criteria for design.

2. Review of available documents prepared for this project. The Engineer must determine to his/her own satisfaction that the design parameters are adequate and notify the County in writing of this determination.

3. The Engineer shall contact the NYSDEC to obtain the latest design standards for the project. The engineering report shall be prepared, stamped and dated by a NYS-registered professional engineer and developed in accordance with NYSEFC Guidelines and the following standards whenever practicable and as appropriate:

a. Recommended Standards for Wastewater Facilities, Latest Edition - Policies for the Design, Review, and Approval of Plans and Specifications for Wastewater Collection and Treatment Facilities.

b. TR-16 Guides for the Design of Wastewater Treatment Works, Latest Edition - New England Interstate Water Pollution Control Commission.

c. New York State Stormwater Management Design Manual, Latest Edition.

d. New York State Design Standards for Intermediate Sized Wastewater Treatment Systems Statewide (2014) and Lake George Design Standards (2015).

e. 6NYCRR Part 750.

There may be components described in the applicable standards that are pertinent to a project that are not addressed in this outline. The engineer preparing the report must ensure that applicable standards are addressed during the development of the report. Also, the Engineer shall contact the Erie County Department of Public Works to determine if any special local codes may be applicable to the planned improvements.

4. The Engineer shall conduct a thorough walk through of the entire project area to determine preferred site location for the proposed improvements.

5. Evaluate various options and alternatives

6. Prepare a preliminary site plan layout of the project facilities using an industry standard scale. It shall display the building, chamber, piping locations and the site limits. Also indicate, if applicable, the limits of the individual contract(s) if more than one (1) contract is proposed.

7. Make revision to preliminary layouts and the report after review by the County and the NYSDEC.

8. The Engineer shall forward report(s) to the NYSDEC and obtain their approval.

A - 8 9. The Engineer shall provide a minimum eight (8) copies of the design report. Four (4) shall be provided initially, after approval by the ECDEP-DSM, for submission to the NYSDEC and NYSEFC. The other four (4) copies shall be provided after State approval of the report. In addition, a pdf of the report(s) shall be provided to the county.

10. Provide an updated cost estimate and schedule for the project.

IB. SEQRA

1. Preparation of SEQR/SERP application and all documents necessary to meet the requirements of 6NYCRR, Part 617 State Environmental Quality Review.

II. Design Documents (Plans & Specifications)

1. Topographical maps shall be prepared in accordance of industry standards.

2. Obtain soil borings where the Engineer determines a need or as directed by the County. Soil boring shall be witnessed by the Engineer and a copy of logs shall be included with final bid plan sets.

3. The Engineer shall analyze the soils information and his/her findings shall be contained in a bound soils report. Also, lab tests on undisturbed samples shall be performed if soft or potential compressible subsoils are encountered below the structure base to determine the effect on the design. All construction documents released for bid shall identify that these documents are available for public inspection.

4. Prepare final plans and specifications in such a manner which satisfies the approved contract limits developed in the Design Report. All contract specifications shall be prepared to comply fully with the requirements of New York State Municipal Law. If required by State Law, the Consultant shall prepare a separate contract proposal section for each of the required building trade group(s).

5. County’s standard contract documents and detail sheets may be utilized in the preparation of the project’s contract bid documents. The Consultant may modify these standards but such changes are subject to the approval of the ECDEP-DSM.

6. Prepare for the County’s review and approval a list of the Consultant’s recommended manufacturers for each major equipment item.

7. Prepare a shop drawing submittal schedule. The schedule shall list all item which will require a shop drawing submittal/approval. The listing shall be subdivided by each Division of the specification and contain a cross-reference to the Section and Item Number. The shop drawing schedule should be submitted to County with the final plans and specifications.

A - 9

8. Prepare final plans and specifications for bidding. The drawings shall be clear and legible and prepared utilizing the appropriate scale.

9. Make application and obtain or cause to be obtained all the necessary permits and/or approvals from all involved entities such as but not limited to the Army Corp of Engineers, Office of General Services, NYSDEC, NYSEFC, Erie County Department of Public Works, Railroads, EPA.

10. Prepare detailed cost estimates based upon final plans and specifications. Such cost estimates shall be made available to the County upon completion of design. The estimate shall be broken down in a manner which individually lists the costs of all major equipment items. Also, cost estimates shall be updated one (1) week prior to advertising the project for construction bids.

11. Forward plans and specifications to the NYSDEC/NYSEFC for purpose of receiving the State’s approval to construct.

12. The Engineer shall supply as many sets of plans and specifications for NYSDEC’s and NYSEFC’s review to gain approval.

13. Assist ECDEP-DSM in securing approval of final plans and specifications by NYSDEC and any other affected controlling/involved agency.

14. Make modifications to plans and specifications based upon review by the NYSDEC, NYSEFC, USEPA, Army Corp of Engineers and final review of ECDEP-DSM.

15. Upon completion of the design phase, the electronic files of the plans and specifications shall be provided to the ECDEP-DSM prior to bidding.

16. See Schedule “A-1” for additional guidance.

III. Construction Phase

The construction phase is broken up into five (5) separate tasks/functions:

A. Bid Phase B. General Services C. Resident Engineering D. Start-Up E. Post Operation and Maintenance

A. Bid Phase Services

1. The Engineer shall assist the County during the bid process i.e., administer the pre-bid meeting, prepare meeting agenda and minutes. Prepare, process, and distribute all

A - 10 contract addenda which may be necessary during the bid period.

2. Assist the County in securing bids for this project and make a written recommendation with regard to the award.

3. The County will be bidding this project online. The Engineer will be responsible for providing a *.pdf copy of the bid sets (plans and specifications for each contract) for the County’s online bidding system. A maximum of ten (10) bid sets of plans and specifications for each contract shall be provided by the Engineer. Additional copies shall be supplied and distributed at cost.

B. General Services

Consultant shall provide construction phase services including, but not limited to, the following:

1. A representative of the Engineer, familiar with the project’s design, shall be present at and conduct the pre- and progress Construction Meetings. Engineer shall also prepare and distribute agendas and minutes for each meeting. The Engineer shall hold and chair coordination meetings with all contractors and the County on a bi-weekly basis or as warranted.

2. Obtain from the contractors a construction schedule (Bar Chart Type) which shall indicate his/her complete operation as it pertains to this project. Review said schedule for conformance with the contract documents and engineering services during construction. If additional subsystems are required to further clarify the construction process, the Engineer shall instruct the contractor accordingly. Affix to the schedule a stamp indicating the Engineer’s approval/disapproval.

3. Provide services of an officer, licensed engineer, and/or other engineers as needed, who will observe on a bi-weekly basis the construction to see that it conforms to the requirements of the plans and specifications. The engineer shall promptly report the findings of his/her observation to the County in writing.

4. Prepare a shop drawing submittal, review and acceptance schedule. Maintain the shop drawings acceptance schedule on a daily basis. Any slippage on the part of the Contractors shall be recorded with a written notification to the contractor sent out immediately.

5. Review all shop drawings submitted by the contractor and manufacturer of equipment and affix to the shop drawings a stamp indicating the results of the review (approved/disapproved). If equipment suppliers/contractors propose changes from those specified in the bid documents, investigations by the Engineer shall be made to evaluate proposed changes, including visits to sites where similar equipment is in operation.

a. In cases where such investigations will cause excessive man-hour use and

A - 11 expense, the Engineer shall promptly notify the County. Such costs shall be borne by the Engineer, Contractor, and/or Supplier. In the cases where the Engineer fails to notify the County, the Engineer will be responsible for all additional costs.

6. Review the contractor’s requests for substitution of equipment and materials with the County and make appropriate recommendations to the County.

7. Witness and/or review appropriate tests for materials and equipment as submitted by contractor for acceptance and reject those that fail to meet the specification or standards of quality required by the contract documents.

8. Assemble all guarantees, warranties and similar items required by the contract documents.

9. Provide a detailed stakeout showing all benchmarks, reference lines, chambers, control points, grade, etc., which are required for the construction of said facilities. The scheduling of the stakeout shall be in conformance with the Contractor’s approved construction schedule. The Engineer shall provide cut-sheets and grade stakes at for an appropriate grid.

10. Prepare a draft electronic Operation and Maintenance (O&M) Manual. After review of the Manual by the ECDEP-DSM, the Engineer shall make the necessary revisions and resubmit. Furnish the County five (5) printed copies of the final manual along with the electronic file on a CD-ROM or flash drive. Said manual shall include manufacturer’s information and shop drawings in electronic format.

11. Assist the Contractor and Resident Engineer in preparing bid breakdown for purposes of subsequent payment requisitions. Check monthly estimates for payment to the Contractor as prepared by the Contractor and checked by the Resident Engineer and certify the same for payment. In certifying for payment, the Engineer insures that no payment is for more than the value of the work already completed.

12. Review and make appropriate written recommendations to the County with respect to Contractor claims relating to a design change, differing site conditions and/or additional compensation due to alleged delays.

13. Advise, review and recommend, where applicable, any change order(s) to the contract that are in the best interest to the County or requested by the Contractor.

14. The Engineer shall prepare written parallel estimates to substantiate costs with respect to change orders and/or cost breakdowns furnished by the Contractor.

15. Prepare and process, with the assistance of the County all change orders.

A - 12 16. Prepare and distribute agendas and minutes for regular progress/coordination meetings to all concerned parties.

17. Issue supplemental drawings to further explain the intent of plans and specifications when necessary.

18. Prepare and distribute written responses to all RFI’s, field clarifications, memos and bulletins that may be required.

19. Attend other project related meetings as requested by the County and/or as dictated by the project’s progress/needs and provide minutes thereof.

20. Make recommendations to the County pertaining to special consultants and specialty inspection.

21. The County will retain the services of a third-party consultant to perform any specialty inspection required.

22. Cooperate with Erie County Department of Public Works representatives.

23. Review retention money clauses of contracts and make recommendations to the County with respect to release of any retained funds.

24. Receive, review and forward to the County with recommendations, all relevant documents such as release of liens, claims, etc., prior to preparation and the issuance of the certificate of final completion.

25. Establish procedures and coordinate arrangements between the County and the Contractors with respect to the start-up of constructed facilities, operation and maintenance, protection of existing utilities, contractual insurance, right-of-entry(s), start of guarantee period, etc., including but not limited to the following matters:

a. Owner occupancy and/or use upon substantial completion of an active construction contract.

b. Owner occupancy and/or use upon completion of separate contract work prior to completion of total project.

26. Provide services to assist the Contractors and Resident Engineer in checking out the completed facilities for ready-to-serve status and commencement of testing. Also provide services for assisting the contractor and the County to perform hydraulic and process tests of the completed facilities. No training of plant personnel is included under this item.

27. The Engineer shall maintain an accurate record of all design changes made during construction. (NOTE: The Engineer shall not be dependent on any information from the

A - 13 contractors to complete this work task.) At the end of construction, the Engineer shall utilize this information and revise the contract drawings to show the improvements as finally constructed. Provide the ECDEP-DSM with one complete e-file of AutoCad set of as-built drawings (Record Drawings) along with all applicable external referenced drawings, images and Pen Settings. A flash drive or CD is acceptable. The as-built drawings shall be signed and stamped by a NYS licensed professional, see sample certification at the end of SCHEDULE “A”.

28. Certify at the completion of the project that the facilities have been built, and are operating, in accordance with the Planning Documents, Design Analysis Report and the plans/specifications for the project.

C. Resident Engineering Services

1. Pursuant to the needs of the project and for the number of calendar days allowed by the Construction Specifications, the Engineer shall provide an on-site Resident Engineer and Assistants to coordinate the day-to-day construction. These individuals will observe the construction to ensure conformance with the plans and specifications and monitor the Contractor’s performance pursuant to approved construction schedule.

2. The Engineer shall continuously monitor and approved construction schedules and provide updating information to the County and assistance to the contractors for the purpose of overcoming or controlling slippages. In cases where the Contractor is falling behind schedule, the Engineer shall promptly issue a written notice to the Contractor advising him/her of this fact.

3. Act as the County’s advisor and liaison and coordinate the activities of all Contractors in accordance with the construction schedule which has been accepted by the Contractors and the Engineer. This will include the monitoring of the adequacy of each Contractor’s personnel and equipment in relation to his/her progress in accordance with the schedule and making of recommendations for actions when required.

4. The Engineer shall maintain a shop drawing acceptance schedule on a daily basis. Approved shop drawings shall be duly recorded on the schedule with a copy of the approved drawing placed in a construction file for future reference.

5. Regulate use of site and building area with respect to storage of materials, temporary offices, storage sheds, parking, traffic control, etc.

6. Monitor the daily performance of the contractor(s) to insure compliance with the plans, specifications and applicable permits. Observation will involve all aspects, directly or indirectly associated with the project. It shall include but not be limited to, the installation of the proposed improvements/appurtenances and

A - 14 repair, if need be, of storm sewers, roads, lawns, driveways, water lines and other existing utilities damage and/or disturbed during construction.

7. Inspect material/equipment deliveries to the job site to insure compliance with the approved shop drawings.

8. Perform spot grade checks on the installed improvements to verify line and grade.

9. Monitor the contractor’s method of construction to insure his/her construction activities are conducted within the dedicated right-of-way and/or easement areas as shown on the contract plans.

10. Prepare a daily observation report(s) which will describe, in detail, the contractor’s performance for that particular day, the on-site equipment, size of labor force, etc.

11. Monitor the contractor’s operation for compliance with the Maintenance and Protection of Traffic Section of the specification and governing permit conditions.

12. Prepare parallel monthly construction pay estimates which indicate the construction completed to date. Certify that the amount of payment does not exceed the value of the work in place.

13. Coordinate all required shutdowns/tie-ins and other tasks involving operational systems with Erie County Sewer District No. 3 personnel.

14. Coordinate and witness the final testing of the in-place improvements as required by the contract specifications.

15. Maintain a detailed daily journal of all on-site activities and visitors.

16. The Engineer shall take progress photos (digital) during the course of construction. The Engineer will be required to review the photos and place a reference station or small description for each photo in a photo log. The file name of each photo shall be the reference station for each photo. The photos shall be given to the County at the project’s completion in digital format (jpeg), and the DVD/ CD or flash drive shall contain the photo log file for all photos.

17. Maintain complete and accurate job records of all correspondence, memoranda, supplemental drawings, field clarification memos, change orders, shop drawings, supplemental equipment brochures and monthly payment estimates together with appropriate backup information. At the end of the project, one copy of all material will be submitted to the County for its records. In addition, the Consultant shall provide a copy in digital format in both Portable Document Format (PDF) and Tagged Image File Format (TIFF) image formats.

A - 15 18. Prepare a monthly construction report for the County detailing all activities that took place during the prior month.

19. Cooperate with local municipal representatives.

20. Monitor cleanup activities of all Contractors and coordinate such activities with provisions in the respective contract documents.

21. Prepare punch-lists and monitor Contractor’s activities as required to effect prompt correction of all items listed.

D. Start-Up Services

Provide services to assist the County with understanding the operational features of the completed facilities. The Consultant shall provide and/or schedule training services.

E. Post Operation and Maintenance Services

During the first year of operation, the Consultant shall provide the following services.

a. Conduct two on-site tours with the Owner to observe the operation and performance of the facilities. The dates and time of the scheduled tours will be determined at a later date.

b. Based on the Consultant’s observations, make recommendations to the Owner and, where applicable, amend the Operation and Maintenance Manual.

c. One year after initial start-up, certify whether the facilities are meeting the intended design performance standards.

A - 16 SCHEDULE “A-1”

DEPARTMENT/PROJECT SPECIFIC REQUIREMENTS

1. GENERAL PROVISIONS

A. Engineer Licensed

The Engineer represents that it is licensed and authorized to practice engineering in the State of New York, and there shall be attached to the plans and specifications a licensed engineer’s seal and a licensed surveyor’s seal where applicable.

B. Plans and Files

1. All approved original drawings prepared by the Consultant shall become the property of the County.

2. Plans are to be prepared and provided to the ECDEP-DSM, utilizing the latest AutoCad Version.

3. The Engineer shall supply as many sets of Plans and Specifications for review by the ECDEP-DSM that are necessary to gain approval from various regulatory agencies. In addition, the Engineer shall provide a *.pdf copy of the plans/specifications for the County’s online bidding system and a maximum of ten (10) sets per prime contract of approved Plans and Specifications. A complete bid set of documents includes a full set of plans and specifications, reference drawings and supplemental data and an additional bid proposal section(s) bound separately. Additional sets of approved Plans and Specifications needed for bidding shall be provided by the Engineer at cost.

4. The Engineer shall make available at the County’s place of business, on request, its complete design file including all computations related to the Project.

C. Assistance and Exchange Data

1. The County shall direct its officers, agents and employees to render all reasonable assistance and provide available data to the Engineer in connection with its performance under this Agreement.

The Engineer shall have the duty to make independent inquiry as to the reasonable correctness of such data if the correctness thereof appears doubtful on its face to the Consultant.

2. The Parties hereto agree to furnish to the other Party copies of previous reports, data and drawings which may be available and as may be pertinent to the Project. All such data,

A-1-2 reports, data, drawings and any other documents and information provided shall be returned to its owner.

3. Information provided to the Consultant for the project shall be held in confidence by the Consultant and used only for the project that is the subject of this Agreement. Sharing of information provided by the County for this project with subcontractors, other consultants, manufacturers and potential suppliers or vendors shall not be done without the express advance written authorization of the County.

4. The Engineer shall not reproduce or copy information supplied to him/her by the County for this project without the express advanced written permission of the County. Where retaining a copy of information supplied by the County is required by Law or an internal retention policy, the Consultant shall so inform the County, in writing, of such copying or reproduction, the requirement of the law and the Consultant’s procedures for confidentiality and for release of such information to third parties. The Consultant shall keep such copied or reproduced information confidential to the extent possible.

D. Design/Construction Survey

All members of the survey crew engaged in work on this project shall be paid in accordance with the New York State Wage Rate Schedule. The Engineer and its subcontractors will be required to furnish the ECDEP-DSM with duplicate copies of their certified payrolls. Payrolls displaying the survey manhours are to be submitted on U.S. Department of Labor Payroll Form WH-347.

E. Progress Reports

The Engineer shall submit written progress reports to the County on a monthly basis during design, and during construction. Oral reports shall be made on request. The County may amend the reporting schedule at its pleasure at any time upon written notice to the Consultant, except that the frequency of submitting written progress reports shall not be made more frequent than weekly. During design, a monthly meeting shall be held at the offices of the County or another location which is to be determined by the ECDEP-DSM to discuss the project.

F. Release of Data

All plans, estimates and other data prepared under this Agreement shall be released only to the County or the County’s designee. The Engineer shall hold in confidence the plans and related information prepared under this agreement and shall advise its subcontractors of this requirement. Release of plans, estimates and other data to third parties shall be subject to written approval by the County. The Engineer shall keep a record of its release of plans and related information and make available such record upon request by the County.

A-1-3

G. Equipment Purchases

1. The Engineer shall purchase for the County such materials, equipment of services if required to perform work in accordance with written authorization given by the County to the Engineer. Materials or equipment charged to the County under this Agreement shall be used only for work on this Project.

2. The Engineer will deliver to the County at the completion of this contract, all materials and equipment for which the County has paid, in the same condition as when acquired except for normal wear and tear during use.

H. Limitations

1. Since it is recognized that the Engineer has no control over the cost of labor, materials or equipment, or over Construction Contractor(s) method of determining prices, or over competitive bidding or market conditions, the estimates of probable Project Cost of Construction provided for herein are to be made on the basis of experience and qualifications and represent the Consultant’s best judgement as a design professional familiar with the construction industry, but the Engineer shall not be required to guarantee Construction Cost.

2. It is recognized that the Engineer cannot guarantee the performance or the safety of the construction work by the Contractor nor can it assume any responsibility for the contractor’s failure to perform without defects or deficiencies. Provided, however, that nothing herein shall modify the duties of the Engineer as are set forth herein to observe and review construction of the contract, to require the contractor to conform with the requirements of the Plans and Specifications and to report to the County any deviations by the contractor of which it becomes aware or in the course of reasonable care should be come aware.

3. The Engineer shall be responsible only for its decisions or actions during the course of construction of the Project. The Consultant shall not be held responsible for any decision or action made by the County without the Consultant’s prior knowledge and consent.

I. Time Extension

1. Each and every obligation of the Engineer under this Agreement shall be subject to the following force majeure clause: If, because of an act of God, war, strike, riot, catastrophe or other condition, including official action or delay of governmental bodies, delay of contractors or any other condition beyond the control of the Engineer, the Engineer cannot comply with the obligations or schedules in this Agreement, the Consultant may apply in writing to the County for an extension or modification of such obligations or schedules within a reasonable time after it obtains knowledge of such facts. Such application shall contain a specific justification for the required extension or modification and upon establishment of any of the conditions set forth above, the Engineer shall be

A-1-4 entitled to such relief as may be reasonable under the circumstances, including waiver by the County of the liquidated damages provisions as set forth in paragraph B of Schedule C.

J. Compliance with Laws

The Engineer specifically agrees to comply fully with the rules and regulations as stated in OSHA 29 CFR, Parts 1910, as it may be amended. The Engineer shall have in-place and will implement a Confined Space Program for its activities which adheres fully with these requirements. The Engineer will be solely responsible for its established Confined Space Program and the coordination of such with its subcontractors.

K. Minority Business Enterprise (MBE) and Women Business Enterprise (WBE) Participation

This Project will likely be partially or fully funded by the NYSDEC/NYSEFC. Therefore, the Engineer will be required to comply with the NYSDEC & NYSEFC requirements for the Minority and Women-Owned Business Enterprises/Equal Employment Opportunity Program requirements and Service-Disabled Veteran’s Business Development as described in the attached Bid Packet for Non-Construction Contracts and included in Schedules “K”, “L”, “M” and “N”.

2. SPECIAL PROVISIONS

A. Penalties

If as a result of inadequate design, the installed facilities do not meet the applicable performance standards, then any money that may be due the Engineer will be withheld under either a satisfactory bond that guarantee corrective measures are undertaken to make the facilities meet the design condition is provided and, if the bond is not available, the same corrective measures are undertaken by the Engineer. All costs of further testing shall be borne by the Consultant. As soon as all the facilities have been tested to meet the conditions specified herein, the County shall issue a certificate of acceptance and release the retained funds.

A-1-5 SCHEDULE "B"

STANDARD INSURANCE PROVISIONS

SCHEDULE “C”

TIME OF COMPLETION

A. Time Schedule

The Consultant shall complete the work as listed in Schedule A of this Agreement or, as mutually agreed to in writing via a Work Order with the DEP, for each assigned project within a time frame developed by the Department of Environment and Planning for each Work Order.

A. Time Schedule

Assuming a “Notice to Proceed” is issued by November 1, 2021, the consultant shall complete the work as listed in Schedules “A” and “A-1” of the Agreement according to the following schedule:

Phase 1 Task IA Design Report ( _ months) Task IB SEQRA, concurrent with IA, above ( _ months) Task II Design Documents ( _ months) Task III A, B, C, D, E Construction ( _ months) [Note: schedule shall adhere to NYSDEC approved milestones]

Phase 2 Additional Facilities Needs Evaluation/Assessment ( _ months) Task IA Design Report ( _ months) Task IB SEQRA, concurrent with IA, above ( _ months) Task II Design Documents ( _ months) Task III A, B, C, D, E Construction ( _ months) [Note: schedule shall adhere to NYSDEC approved milestones]

Each time period shall begin from the County’s Notice to Proceed or the Consultant’s first date of work on that date if no formal notice is given.

B. Liquidated Damages

Time is of the essence on this project. If through the actions of omissions of the Consultant, the Design Phase work is not completed (as defined by the ECDEP-DSM) by regulatory required deadlines, the Consultant shall refund the County an amount equal to ten percent (10%) of the total amount budgeted for the work included as part of this Agreement. Furthermore, if the work above is not approved by the New York State Department of Environmental Conservation due to a negligent error or omission of the Engineer, the same liquidated damages may apply.

SCHEDULE “D”

DETAILED DESCRIPTION OF COMPENSATION

The Consultant shall be compensated for completion of the services as described in Schedules “A” and “A-1”, as follows.

I. Total Compensation Breakdown

Payment for services is broken down into contract phases with payment for each phase being separately authorized.

(1) The agreement costs for Phase-1 are as follows:

Total Cost Fixed Fee Cost Ceiling* (Profit)* (IA) Design Report

(IB) SEQRA

(II) Design Documents

(III) Construction Phase:

(IIIA) Bid Phase

(IIIB) General Services During Construction

(IIIC) Resident Engineering

(IIID) Start Up Services

(IIIE) Post Operation and Maintenance

Totals – Phase 1

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(2) The agreement costs for Phase-2 are as follows:

Total Cost Fixed Fee Cost Ceiling* (Profit)*

Engineering Report– Additional Facility Needs Evaluation / Assessment

(IA) Design Report

(IB) SEQRA

(II) Design Documents

(III) Construction Phase:

(IIIA) Bid Phase

(IIIB) General Services During Construction

(IIIC) Resident Engineering

(IIID) Start Up Services

(IIIE) Post Operation and Maintenance

Totals – Phase 2

NOTE: * Cost Ceiling and Fixed Fee (Profit) are for cost plus fixed fee basis.

(3) The costs listed above assume that the Notice to Proceed for the earliest phase of the project as listed above is given by the County to the Engineer by November 1, 2021 . In the event the Notice to Proceed is given after the date, the Engineer is to notify the County within two weeks if the delayed Notice to Proceed will result in increased engineering costs. Any increase in costs as a result of a delayed Notice to Proceed is subject to negotiations.

II. Cost Computation Method

The methods of Computing Cost are specified in section II (1) thru II (8) herein and in the attached Cost Summary Format for Engineering Agreements.

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(1) Direct Labor Cost

Direct Labor cost shall be the actual wages paid to technical employees for the time actually devoted to the work on the project. Technical employees shall include the following categories:

Officers* Engineers Technicians Surveyors Draftsmen Secretarial Staff

*NOTE:

Officers and administrative staff salaries may be billed and paid as a direct expense for the time such officer/administrative staff is engaged in productive technical services on the project under this Agreement. An officer is defined as a Vice-President or higher ranked officer, owner, partner or any other person empowered to sign contracts on behalf of the Engineer.

The following categories of employees shall be included in indirect costs (overhead):

Officers (engaged in administrative or supervisor activities)

Accounting Staff

Other employees, such as, secretarial, CAD operators, etc. shall be included in indirect costs unless identified in the Consultant’s cost summary form as Direct Labor and approved by the County.

(2) Direct/Indirect Overhead Cost

Overhead Costs shall be computed as a percentage rate of the actual wages paid to employees associated with the project. This overhead cost is to cover employee benefits such as holiday pay, vacation, sick leave, unemployment insurance, excise and payroll taxes, social security, employee medical and life insurance and retirement benefits, all as normally provided to the Engineer’s employees. Also, the composite overhead rate shall consider all “indirect” expenses associated with the operation of the engineering office such as rent, utilities, office equipment, computers (Hardware/Software), telephone equipment and usage fees, printing, internet and web hosting fees, CAD Workstations, xerox copying, supplies, executive salaries, accounting, legal, clerical support salaries, etc. The following composite overhead rates have been established for this contract:

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a. For the Engineer’s employees whose basic work assignments are in the offices of the Engineer, the Engineer’s overhead shall be computed at a rate of percent of the actual wages paid to the employees associated with the project.

b. For the Engineer’s employees whose basic work assignments are not in the offices of the Engineer, such as at the County’s offices or at the construction field offices supplied by a Contractor (resident engineering services), the Engineer’s overhead shall be computed at a rate of percent of the actual wages paid to employees associated with the project.

c. For the Engineer’s employees on overtime (defined as work time exceeding 40 hours per employee per given week), if prior approval in writing has been granted by the County, the cost shall be computed at the employee’s hourly rate, multiplied by the total hours over 40 in a week, and then multiplied by the overtime premium provided to the employee (not to exceed 1.5). Overhead will not be applied to the overtime hours. The maximum profit for the overtime shall not exceed 5%.

(3) Overhead Rates

The above stated overhead rates are fixed for the period of time indicated on Schedule “C” and further defined below. Thereafter, the rates are subject to adjustment upon audit, except that the maximum increase in overhead rate shall be fifteen percent (15%) of the rate(s) listed above.

The overhead rate(s) contained in the attached cost summaries are for the period from to . .

(4) Other Direct Costs

Direct identifiable Project related costs, subject to prior approval by the County shall be reimbursed as follows:

Travel, Auto at current Erie County rate

Travel, Other at cost

(5) Travel

During the construction phase of the project, the Project Engineer and/or Resident Engineer (inspector) will be required to report directly to the assigned construction site, field trailer or District Office. Mileage from the Engineer’s Office and/or the inspector’s home to the work site/field office, will not be a billable item under the terms of this agreement. Also, mileage associated with the

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personal travel and mileage to and from lunch is NOT billable under this agreement.

(6) Subcontracts

The following County approved subcontracts to this Agreement will be paid by the Engineer and billed to the County at cost plus mark-up as listed in the attached “Cost Summary Format for Engineering Subagreements”:

Subcontractor Name Cost w/o Mark-Up

The use of substitute or additional subcontractors are subject to prior written approval by the County.

(7) Other Costs

Other direct costs (if any) not heretofore identified are specifically enumerated hereinafter.

(8) Profit

(a) Profit for Facility Planning, Preliminary & Final Design and General Services During Construction

For these specific phases of the Agreement, profit, sometimes called a fixed fee, shall be a fixed amount. In the billing for profit, the Engineer understands the amount of billed profit shall be prorated based on the percentage of the work completed to date as determined by the County. The fixed fee is only paid in full for completed Phases in which the agreed upon work products are delivered to the County. At the completion of each Engineering Phase and subject to the approval of the County, the Engineer may bill for the profit remaining in that specific contract phase.

(b) Profit for Resident Engineering, Startup and Post Operation Services

For these specific phases of the Agreement, profit shall be included as a percentage of direct and indirect costs. The Engineer’s allowable profit should be an amount equal to the approved percentage as applied to the technical services provided by the Consultant and approved by the

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County. The approved percentage for this project is . The Engineer understands the amount of profit listed for these phases is not to be construed as a fixed fee.

The amount of profit identified in the Agreement cannot be increased unless there is a formal amendment/change order increasing the scope of work.

Profit is computed on straight time wages and no profit is paid on the overtime premium portion of wages.

Profit on other Direct Costs, such as subcontractors, other than travel is limited to 5%. Profit on travel is zero.

(d) Total

The sum of direct labor, indirect/direct overhead, other direct costs, subcontracts, other costs (if any) and profit shall not exceed the total price entered in the Agreement. The total price of this agreement cannot be exceeded unless there is a formal amendment/change order to the agreement.

(9) Lump Sum Method

Whenever a Lump Sum method of compensation is stipulated in Schedule “D”, of the Agreement, the Engineer shall submit monthly invoices for services rendered. The invoices shall be based upon the Engineer’s estimate of the services actually completed at the time of the billing, subject to the approval of the County.

(10) Per Diem Rate Method

Whenever the Per Diem Rate method of compensation is stipulated in Schedule “D”, of the Agreement, the Engineer shall submit monthly invoices for the services rendered. The invoices shall be based upon the actual accrued engineering manhours at the time of billing, subject to the approval of the County.

In the case of the on-site Resident Engineer and Project Inspectors, the Engineer will be compensated at the per diem rate of for the Resident Engineer, and for the Project Inspectors. To establish the payroll record, the Engineer shall maintain a daily sign in/out attendance sheet in the Construction Field Office. Further, the Resident Engineer and Project Inspectors overtime hours will be at the above noted per diem rates. No premium rates will be considered.

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The Engineer’s approved miscellaneous expenses such as mileage or specialty subcontractors will be handled in a fashion as described in Section II of Schedule “D”.

III. Project Costs/Total Compensation

The Engineer’s reimbursement under this Agreement shall be subdivided by contract phase as listed in Section I of this Schedule “D” and as listed on the attached “Cost Summary Format for Engineering Agreements” and attachments.

Total Compensation

1. The total amount of compensation to be paid by the Owner, and which the Engineer agrees to accept as full compensation for all services under this Agreement is . The above compensation shall be subdivided as indicated below.

2. It is agreed that the total compensation for services rendered for Task I, as detailed in Schedule A, shall be at a cost-plus fixed fee. The total compensation for services rendered for these phases of the work shall not exceed $______which is made up of a cost ceiling in the amount of ______, a fixed fee (profit) in the amount of ______and a contingency amount of ______. The contingency may only be applied to services rendered.

3. It is agreed that the total compensation for services rendered for Task II, as detailed in Schedule A, shall be at a cost-plus fixed fee. The total compensation for services rendered for these phases of the work shall not exceed $______which is made up of a cost ceiling in the amount of ______, a fixed fee (profit) in the amount of ______and a contingency amount of ______. The contingency may only be applied to services rendered.

4. It is agreed that the total compensation for services rendered for the Engineering Report– Additional Facility Needs Evaluation / Assessment (Phase 2 only), as detailed in Schedule A, shall be at a cost-plus fixed fee. The total compensation for services rendered for these phases of the work shall not exceed $______which is made up of a cost ceiling in the amount of ______, a fixed fee (profit) in the amount of ______and a contingency amount of ______. The contingency may only be applied to services rendered.

5. It is agreed that the total compensation for services rendered for Task IIIA, as detailed in Schedule A, shall be at cost plus a fixed fee. The total compensation for services rendered for this Phase of the work shall not exceed $ which is made up of a cost ceiling in the amount of $ and a fixed fee (profit) in the amount of $ .

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6. It is agreed that the total compensation for services rendered for Task IIIB as detailed in Schedule A, shall be on an hourly rate basis computed to include direct labor cost, direct/indirect overhead cost and profit. Other direct costs, subcontractors costs and travel costs may be applied to calculate total compensation for this phase but only to the extent that prior written approval has been provided by the County. The hourly rate shall be developed for each employee that provides service for this phase based on actual direct labor cost, direct/indirect overhead cost and profit. The allowable direct/indirect overhead rate and percent profit shall be as defined in Schedule D. The total compensation for services rendered for this phase of the work shall not exceed $ .

7. The total compensation for any Task of the project cannot be increased without a formal amendment/change order to the contract. The formula and rates which will be utilized in billing is detailed in Schedule C attached hereto and made part hereof.

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SCHEDULE “E” COST SUMMARY FORM

COST SUMMARY FORMAT FOR ENGINEERING SUBAGREEMENTS

PART I - GENERAL

1. OWNER 2. PROJECT NO.

3. NAME OF CONSULTANT 4. DATE OF PROPOSAL

5. ADDRESS OF CONSULTANT (Include Zip Code) 6. TYPE OF SERVICE TO BE FURNISHED

PART II - COST SUMMARY

7. DIRECT LABOR (specify labor categories) ESTIMATED HOURLY ESTIMATED TOTALS HOURS RATE COST

DIRECT LABOR TOTAL

8. INDIRECT COSTS (specify indirect cost pools) RATE x BASE ESTIMATED COST

INDIRECT COST TOTAL

9. OTHER DIRECT COSTS ESTIMATED COST

a. TRAVEL

TRAVEL SUBTOTAL

b. EQUIPMENT, MATERIALS, SUPPLIES QTY. COST ESTIMATED (specify categories) COST

EQUIPMENT SUBTOTAL

c. SUBCONTRACTS ESTIMATED COST

SUBCONTRACTS SUBTOTAL

d. OTHER (specify categories) ESTIMATED COST

OTHER SUBTOTAL

e. OTHER DIRECT COSTS TOTAL

10. TOTAL ESTIMATED COST

11. PROFIT

12. TOTAL PRICE

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PART III - PRICE SUMMARY

13. COMPETITOR'S CATALOG LISTINGS, IN-HOUSE ESTIMATES, PRIOR MARKET PROPOSED QUOTES PRICE(S) PRICE (Indicates basis for price comparison)

PART IV - CERTIFICATIONS

14. CONSULTANT

14a. HAS A FEDERAL, AGENCY OR A FEDERALLY CERTIFIED STATE OR LOCAL AGENCY PERFORMED ANY REVIEW OF YOUR ACCOUNTS OR RECORDS IN CONNECTION WITH ANY OTHER FEDERAL GRANT OR CONTRACT WITHIN THE PAST TWELVE MONTHS?

 YES  NO (If YES, give name address and telephone number of reviewing office)

14b. THIS SUMMARY CONFORMS WITH THE FOLLOWING COST PRINCIPLES

14c. This proposal is submitted for use in connection with and in response to: (1) . This is to certify to the best of my knowledge and belief that the cost and pricing data summarized herein are complete, current and accurate as of (2) and that a financial management capability exists to fully and accurately account for the financial transactions under this project. I further certify that I understanding that the subagreement price may be subject to renegotiation and/or recoupment where the above costs and pricing data have been determined, as a result of audit, not to have been complete, current and accurate as of the above date.

(3) (4) DATE OF EXECUTION SIGNATURE OF PROPOSER

TITLE OF PROPOSER

15. OWNER

I certify that I have reviewed the cost/price summary set forth herein and the proposed costs/price appear acceptable for subagreement award.

DATE OF EXECUTION SIGNATURE OF REVIEWER

TITLE OF REVIEWER wpdocs\forms\007 2 of 2 E- 2

SCHEDULE “F”

[PAGE LEFT INTENTIONALLY BLANK]

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SCHEDULE “G”

CERTIFICATION REGARDING DEBARMENT AND SUSPENSION

1) As required by Federal Executive Order 12549, and prescribed by federal regulations, including 48 C.F.R. Subpart 9.4, the Consultant certifies that it, and its principals:

(a) Are not presently disbarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded by any Federal department or agency;

(b) Have not within a 3-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction, including any violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

(c) Are not presently indicted for or otherwise criminally or civilly charged by a Government entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (b) above; and

(d) Have not within a 3-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default.

2) Where the Consultant is unable to certify to any of the statements in this paragraph, the Consultant shall attach an explanation to this certification.

Date: Signature

Title

Organization

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SCHEDULE “H”

Certification Regarding Drug-Free Workplace Requirements Grantees Other Than Individuals

This certification is required by regulations implementing Sections 5151-5160 of the Drug-Free Workplace Act of 1988, 41 U.S.C. § 701 et seq. See 48 C.F.R. Subpart 23.5.

The grantee certifies that it will provide a drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the grantee’s workplace and specifying the actions that will be taken against employees for violation of such prohibition;

(b) Establishing a drug-free awareness program to inform employees about:

(1) The dangers of drug abuse in the workplace; (2) The grantee’s policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and,

(4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace;

(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a);

(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will:

(1) Abide by the terms of the statement; and,

(2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction;

(e) Notifying the agency within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction;

(f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted:

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(1) Taking appropriate personnel action against such an employee, up to and including termination; or

(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State or local health, law enforcement, or other appropriate agency;

(g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraph (a), (b), (c), (d), (e) and (f).

Organization

______Authorized Signature Title Date

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SCHEDULE “I”

Certification Regarding Lobbying Certification for Contracts, Grants, Loans, and Cooperative Agreements

The undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member or Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, A Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. § 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Organization

Authorized Signature Title Date

NOTE: If Disclosure Forms are required, please contact: Mr. Will Sexton, Deputy Director, Grants and Contracts Management Division, Room 341F, HHH Building, 200 Independence Avenue, SW, Washington, D.C. 20201-0001

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SCHEDULE “J”

Erie County Equal Pay Certification

In order to comply with Executive Order 13 dated November 6, 2014, we hereby certify that we are in compliance with federal law, including the Equal Pay Act of 1963, Title VII of the Civil Rights Act of 1964, Federal Executive Order 11246 of September 24, 1965 and New York State Labor Law Section 194 (together “ Equal Pay Law”). The average compensation for female employees is not consistently below the average compensation for male employees, taking into account mitigating factors. We understand that this certification is a material component of this contract. Violation of the provisions of Executive Order 13, which is attached hereto and made a part hereof, can constitute grounds for the immediate termination of this contract and may constitute grounds for determining that a bidder is not qualified to participate in future county contracts.

We have evaluated wages and benefits to ensure compliance with the Federal Equal Pay Law.

______Signature

Verification STATE OF ______) COUNTY OF ______) SS:

A) ______, being duly sworn, states he or she is the owner of (or a partner in) ______, and is making the foregoing Certification and that the statements and representations made in the Certification are true to his or her own knowledge.

B) ______, being duly sworn, states that he or she is the Name of Corporate Officer ______, of ______, Title of Corporate Officer Name of Corporation the enterprise making the foregoing Certification, that he or she has read the Certification and knows its contents, that the statements and representations made in the Certification are true to his or her own knowledge, and that the Certification is made at the direction of the Board of Directors of the Corporation.

Sworn to before me this ______Day of ______, 20______

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SCHEDULE “K”

ANDREW M. CUOMO Governor

Program Requirements and Bid Packet for Contracts Funded with the NYS Clean Water State Revolving Fund or Drinking Water State Revolving Fund

Recipient to Identify Contract Type:

☐ Construction ☐ Treatment Works and Drinking Water Projects ☐ Non-Treatment Works

☐ Non-Construction

Effective October 1, 2020

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 Contracts funded with NYS CWSRF or DWSRF) Page 1 of 39 Revision Date: 10/1/2020 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...... 7 II. Equal Employment Opportunities (EEO) ...... 7 III. Business Participation Opportunities for MWBEs...... 9 A. Contract Goals ...... 9 B. MWBE Utilization Plan ...... 9 C. Requests for Waiver ...... 10 D. Monthly MWBE Contractor Compliance Report (“Monthly MWBE Report”) ...... 10 E. Liquidated Damages - MWBE Participation...... 10 SECTION 2 PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED SERVICE-DISABLED VETERAN-OWNED BUSINESSES...... 11 SECTION 3 AMERICAN IRON AND STEEL (AIS) REQUIREMENT ...... 11 SECTION 4 DAVIS-BACON (DB) PREVAILING WAGE REQUIREMENTS...... 12 SECTION 5 REQUIREMENTS REGARDING SUSPENSION AND DEBARMENT ...... 17 SECTION 6 RESTRICTIONS ON LOBBYING ...... 17

PART 3: GUIDANCE MATERIALS...... 18 APPLICABILITY OF PROGRAM REQUIREMENTS ...... 18 SECTION 1 GUIDANCE FOR THE REQUIREMENTS AND PROCEDURES FOR BUSINESS PARTICIPATION OPPORTUNITIES FOR FEDERAL DISADVANTAGED BUSINESS ENTERPRISES AND NEW YORK STATE CERTIFIED MINORITY- AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN ...... 19 I. Summary of EEO and MWBE forms...... 19 A. Forms to be Submitted Prior to Contract Execution ...... 19 B. Forms to be Submitted During the Term of the Contract ...... 19 II. Equal Employment Opportunities (EEO) ...... 19 III. Business Participation Opportunities for MWBEs...... 20 A. Contract Goals ...... 20 B. Good Faith Efforts...... 20 C. Review of the MWBE Utilization Plan ...... 21 D. Eligibility for MWBE Participation Credit ...... 21 E. Requests for Waiver ...... 22 IV. Subcontractor’s Responsibilities ...... 23 V. Protests/Complaints ...... 23 VI. Waste, Fraud and Abuse ...... 23 SECTION 2 GUIDANCE FOR NEW YORK STATE CERTIFIED SERVICE-DISABLED VETERAN-OWNED BUSINESS ENTERPRISES (“SDVOB”) PARTICIPATION OPPORTUNITIES...... 24 SECTION 3 GUIDANCE FOR AMERICAN IRON AND STEEL (“AIS”) REQUIREMENT...... 24 SECTION 4 GUIDANCE FOR APPLICABLE LABOR STANDARDS...... 25 I. Davis-Bacon Act...... 25 A. Requirements for Recipients...... 25 B. Additional requirements for Recipients that are not governmental entities ...... 26 C. Compliance Verification ...... 27 II. Responsibilities of Contractors and Subcontractors ...... 27 SECTION 5 GUIDANCE FOR STATE AND/OR LOCAL PREVAILING WAGE REQUIREMENTS ...... 28

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 2 of 39 Revision Date: 10/1/2020 SECTION 6 GUIDANCE FOR REQUIREMENTS REGARDING SUSPENSION AND DEBARMENT...... 28 SECTION 7 GUIDANCE FOR RESTRICTIONS ON LOBBYING...... 29 SECTION 8 SUMMARY OF CONTRACTOR REQUIREMENTS FOR SRF-FUNDED PROJECTS ...... 30

ATTACHMENTS (Required Forms)...... 31 Attachment 1 – Monthly MWBE Contractor Compliance Report ...... 32 Attachment 2 – MWBE Utilization Plan...... 33 Attachment 3 – MWBE Waiver Request ...... 34 Attachment 4 – Lobbying Certification ...... 35 Attachment 5 – AIS Contractor’s Certification...... 36 Attachment 6 – AIS Manufacturer’s Certification ...... 37 Attachment 7 – Federal Payroll Form (WH-347) ...... 38 Attachment 8 – EEO Poster...... 39

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 3 of 39 Revision Date: 10/1/2020 PART 1: HOW TO USE THIS DOCUMENT

The New York State Environmental Facilities Corporation (“EFC”) implements the New York State Revolving Fund (“SRF”) for both Clean Water and Drinking Water projects.

This Program Requirements and Bid Packet for Contracts document contains (1) a brief description of New York State and federal program requirements for Contracts and Subcontracts funded in whole or part by the New York State Clean Water and Drinking Water SRFs, (2) required language for such Contracts and Subcontracts to satisfy the SRF program requirements, including required forms, and (3) guidance materials to assist entities in complying with these requirements.

PROGRAM REQUIREMENTS

The following requirements apply projects funded with the NYS Clean Water State Revolving Fund or Drinking Water State Revolving Fund:

• 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);

• Equal Employment Opportunities pursuant to Titles VI and VII of the Civil Rights Act of 1964, 40 CFR Part 7, and 41 CFR Part 60-1 Subpart A;

• Affirmative Action requirements pursuant to 41 CFR Part 60-4;

• Non-discrimination requirements pursuant to Section 504 of the Rehabilitation Act of 1973, the Age Discrimination Act of 1975, and Section 13 of the Federal Water Pollution Control Act Amendments of 1972;

• Encouragement of participation of Service-Disabled Veteran-Owned Business Enterprises (“SDVOB”) in accordance with New York State Executive Law, Article 17-B and 9 NYCRR Part 252;

• American Iron and Steel (“AIS”) pursuant to P.L. 113-76, Consolidated Appropriates Act, 2014; WRRDA Section 608 of the Federal Water Pollution Control Act, as revised;

• Davis Bacon Related Acts (“DBRA”) consisting of the following: The Davis Bacon Act; Copeland Act (40 U.S.C. § 3145); Reorganization Plan No. 14; Department of Labor 29 CFR Parts 1, 3, and 5; Contract Work Hours and Safety Standards Act;

• Applicable State and/or local prevailing wage requirements;

• Requirements regarding suspension and debarment pursuant to 2 CFR Part 180, 2 CFR Part 1532, 29 CFR § 5.12, Executive Order 11246, State Labor Law § 220-b, and State Executive Law § 316; and,

• Restrictions on Lobbying pursuant to 40 CFR Part 34.

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

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 4 of 39 Revision Date: 10/1/2020 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 into all Contracts and Subcontracts funded in whole or in part with SRF funds, in order for SRF Recipients, Contractors, and Subcontractors to comply with the above-listed SRF program requirements.

GUIDANCE MATERIALS

Part 3 of this document sets forth Guidance Materials intended to assist SRF Recipients, Contractors, and Subcontractors in complying with the foregoing SRF 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 grant 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.

“Treatment Works” is defined in Clean Water Act (CWA) Section 212.

“Nonpoint Source Projects” and “Green Infrastructure Projects” are defined in CWA Section 319.

“Estuary Management Program Project” is defined in CWA Section 320.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 5 of 39 Revision Date: 10/1/2020 PART 2: REQUIRED CONTRACT LANGUAGE

Recipient to Identify Contract Type:

☐ Construction ☐ Treatment Works and Drinking Water Projects ☐ Non-Treatment Works

☐ Non-Construction

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

For purposes of this section: “Non-Construction” shall mean Contracts for labor, services (including, but not limited to, legal, financial, and other professional services), supplies, equipment, materials, or any combination of the foregoing.

“Contracts Meeting Article 15-A Thresholds” shall mean Contracts or Subcontracts meeting the thresholds under New York State Executive Law Article 15-A as follows: (a) Non-Construction Contracts greater than $25,000; (b) Non-Construction Contracts, that are initially under $25,000 but subsequent change orders or contract amendments increase the Contract value to above $25,000; (c) Construction Contracts greater than $100,000; and, (d) Construction Contracts that are initially under $100,000 but subsequent change orders or contract amendments increase the Contract value to above $100,000.

The Equal Employment Opportunities requirements of this section apply to all Contracts and Subcontracts, with the exception of: (1) the requirements under Title VII of the Civil Rights Act of 1964 and 41 CFR Part 60-1 Subpart A which apply only to construction Contracts and Subcontracts; (2) the Federal Affirmative Action Regulations requirements which apply only to construction Contracts and Subcontracts greater than $10,000.

The Minority- and Women- Owned Business Enterprises (“MWBE”) participation requirements of this section apply to the Contracts Meeting Article 15-A Thresholds.

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

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 6 of 39 Revision Date: 10/1/2020 I. General Provisions

A. Contractors and Subcontractors are required to comply with the following provisions:

1. 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. 2. Title VI of the Civil Rights Act of 1964 and 40 CFR Part 7 (“Title VI”) for any program or activity receiving federal financial assistance, as those terms are defined therein. 3. Title VII of the Civil Rights Act of 1964 and 41 CFR Part 60-1 Subpart A (“Title VII”) for construction Contracts related to any government programs providing federal financial assistance, as those terms are defined therein. 4. 41 CFR Part 60-4 (“Federal Affirmative Action Regulations”) for federal or federally assisted construction Contracts in excess of $10,000, as those terms are defined therein. 5. Section 504 of the Rehabilitation Act of 1973 (“Section 504”) for any program or activity receiving federal financial assistance, as those terms are defined therein. 6. The Age Discrimination Act of 1975 (“Age Discrimination Act”) for any program or activity receiving federal financial assistance, as those terms are defined therein. 7. Section 13 of the Federal Water Pollution Control Act (“Clean Water Act”) Amendments of 1972 (“Section 13”) for any program or activity receiving federal financial assistance under the Clean Water Act, as those terms are defined therein.

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, the MWBE Regulations, Title VI, Title VII, or Federal Affirmative Action 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 SRF Recipient for MWBE and EEO purposes.

II. Equal Employment Opportunities (EEO) Applicable to all Contracts and Subcontracts unless otherwise noted

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. The Contractor shall comply with the provisions of the Human Rights Law (Executive Law Article 15), Title VI, Title VII, the Federal Affirmative Action Regulations, Section 504, Age Discrimination Act, Section 13, 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.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 7 of 39 Revision Date: 10/1/2020 C. Contractors and Subcontractors shall have instituted grievance procedures to assure the prompt and fair resolution of complaints when a violation of Title VI of the Civil Rights Act of 1964 or Title 40 CFR Part 7 is alleged.

D. Pursuant to 40 CFR § 7.95, the Contractor shall display a copy of the EEO notice at the project site in a visible location. The notice shall accommodate individuals with impaired vision or hearing and should be provided in languages other than English where appropriate. The notice must also identify the employee responsible for its EEO compliance. A copy of the EEO notice (“EEO Poster”) can be found at: https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf .

The Contractor will include the provisions of Subdivisions II(A) and II(C) 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.

Applicable to all construction Contracts E. The Contractor and Subcontractor will comply with the requirements of 41 CFR § 60-1.4(b) and (c), and such provisions are hereby incorporated by reference. These provisions require, in part, that the Contractor and Subcontractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The Contractor and Subcontractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship.

Applicable to construction Contracts greater than $10,000 F. The Contractor and Subcontractor will comply with the Affirmative Action Regulations and such provisions are hereby incorporated by reference. These provisions require, in part, that the Contractor and Subcontractor place affirmative action goals on Contracts and Subcontracts, as established by the United States Department of Labor. Affirmative action goals for minorities and women by geographic region can be found here: https://www.dol.gov/sites/dolgov/files/ofccp/ParticipationGoals.pdf .

G. Required EEO Forms Pursuant to 41 CFR Section 60-1.7 for federally assisted construction Contracts, Contractor and Subcontractor will annually file an EEO-1 Report with the Joint Reporting Committee for the Office of Federal Contract Compliance Programs (OFCCP) and the Equal Employment Opportunity Commission (EEOC) according to the instructions provided at https://www.eeoc.gov/employers/eeo-1-survey/eeo-1-instruction-booklet , if Contractor or Subcontractor: 1. Is not exempt from compliance pursuant to 41 CFR § 60-1.5; 2. Has 50 or more employees; 3. Is a prime Contractor or first tier Subcontractor; or Subcontractor below the first tier which performs construction work at the site of construction; and 4. Has a Contract, Subcontract, or purchase order amounting to $50,000 or more.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 8 of 39 Revision Date: 10/1/2020 III. Business Participation Opportunities for MWBEs Applicable to Contracts Meeting Article 15-A Thresholds

A. Contract Goals

1. For purposes of this Contract, EFC establishes the following goals for New York State certified MWBE participation based on the current availability of qualified MBEs and WBEs.

Program MWBE Contract Goal* CWSRF, DWSRF, & Green 20% Innovation Grant Program NYS Water Infrastructure Clean Water project 23% Improvement Act Grants Drinking Water project 26% (also receiving EFC loan)

NYS Intermunicipal Grants Clean Water project 24% (also receiving EFC loan) Drinking Water project 24%

*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. a. For construction and 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. b. For non-construction Contracts or Subcontracts, the portion of a Contract or Subcontract with an MWBE serving as a broker that shall be deemed to represent the commercially useful function performed by the MWBE shall be 25% of the total value of the contract 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. 5. 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.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 9 of 39 Revision Date: 10/1/2020 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. 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 Monthly MWBE Contractor Compliance Report or 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 noncompliance.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 10 of 39 Revision Date: 10/1/2020 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

New York State Executive Law Article 17-B and 9 NYCRR Part 252 provide for more meaningful participation in public procurement by certified Service-Disabled Veteran-Owned Businesses (“SDVOBs”), thereby further integrating such businesses into New York State’s economy. EFC recognizes the need to promote the employment of service-disabled veterans and to ensure that certified service-disabled veteran-owned businesses have opportunities for maximum feasible participation in the performance of EFC Contracts.

In recognition of the service and sacrifices made by service-disabled veterans and in recognition of their economic activity in doing business in New York State, Contractors are strongly encouraged and expected to consider SDVOBs in the fulfillment of the requirements of the Contract. Such participation may be as Subcontractors or suppliers, as protégés, or in other partnering or supporting roles.

Contractor is encouraged to make good faith efforts to promote and assist in the participation of SDVOBs on the Contract for the provision of services and materials. The directory of New York State Certified SDVOBs can be viewed at: http://ogs.ny.gov/Core/SDVOBA.asp .

Contractor is encouraged to contact the Office of General Services’ Division of Service-Disabled Veteran’s Business Development at 518-474-2015 or [email protected] to discuss methods of maximizing participation by SDVOBs on the Contract. SECTION 3 AMERICAN IRON AND STEEL (AIS) REQUIREMENT

The requirements of this section apply to (1) all construction Contracts and Subcontracts for DWSRF projects and CWSRF treatment works projects and (2) all Contracts for the purchase of iron and steel products for a DWSRF project or CWSRF treatment works project. Disregard this section if it does not apply to this Contract or Subcontract.

The Contractor acknowledges to and for the benefit of the Recipient of the Clean Water State Revolving Fund (“CWSRF”) or the Drinking Water State Revolving Fund (“DWSRF”) financial assistance that the Contractor understands the goods and services under this Agreement are being funded with monies made available by the New York State Environmental Facilities Corporation (“EFC”) through the CWSRF or the DWSRF and that such funding is subject to certain statutory restrictions requiring that certain iron and steel products used in the project be produced in the United States (“American Iron and Steel Requirement”) including iron and steel products provided by the Contractor pursuant to this Agreement.

The Contractor hereby represents and warrants that:

(a) the Contractor has reviewed and understands the American Iron and Steel Requirement, (b) all of the iron and steel products covered by the American Iron and Steel Requirement used in the project will be and/or have been produced in the United States in a manner that complies with the American Iron and Steel Requirement, unless a waiver of the requirement is approved, and (c) the Contractor will provide any further verified information, certification or assurance of compliance with this paragraph, or information necessary to support a waiver of the American Iron and Steel Requirement, as may be requested by the Recipient.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 11 of 39 Revision Date: 10/1/2020 Notwithstanding any other provision of this Agreement, any failure to comply with this paragraph by the Contractor shall permit the Recipient to recover as damages against the Contractor any loss, expense, or cost (including without limitation attorney’s fees) incurred by the Recipient resulting from any such failure (including without limitation any impairment or loss of funding, whether in whole or in part, from the EFC or any damages owed to the EFC by the Recipient). While the Contractor has no direct contractual privity with the EFC, as a lender to the Recipient for the funding of this project, the Recipient and the Contractor agree that the EFC is a third-party beneficiary and neither this paragraph, nor any other provision of this Agreement necessary to give this paragraph force or effect, shall be amended or waived without the prior written consent of the EFC. SECTION 4 DAVIS-BACON (DB) PREVAILING WAGE REQUIREMENTS

The requirements of this section apply to all construction Contracts and Subcontracts greater than $2,000 for either DWSRF projects or CWSRF treatment works projects. Disregard this section if it does not apply to this Contract or Subcontract.

For Contracts in Excess of $2,000:

1. Minimum Wages

(i) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the Contractor and such laborers and mechanics.

Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis–Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR § 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein provided that the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (1)(ii) of this section) and the Davis–Bacon poster (WH–1321) shall be posted at all times by the Contractor and its Subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. The Davis-Bacon poster (WH-1321) can be found at https://www.dol.gov/whd/regs/compliance/posters/davis.htm . Wage determinations may be obtained from the US Department of Labor’s website, http://www.beta.sam.gov .

(ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the Contract shall be classified in conformance with the wage determination. The contracting officer shall approve a request for an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:

1. The work to be performed by the classification requested is not performed by a classification in the wage determination; 2. The classification is utilized in the area by the construction industry; and, 3. The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 12 of 39 Revision Date: 10/1/2020 (B) If the Contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), documentation of the action taken and the request, including the local wage determination shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210 and to the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification request within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30–day period that additional time is necessary.

(C) In the event the Contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the request and the local wage determination, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The request shall be sent to the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt of the request and so advise the contracting officer or will notify the contracting officer within the 30–day period that additional time is necessary.

(D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (1) (ii)(B) or (C) of this section, shall be paid to all workers performing work in the classification under this Contract from the first day on which work is performed in the classification.

(iii) Whenever the minimum wage rate prescribed in the Contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the Contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof.

(iv) If the Contractor does not make payments to a trustee or other third person, the Contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program provided that the Secretary of Labor has found, upon the written request of the Contractor, that the applicable standards of the Davis–Bacon Act have been met. The Secretary of Labor may require the Contractor to set aside in a separate account assets for the meeting of obligations under the plan or program.

2. Withholding. The Recipient shall upon its own action or upon written request of the EPA Award Official or an authorized representative of the Department of Labor withhold or cause to be withheld from the Contractor under this Contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis–Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the Contractor or any Subcontractor the full amount of wages required by the Contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the Contract, the Recipient may, after written notice to the Contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.

3. Payrolls and basic records.

(i) Payrolls and basic records relating thereto shall be maintained by the Contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis–Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR § 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B)

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 13 of 39 Revision Date: 10/1/2020 of the Davis–Bacon Act, the Contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.

(ii)(A) The Contractor shall submit weekly for each week in which any Contract work is performed a copy of all payrolls to the Recipient. Such documentation shall be available on request of EFC or EPA. As to each payroll copy received, the Recipient shall provide written confirmation in a form satisfactory to EFC indicating whether or not the project is in compliance with the requirements of 29 CFR § 5.5(a)(1) based on the most recent payroll copies for the specified week. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR § 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee’s social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH–347 is available for this purpose from the Wage and Hour Division Web site at https://www.dol.gov/agencies/whd/government-contracts/construction/forms or its successor site. The prime Contractor is responsible for the submission of copies of payrolls by all Subcontractors. Contractors and Subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the Recipient, for transmission to EFC, EPA if requested by EPA, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime Contractor to require a Subcontractor to provide addresses and social security numbers to the prime Contractor for its own records, without weekly submission to the Recipient (or the applicant, sponsor, or owner).

(B) Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the Contractor or Subcontractor or his or her agent who pays or supervises the payment of the persons employed under the Contract and shall certify the following:

(1) That the payroll for the payroll period contains the information required to be provided under 29 CFR § 5.5(a)(3)(ii), the appropriate information is being maintained under 29 CFR § 5.5 (a)(3)(i), and that such information is correct and complete;

(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the Contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3;

(3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the Contract.

(C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH–347 shall satisfy the requirement for submission of the “Statement of Compliance” required by paragraph (3)(ii)(B) of this section.

(D) The falsification of any of the above certifications may subject the Contractor or Subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code.

(iii) The Contractor or Subcontractor shall make the records required under paragraph (3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the Recipient, EFC, EPA, or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the Contractor or Subcontractor fails to submit the

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 14 of 39 Revision Date: 10/1/2020 required records or to make them available, the Recipient, EFC, or EPA may, after written notice to the Contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR § 5.12.

4. Apprentices and trainees.

(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the Contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a Contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman’s hourly rate) specified in the Contractor’s or Subcontractor’s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the Contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

(ii) Trainees. Except as provided in 29 CFR § 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the Contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 15 of 39 Revision Date: 10/1/2020 (iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30.

5. Compliance with Copeland Act Requirements. The Contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this Contract.

6. Subcontracts. The Contractor or Subcontractor shall insert in any Subcontracts the clauses contained in 29 CFR § 5.5(a)(1) through (10) and such other clauses as the Recipient may by appropriate instructions require, and also a clause requiring the Subcontractors to include these clauses in any lower tier Subcontracts. The prime Contractor shall be responsible for the compliance by any Subcontractor or lower tier subcontractor with all the Contract clauses in 29 CFR § 5.5.

7. Contract Termination: Debarment. A breach of the contract clauses in 29 CFR § 5.5 may be grounds for termination of the Contract, and for debarment as a Contractor and a Subcontractor as provided in 29 CFR § 5.12.

8. Compliance with Davis–Bacon and Related Act requirements. All rulings and interpretations of the Davis–Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this Contract.

9. Disputes Concerning Labor Standards. Disputes arising out of the labor standards provisions of this Contract shall not be subject to the general disputes clause of this Contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the Contractor (or any of its Subcontractors) and the Recipient, the U.S. Department of Labor, or the employees or their representatives.

10. Certification of eligibility.

(i) By entering into this Contract, the Contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the Contractor's firm is a person or firm ineligible to be awarded Government Contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

(ii) No part of this Contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. § 1001.

For Contracts in Excess of $100,000:

1. Overtime requirements. No Contractor or Subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.

2. Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (1) of this section the Contractor and any Subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such Contractor and Subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (1) of this section, in the sum of $25 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (1) of this section.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 16 of 39 Revision Date: 10/1/2020 3. Withholding for unpaid wages and liquidated damages. The Recipient shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any monies payable on account of work performed by the Contractor or Subcontractor under any such Contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such Contractor or Subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2) of this section.

4. Subcontracts. The Contractor or Subcontractor shall insert in any Subcontracts the clauses set forth in paragraphs (1) through (4) of this section and also a clause requiring the Subcontractors to include these clauses in any lower tier Subcontracts. The prime Contractor shall be responsible for compliance by any Subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (1) through (4) of this section.

5. In any Contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in 29 CFR § 5.1, the Contractor or Subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the Contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. Further, the records to be maintained under this paragraph shall be made available by the Contractor or Subcontractor for inspection, copying, or transcription by authorized representatives of the Recipient and the Department of Labor, and the Contractor or Subcontractor will permit such representatives to interview employees during working hours on the job. SECTION 5 REQUIREMENTS REGARDING SUSPENSION AND DEBARMENT

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

Contractor and any Subcontractors shall comply with, Subpart C of 2 CFR Part 180 as implemented and supplemented by 2 CFR Part 1532. The Contractor is not a debarred or suspended party under 2 CFR Part 180 or 2 CFR Part 1532, or 29 CFR § 5.12. Neither the Contractor nor any of its Subcontractors have contracted with, or will contract with, any debarred or suspended party under the foregoing regulations.

The Contractor and any Subcontractor have not been debarred from or deemed ineligible for Government Contracts or federally assisted construction Contracts pursuant to Executive Order 11246.

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. SECTION 6 RESTRICTIONS ON LOBBYING

The requirements of this section apply to all Contracts and Subcontracts greater than $100,000. Disregard this section if it does not apply to this Contract or Subcontract.

The Contractor and any Subcontractor executing a Contract or Subcontract in excess of $100,000 agree to provide to the Recipient an executed Certification Regarding Lobbying pursuant to 40 CFR Part 34 (“Lobbying Certification”) in the form attached hereto as Attachment 9, consistent with the prescribed form provided in Appendix A to 40 CFR Part 34.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 17 of 39 Revision Date: 10/1/2020 PART 3: GUIDANCE MATERIALS APPLICABILITY OF PROGRAM REQUIREMENTS

This table contains a breakdown of the applicable program requirements based on contract type and its value. For further details pertaining to each requirement, refer to the section identified in the heading. The relevant section number is the same in both Part 2 and Part 3 of this document.

Type of Contract MWBE Section 1 EEO Section 1 TitleVII Section 1 AIS Section 3 Davis Bacon Section 4 FAAR Section 1 Suspension & Debarment Section 6 Restrictions on Lobbying Section 7 Construction: Treatment Works & Drinking Water Projects All X X X X

If greater than:

$2,000 X X X X X

$10,000 X X X X X X

$100,000 X X X X X X X X Construction: Non-Treatment Works All X X X

If greater than:

$10,000 X X X X

$100,000 X X X X X X

Non-Construction

All X X

If greater than:

$25,000 X X X

$100,000 X X X X

1 For purposes of this table, “EEO” includes the following: EEO requirements under 40 CFR Part 33, Title VI, Section 504, Age Discrimination Act, and Section 13. 2 For purposes of this table, “FAAR” means the Federal Affirmative Action Regulations. Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 18 of 39 Revision Date: 10/1/2020 SECTION 1 GUIDANCE FOR THE REQUIREMENTS AND PROCEDURES FOR BUSINESS PARTICIPATION OPPORTUNITIES FOR FEDERAL DISADVANTAGED BUSINESS ENTERPRISES AND 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 Applicable to Contracts Meeting Article 15-A Thresholds 1. 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. For Contracts that are not bid, it is to be submitted prior to the Contract execution date. 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 Applicable to Contracts Meeting Article 15-A Thresholds 1. Request for Partial or Total MWBE Waiver If applicable, to be submitted by the Contractor to the MBO at any time during the term of the Contract, but 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).

2. 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 3. See Required Contract Language, Section 1(III)(D).

Applicable to all construction Contracts 3. EEO-1 Report To be submitted by the Contractor and Subcontractor, as applicable, annually during the term of the Contract or Subcontract. A sample EEO-1 Report can be found here: https://www.eeoc.gov/sites/default/files/migrated_files/employers/eeo1survey/eeo1-2-2.pdf Instructions for how to submit the EEO-1 Report online can be found here: https://www.eeoc.gov/employers/eeo-1-survey/eeo-1-instruction-booklet . See Section 1(II)(D), Required Contract Language.

II. Equal Employment Opportunities (EEO)

A. EEO Poster Applicable to all construction Contracts Attachment 1, EEO Poster, is the notice provided by the United States Department of Labor, with a place added to identify the employee responsible for EEO compliance, as required by 40 CFR § 7.95.

B. EEO Goals Applicable to construction Contracts greater than $10,000 Pursuant to 41 CFR Part 60-4, the United States Department of Labor has established EEO goals for the employment of minorities and women. For federal and federally assisted construction Contractors, goals for minorities and females are established as a percentage participation rate. These goals are applicable to all of a Contractor's construction work sites (whether or not these sites are also the result of a federal Contract or are federally assisted). The goals are applicable

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 19 of 39 Revision Date: 10/1/2020 to each nonexempt Contractor's total onsite construction workforce, regardless of whether or not part of that workforce is performing work on a federal, federally assisted or non-federally related project Contract or Subcontract. Contractors should apply to each work site the goal for the geographical area that each particular work site is located in. These goals, and further information, are available at: https://www.dol.gov/sites/dolgov/files/ofccp/ParticipationGoals.pdf .

III. Business Participation Opportunities for MWBEs Applicable to Contracts Meeting Article 15-A Thresholds

A. Contract Goals The goals provided herein (Required Contract Language, Section 1(III)(A)) are effective as of October 1, 2020. 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. 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 to meet applicable MWBE participation goals. The Contractor shall maintain documentation of good faith efforts to solicit participation of MWBE firms for SRF-funded 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 for certified MWBEs 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 Company Scope Contact Phone/ Solicitation MWBE Negotiation Selected? Type of Name Email Format Response Required? If not, Explain work

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 20 of 39 Revision Date: 10/1/2020 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 winning 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 .

• 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 SRF funded 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 SRF-funded projects.

EFC reserves the right to request additional information and/or documentation to support the adequacy of the MWBE Utilization Plan and/or waiver request.

C. Review of the MWBE Utilization Plan

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.

D. Eligibility for MWBE Participation Credit

1. To receive MWBE participation credit, Contractors or Subcontractors performing work that have been identified in an approved MWBE Utilization Plan must be certified as an MBE or WBE by ESD. a. A Contractor, who is a certified MBE or WBE, will be credited for up to 100% of the category of their certification. However, good faith efforts to seek participation in the other category are also required. 2. Prime Contractors may also include second or lower tier Subcontractors (Subcontractors hired by Subcontractors) on their MWBE Utilization Plan. 3. Credit for MWBE participation shall be granted only for MWBE firms performing a commercially useful business function according to custom and practice in the industry. An MWBE does not perform a commercially useful function if its role adds no substantive value and is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of participation.

a. “Commercially useful functions” normally include:

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 21 of 39 Revision Date: 10/1/2020 i. Providing technical assistance to a purchaser prior to a purchase, during installation, and after the supplies or equipment are placed in service; ii. Manufacturing or being the first tier below the manufacturer of supplies or equipment; iii. Providing functions other than merely accepting and referring requests for supplies or equipment to another party for direct shipment to a Contractor; or, iv. Being responsible for ordering, negotiating price, and determining quality and quantity of materials and supplies. b. For construction Contracts or Subcontracts, the following rules apply when calculating MWBE utilization: i. The portion of a Contract or Subcontract with an MWBE serving as a manufacturer that shall be deemed to represent the commercially useful function performed by the MWBE shall be 100% of the total value of the Contract or Subcontract. ii. the portion of a Contract or Subcontract with an MWBE serving as a supplier (as denoted by a NAICS code beginning with 423 or 424, or a NIGP code that does not begin with the number 9), 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. iii. 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. c. For non-construction Contracts or Subcontracts, the following rules apply when calculating MWBE utilization: i. the portion of a Contract or Subcontract with an MWBE serving as a broker that shall be deemed to represent the commercially useful function performed by the MWBE shall be 25% of the total value of the contract. Any firms that are listed as brokers or manufacturers’ representatives (NAICS code 425120) and not specifically as suppliers fall in this category. d. No credit will be granted for MWBEs that do not perform a commercially useful function.

E. Requests for Waiver

1. If the Contractor’s application of good faith efforts does not result in the utilization of MWBE firms to achieve the aforementioned goals or a specialty equipment/service waiver is requested, the Contractor may request a full or partial waiver of MWBE participation goals by completing a Request for Waiver form, attaching appropriate documentation of good faith efforts, and submitting same to the MBO. See also Required Contract Language, Section 1(III)(C). Even if an MWBE waiver is granted, EEO information must still be submitted. 2. The MBO and EFC will review each waiver request based on the good faith effort criteria presented above and the documentation submitted with the waiver request. EFC will not issue any automatic waivers from MWBE responsibilities. 3. Specialty Equipment/Service Exclusion: A specialty equipment/service exclusion may be granted in cases where:

a. equipment is made by only one non-MWBE manufacturer, b. the technical specifications call for equipment that is not available through an MWBE supplier; c. the equipment is constructed on site by specially trained non-MWBE labor; d. the service is not available through an MWBE (such as work done by National Grid); e. the service is proprietary in nature (such as use of certain computer software necessary for control systems); or,

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 22 of 39 Revision Date: 10/1/2020 f. the service cannot be subcontracted (such as litigation services).

If the contract includes specialty equipment or services, and documentation is submitted demonstrating that there are no MWBE firms capable of completing this portion of the contract, the specialty amount of the contract may be deducted from the total contract amount to determine the MWBE Eligible Amount and the goals will be applied to the MWBE Eligible Amount. This determination is made at the discretion of the MBO and EFC. Example: $200,000 - $50,000 = $150,000 (Contract) (Specialty equipment/service) (MWBE Eligible Amount) The MWBE goal is applied to the MWBE Eligible Amount.

A request for this specialty equipment/service deduction can be completed by filling out a Request for Waiver form and submitting it to the MBO. The request must include a copy of the page from the contract where the equipment/ service is described, an ESD search result for the manufacturer or manufacturer’s representative, and documentation of the cost of each item. For construction Contracts, the schedule of values or bid tabulation sheet should also be submitted. Additional documentation may be requested by the MBO or EFC.

IV. Subcontractor’s Responsibilities

Subcontractors should:

1. Maintain their MWBE certifications and notify the Contractor and MBO of any change in their certification status. 2. Notify the Contractor of any MWBE Subcontractors they hire so they may be included on the Contractor’s Utilization Plan. 3. Respond promptly to solicitation requests by completing and submitting bid information in a timely manner. 4. Maintain business records that should include, but not be limited to, Contracts/agreements, records of receipts, correspondence, purchase orders, and canceled checks. 5. Ensure that a required EEO Policy Statement and applicable MWBE requirements are included in each subcontract. 6. Notify the MBO and EFC when contract problems arise, such as non-payment for services or when the Subcontractor is not employed as described in the MWBE Utilization Plan.

V. Protests/Complaints

Contractors or Subcontractors who have any concerns, issues, or complaints regarding the implementation of the SRF MWBE & EEO Program or wish to protest should do so in writing to the MBO and EFC. The MBO, in consultation with EFC, will review the circumstances described in the submission, investigate to develop additional information, if warranted, and determine whether action is required. If the Contractor or Subcontractor believes the issue has not been resolved to their satisfaction, they may appeal in writing to EFC for consideration.

VI. Waste, Fraud and Abuse

Subcontractors, Contractors, or Recipients who know of or suspect any instances of waste, fraud, or abuse within the MWBE & EEO Program should notify the project MBO and EFC immediately. Additionally, suspected fraud activity should be reported to the USEPA – Office of Inspector General Hotline at (888) 546-8740, the New York State Office of Inspector General at (800) 367- 4448, or the ESD Compliance Office at (212) 803-3266.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 23 of 39 Revision Date: 10/1/2020 SECTION 2 GUIDANCE FOR NEW YORK STATE CERTIFIED SERVICE-DISABLED VETERAN-OWNED BUSINESS ENTERPRISES (“SDVOB”) PARTICIPATION OPPORTUNITIES

Contractor may contact the Office of General Services’ Division of Service-Disabled Veteran’s Business Development at 518-474-2015 or [email protected] to discuss methods of maximizing participation by SDVOBs on the Contract. The directory of New York State Certified SDVOBs can be viewed at: http://ogs.ny.gov/Core/SDVOBA.asp .

Please contact EFC if you have any questions about utilizing SDVOBs on the Contract. SECTION 3 GUIDANCE FOR AMERICAN IRON AND STEEL (“AIS”) REQUIREMENT

Since 2014, if a Recipient uses CWSRF or DWSRF financial assistance to fund all or a part of the construction, alteration, maintenance or repair a public water system or treatment works, the Recipient must use iron and steel products that are produced in the United States for the whole project.

The AIS requirement does not apply to: 1. a project for which engineering plans and specifications were submitted for review by the responsible State agency before January 17, 2014 and approved by that agency before April 15, 2014; or 2. a project funded by a financial assistance agreement with EFC that was signed before January 17, 2014.

The term “iron and steel products” means the following products 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, construction materials. For one of the listed products to be considered subject to the AIS requirement, it must be made of greater than 50% iron and steel, measured by material cost (with the exception of reinforced precast concrete products).

The term “produced in the United States” means that all manufacturing processes of the iron or steel, including application of coatings, take place in the United States, with the exception of metallurgical processes involving refinement of steel additives. All manufacturing processes includes processes such as melting, refining, forming, rolling, drawing, finishing, fabricating and coating. Further, if a domestic iron and steel product is taken out of the US for any part of the manufacturing process, it becomes foreign source material. However, raw materials such as iron ore, limestone and iron and steel scrap are not covered by the AIS requirement and the material(s), if any, being applied as a coating are similarly not covered. Non-iron or steel components of an iron and steel product may come from non-US sources. For example, for products such as valves and hydrants, the individual non-iron and steel components do not have to be of domestic origin.

The EPA may waive the AIS requirement for a treatment works project if:

1. applying the requirement would be inconsistent with the public interest; 2. iron and steel products are not produced in the United States in sufficient and reasonably available quantities and of a satisfactory quality; or 3. inclusion of iron and steel products produced in the United States will increase the cost of the overall project by more than 25 percent.

A request for a waiver to use foreign iron or steel products must include adequate information for EPA’s evaluation of the request, including:

1. A description of the foreign and domestic iron, steel, and/or manufactured goods; 2. Unit of measure; 3. Quantity; Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 24 of 39 Revision Date: 10/1/2020 4. Cost; 5. Time of delivery or availability; 6. Location of the project; 7. Name and address of the proposed supplier; and, 8. A detailed justification for use of foreign iron or steel products.

Requests for AIS waivers are to be submitted to EFC. Upon review, EFC will submit AIS waiver requests to EPA. When EPA receives a request for a waiver, EPA will publish the request and any accompanying material on EPA’s official public Internet site, allowing informal public input on the request for at least 15 days before granting or denying the waiver request.

Additionally, EPA has the authority to issue waivers that are national in scope. National waivers may be for specific products or in the public’s interest. These waivers can be found at EPA’s website at: https://www.epa.gov/cwsrf/american-iron-and-steel-requirement-approved-national-waivers-0 . The “De Minimis Waiver” is noteworthy. The waiver permits the use of iron and steel products when they occur in de minimis incidental components of DWSRF or CWSRF projects, as long as:

1. the funds used for the de minimis incidental components cumulatively comprise no more than 5% of the total cost of the materials used in a project; and, 2. the cost of an individual item does not exceed 1% of the total cost of the materials used in the project.

Items covered by the de minimis waiver are:

1. essential, but incidental to the construction; 2. incorporated into the physical structure of the project; and, 3. often low-cost and bought in bulk.

Examples of “de minimis” items include: washers, screws, nuts, bolts, fasteners, miscellaneous wire, corner bead, ancillary tubing, etc.

Examples of items that are NOT incidental and therefore are not considered “de minimis” include: process fittings, tees, elbows, flanges, brackets, valves, sewer or water pipes for distribution, treatment or storage tanks, large structural support systems, etc.

To use the de minimis waiver, Contractors should prepare a record in spreadsheet form that tracks the cost of all materials incorporated into the project. This spreadsheet can be either project specific or contract specific. If it is contract specific, a material tracking record for each construction contract should be prepared and items that are subject to the AIS de minimis waiver should be highlighted. There should be a clear calculation available to indicate that the cost of the de minimis iron and steel items is 5% or less of the total cost of all materials.

Additional information, guidance and Questions and Answers about the State Revolving Fund American Iron and Steel (AIS) requirement can be found at EPA’s website: https://www.epa.gov/cwsrf/state-revolving- fund-american-iron-and-steel-ais-requirement . SECTION 4 GUIDANCE FOR APPLICABLE LABOR STANDARDS

I. Davis-Bacon Act

The Davis-Bacon Act requires Contractors and Subcontractors performing construction, alteration and repair work under Contracts in excess of $2,000 funded from SRF monies, to pay their laborers and mechanics not less than the prevailing wage and fringe benefits for the geographic location.

For purposes of this section, “State Recipient” means EFC.

A. Requirements for Recipients. This guidance describes how Recipients assist EPA in meeting its Davis-Bacon (DB) responsibilities when DB applies to EPA awards of financial assistance under the Water Resources Reform and

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 25 of 39 Revision Date: 10/1/2020 Development Act of 2014 (WRRDA) with respect to State Recipients and Recipients. Recipients with questions about when DB applies, obtaining the correct DB wage determinations, DB provisions, or compliance monitoring should contact the State Recipient. Recipients can also obtain guidance from DOL’s web site at http://www.dol.gov/whd .

1. Applicability of the Davis- Bacon (DB) prevailing wage requirements. Under the Water Resources Reform and Development Act of 2014 (WRRDA), DB prevailing wage requirements apply to the construction, alteration, and repair of treatment works carried out in whole or in part with assistance made available by a State water pollution control revolving fund. If a Recipient encounters a unique situation at a site that presents uncertainties regarding DB applicability, the Recipient must discuss the situation with the State Recipient before authorizing work on that site.

2. Obtaining Wage Determinations.

(a) Recipients must obtain the wage determination for the locality in which a covered activity subject to DB will take place prior to issuing requests for bids, proposals, quotes or other methods for soliciting Contracts (solicitation) for activities subject to DB. These wage determinations must be incorporated into solicitations and any subsequent Contracts. Prime Contracts must contain a provision requiring that Subcontractors follow the wage determination incorporated into the prime Contract.

(i) While the solicitation remains open, the Recipient must monitor https://beta.sam.gov weekly to ensure that the wage determination contained in the solicitation remains current. Recipients must amend the solicitation if DOL issues a modification more than 10 days prior to the closing date (i.e. bid opening) for the solicitation. If DOL modifies or supersedes the applicable wage determination less than 10 days prior to the closing date, the Recipient may request a finding from the State Recipient that there is not a reasonable time to notify interested Contractors of the modification of the wage determination. The State Recipient will provide a report of its findings to the Recipient.

(ii) If the Recipient does not award the contract within 90 days of the closure of the solicitation, any modifications or supersessions DOL makes to the wage determination contained in the solicitation shall be effective unless the State Recipient, at the request of the Recipient, obtains an extension of the 90 day period from DOL pursuant to 29 CFR 1.6(c)(3)(iv). The Recipient shall monitor https://beta.sam.gov on a weekly basis if it does not award the Contract within 90 days of closure of the solicitation to ensure that wage determinations contained in the solicitation remain current.

(b) If the Recipient carries out activity subject to DB by issuing a task order, work assignment or similar instrument to an existing Contractor (ordering instrument) rather than by publishing a solicitation, the Recipient must insert the appropriate DOL wage determination from https://beta.sam.gov into the ordering instrument.

(c) Recipients must review all Subcontracts subject to DB entered into by prime Contractors to verify that the prime Contractor has required its Subcontractors to include the applicable wage determinations.

(d) As provided in 29 CFR 1.6(f), DOL may issue a revised wage determination applicable to a Recipient’s Contract after the award of a Contract or the issuance of an ordering instrument if DOL determines that the Recipient has failed to incorporate a wage determination or has used a wage determination that clearly does not apply to the Contract or ordering instrument. If this occurs, the Recipient must either terminate the Contract or ordering instrument and issue a revised solicitation or ordering instrument or incorporate DOL’s wage determination retroactive to the beginning of the Contract or ordering instrument by change order. The Recipient’s Contractor must be compensated for any increases in wages resulting from the use of DOL’s revised wage determination.

B. Additional requirements for Recipients that are not governmental entities Recipients that are not governmental entities must submit their proposed DB wage determinations to the State Recipient for approval prior to including the wage determinations in

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 26 of 39 Revision Date: 10/1/2020 any solicitation, Contract or issuing task orders, work assignments, or similar instruments to existing Contractors, as well as ordering instruments unless subsequently directed otherwise by the State Recipient award official as identified below.

Recipients must obtain proposed wage determinations for specific localities at https://beta.sam.gov . After the Recipient obtains its proposed wage determination, it must submit the wage determination to the State Recipient award official at: Timothy Burns, P.E., Director, Engineering and Program Management, New York State Environmental Facilities Corporation, at 518-402-7396 or at the following email address: [email protected].

C. Compliance Verification

(a) The Recipient must periodically interview a sufficient number of employees entitled to DB prevailing wages (covered employees) to verify that Contractors or Subcontractors are paying the appropriate wage rates. As provided in 29 CFR 5.6(a)(6), all interviews must be conducted in confidence. The Recipient must use Standard Form 1445 or equivalent documentation to memorialize the interviews. Copies of the SF 1445 are available from EPA on request.

(b) The Recipient must establish and follow an interview schedule based on its assessment of the risks of noncompliance with DB posed by Contractors or Subcontractors and the duration of the Contract or Subcontract. Recipients must increase the frequency of the interviews if the initial interviews or other information indicates that there is a risk that the Contractor or Subcontractor is not complying with DB. Recipients must immediately conduct necessary interviews in response to an alleged violation of the prevailing wage requirements. All interviews must be conducted in confidence.

(c) The Recipient must periodically conduct spot checks of a representative sample of weekly payroll data to verify that Contractors or Subcontractors are paying the appropriate wage rates. The Recipient must establish and follow a spot check schedule based on its assessment of the risks of noncompliance with DB posed by Contractors or Subcontractors and the duration of the Contract or Subcontract. At a minimum, the Recipient must spot check payroll data within two weeks of each Contractor or Subcontractor’s submission of its initial payroll data and two weeks prior to the completion date the Contract or Subcontract. Recipients must conduct more frequent spot checks if the initial spot check or other information indicates that there is a risk that the Contractor or Subcontractor is not complying with DB. In addition, during the examinations the Recipient must verify evidence of fringe benefit plans and payments thereunder by Contractors and Subcontractors who claim credit for fringe benefit contributions.

(d) The Recipient must periodically review Contractors’ and Subcontractors’ use of apprentices and trainees to verify registration and certification with respect to apprenticeship and training programs approved by either the U.S Department of Labor or a state, as appropriate, and that Contractors and Subcontractors are not using disproportionate numbers of laborers, trainees and apprentices. These reviews must be conducted in accordance with the schedules for spot checks and interviews described in Item (b) and (c) immediately above.

(e) Upon the request of EFC, the Recipient must provide EFC with a written certification indicating whether or not the project is in compliance with the requirements of 29 CFR 5.5(a)(1) based on the most recent payroll copies from Contractors/Subcontractors for the specified week.

(f) Recipients must immediately report potential violations of the DB prevailing wage requirements to the EPA DB contact listed above and to the appropriate DOL Wage and Hour District Office listed at https://beta.sam.gov .

II. Responsibilities of Contractors and Subcontractors

After execution of any SRF eligible Contracts, the Contractor and Subcontractor have the following responsibilities:

1. Post Davis Bacon Wage Poster and applicable federal, state, and local wages in a visible area at the construction site. This poster may be found on the EFC website under the

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 27 of 39 Revision Date: 10/1/2020 Resource Library. (Refer to the attached required forms) 2. Make your employees available for wage interviews if necessary. Wage interviews must be conducted confidentially and using Labor Standard Interview Form (SF-1445). (Refer to the attached required forms) 3. Use federal payroll form WH-347 and complete the certifications on the back. If another form is being used, inform the Recipient and obtain a determination that the form is equivalent to the federal form. (Refer to the attached required forms) 4. Pay the higher of applicable prevailing federal, state, or local wages, including benefits (fringe & holidays), to each trade and overtime not less than one and one-half times the basic rate of pay for hours in excess of forty hours on Contracts in excess of $100,000. The wage rates apply to Subcontractor trades as well. 5. Maintain proof of apprentice and trainee ratios for both Contractor and Subcontractor and certifications onsite. 6. Pay wages to your employees and your Subcontractors on a weekly basis. Ensure that your Subcontractors are paying their employees weekly. 7. Ensure that the Subcontracts contain the Davis Bacon contract language, the applicable federal, state, or local wage determinations and equal employment opportunity language. This language is provided in the Part 2: Required Contract Language. Federal wage determinations are available at https://beta.sam.gov . 8. Provide payroll forms and apprentice and trainee certifications to the Recipient for their records. 9. Report potential waste, fraud and abuse violations to the EPA Davis Bacon Contact and DOL Wages and Hours District Office found on their website. https://beta.sam.gov . Any violations in payroll reporting or unpaid wages are subject to a daily monetary penalty.

SECTION 5 GUIDANCE FOR STATE AND/OR LOCAL PREVAILING WAGE REQUIREMENTS

Contractors and Subcontractors working under a public works contract are subject to labor standards under State Labor Law, including but not limited to prevailing wage requirements, and may be subject to additional labor requirements under applicable local laws. When preparing the bid for an SRF project, the Contractor, and any Subcontractors, must use the higher of the applicable prevailing federal, State, or local wage rates paid to each trade.

SECTION 6 GUIDANCE FOR REQUIREMENTS REGARDING SUSPENSION AND DEBARMENT

A list of debarred and suspended contractors, pursuant to 2 CFR Parts 180 and 1532,29 CFR § 5.12, and Executive Order 11246 is available on the US Department of Labor’s website at https://www.sam.gov/portal/public/SAM .

A list of contractors and subcontractors deemed ineligible to submit a bid on or be awarded a public contract or subcontract, pursuant to Article 8 of the State Labor Law, is available on the New York State Department of Labor’s website at http://labor.ny.gov/workerprotection/publicwork/PDFs/debarred.pdf

A list of contractors deemed ineligible to submit a bid is maintained by Empire State Development’s Division of Minority and Women's Business Development.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 28 of 39 Revision Date: 10/1/2020 SECTION 7 GUIDANCE FOR RESTRICTIONS ON LOBBYING

Each Contractor and any Subcontractor that has a Contract or Subcontract exceeding $100,000 shall provide to the Recipient a completed Certification Regarding Lobbying pursuant to 40 CFR Part 34 (“Lobbying Certification”) in the form attached hereto as Attachment 9 consistent with the prescribed form provided in Appendix A to 40 CFR Part 34. The form provides a certification that the Contractor or Subcontractor will not expend appropriated federal funds to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, officer or employee of Congress or any employee of any Member of Congress in accordance with the provisions of 40 CFR Part 34, and to maintain such certification for their own records.

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 29 of 39 Revision Date: 10/1/2020 SECTION 8 SUMMARY OF CONTRACTOR REQUIREMENTS FOR SRF-FUNDED PROJECTS

Forms can be found as attachments to this document or online at www.efc.ny.gov

Forms should be submitted electronically via email or through EFC’s dropbox

Refer to Part 3 To be submitted with this bid: Guidance Section ☐ Lobbying Certification Section 7 ☐ AIS Contractor’s Certification Section 3

To be submitted prior to or upon Contract award: ☐ Executed Contracts, Subcontracts, agreements, and purchase orders ☐ MWBE Utilization Plan and/or Waiver Request Section 1

Tasks for construction start: ☐ Ensure that all Subcontracts contain Part 2: Required Contract Language ☐ Post EEO Poster Section 1 ☐ Pay the higher of prevailing federal, state, or local wages Section 4 including benefits ☐ Post Davis Bacon Wage Poster AND Wage Rates Section 4 ☐ Use Federal Payroll Form (WH-347) Section 4 ☐ Obtain apprentice and trainee certifications Section 4 ☐ Obtain AIS Manufacturer’s Certifications for all iron & steel products Section 3

Ongoing documentation & tasks: ☐ Submit EEO-1 Report, online Section 1 ☐ Submit Monthly MWBE Reports to MBO Section 1 ☐ Maintain weekly certified payrolls for all Prime & Subcontractors Section 4 ☐ Maintain proof of payments for MWBE Subcontractors Section 1 ☐ Maintain AIS Manufacturer’s Certifications Section 3

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 30 of 39 Revision Date: 10/1/2020

SCHEDULE “L”

ATTACHMENTS (Required Forms)

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 31 of 39 Revision Date: 10/1/2020 Attachment 1 – Monthly MWBE Contractor Compliance Report

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 32 of 39 Revision Date: 10/1/2020 New York State Environmental Facilities Corporation Monthly Minority- & Women- Owned Business Enterprise (MWBE) Contractor Compliance Report (“Monthly MWBE-SDVOB Report”) Instructions:  Contractors are to complete the report in Word version and email to the Recipient’s Minority Business Officer (“MBO”) on a monthly basis.  If you require additional pages, you may find them on EFC’s website at www.efc.ny.gov.  All MWBE Subcontractors for this contract MUST be listed on the form regardless of whether they were paid this month.  Please save Report as “MReport – (Project No). – (Municipality) – (Firm Name) – (Date)” and send the Word version of this document.  Proofs of payment in the amounts shown below must be transmitted to the MBO with the report.

Municipality: County: Contract ID: Month: Year: Project No.: GIGP/EPG No: Registration No. (NYC only): Date all MWBE / SDVOB subs paid Prime Contractor/Service Provider: Award Date: Start Date: in full: Signature of Contractor: I certify that the information submitted herein is true, accurate and complete to the best of my knowledge and belief. Date:

MWBE Eligible Amt: $ EFC MWBE Goals Total Paid to Prime Last Month’s Contract (Goals are applied to this amount and MBE: % MBE Amt: $ Amt: $ includes eligible change orders, WBE: % WBE Amt: $ Revised Contract Amt: amendments & waivers) Total: % Total Amt: $ $ Total Paid this Month: $ EFC SDVOB Goals Total Paid to Date: $ Change Order Amt: SDVOB Eligible Amount $ $ SDVOB 6 % SDVOB Amt: $

NYS Certified MWBE / SDVOB Contractor & Please Specify Any Subcontractor Total Amount Payments this Previous Total Payments Made to Subcontractor Revisions this Month. Original Revised Month Payments Date Name: Subcontractor is REMOVED Fed. Employer ID#: NEW Subcontractor Choose all that apply: Subcontract Amt. MBE WBE INCREASED SDVOB DSDVBD Control #: Subcontract Amt. MWBE Only - Select Only One: DECREASED Broker __% Supplier N/A Name: Subcontractor is REMOVED Fed. Employer ID#: NEW Subcontractor Choose all that apply: Subcontract Amt. MBE WBE INCREASED SDVOB DSDVBD Control #: Subcontract Amt. MWBE Only - Select Only One: DECREASED Broker __% Supplier N/A

Monthly MWBE-SDVOB Report Form Revision Date: 10/1/2020 1 New York State Environmental Facilities Corporation Monthly Minority- & Women- Owned Business Enterprise (MWBE) Contractor Compliance Report (“Monthly MWBE-SDVOB Report”)

Subcontractor Contract NYS Certified M/WBE / SDVOB Please Specify Any Amount Payments this Previous Total Payments Made to Contractor & Subcontractor Revisions this Month. Original Revised Month Payments Date Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A

Monthly MWBE-SDVOB Report Form Revision Date: 10/1/2020 2 New York State Environmental Facilities Corporation Monthly Minority- & Women- Owned Business Enterprise (MWBE) Contractor Compliance Report (“Monthly MWBE-SDVOB Report”)

NYS Certified M/WBE / SDVOB Please Specify Any Subcontractor Total Amount Payments this Previous Total Payments Made to Contractor & Subcontractor Revisions this Month. Original Revised Month Payments Date Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A

Monthly MWBE-SDVOB Report Form Revision Date: 10/1/2020 3 New York State Environmental Facilities Corporation Monthly Minority- & Women- Owned Business Enterprise (MWBE) Contractor Compliance Report (“Monthly MWBE-SDVOB Report”) NYS Certified M/WBE / SDVOB Please Specify Any Subcontractor Total Amount Payments this Previous Total Payments Made to Contractor & Subcontractor Revisions this Month. Original Revised Month Payments Date Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Name: Fed. Employer ID#: Subcontractor is REMOVED Choose all that apply: NEW Subcontractor MBE WBE Subcontract Amt. INCREASED SDVOB DSDVBD Control #: Subcontract Amt. DECREASED MWBE Only - Select Only One: Broker __% Supplier N/A Additional Pages can be found at www.efc.ny.gov TOTAL Please explain any revisions and note the scope of work that new subcontractors will be providing. Please note that change orders over $25K may require that good faith efforts be made to obtain additional participation:

Monthly MWBE-SDVOB Report Form Revision Date: 10/1/2020 4 Attachment 2 – MWBE Utilization Plan

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 33 of 39 Revision Date: 10/1/2020 NYS Environmental Facilities Corporation Minority- & Women- Owned Business Enterprise (MWBE) Utilization Plan

Instructions for Contractors & Service Providers:

Contractors and Service Providers must complete Sections 2 and 3. Submit the completed, signed (electronic signature box checked and dated) form in Microsoft Word format to the Recipient’s designated Minority Business Officer (MBO) no later than the date of contract execution. Incomplete forms will be found deficient. If more than 10 subcontractors are used, additional pages for Section 3 can be found on EFC’s website. If the prime contract is being performed by the parties to a Joint Venture, Teaming Agreement, or Mentor-Protégé Agreement that includes a certified MWBE, please contact EFC for assistance. MWBE firms must be certified by the NYS Empire State Development Corporation (ESD) in order to be counted towards satisfaction of MWBE participation goals. The utilization of certified MWBEs for non-commercially useful functions may not be counted towards utilization of certified MWBEs in the Utilization Plan. Please note whether a firm is serving as a broker or supplier on the contract. A broker is denoted by NAICS code 425120 and is designated as a broker in ESD’s MWBE Directory. A supplier is denoted by a NAICS code beginning with 423 or 424, or a NIGP code that does not begin with the number 9, and is designated as a supplier in ESD’s MWBE Directory. If a firm is serving as a broker, please additionally provide the percentage of the broker’s commission on the contract.

See the Bid Packet at www.efc.ny.gov or consult your designated MBO for further guidance. Instructions for Minority Business Officers (MBO):

The MBO must complete Section 1. The MBO may designate an Authorized Representative to complete and submit quarterly payment reports on its behalf, and, if so designated, the MBO’s Authorized Representative must also complete Section 1. The Authorized Representative may only submit quarterly payment reports on behalf of the MBO and may not submit any other required forms or reports for the MBO. The MBO must complete Section 1 even if designating an Authorized Representative. Submit the completed, signed (electronic signature box checked and dated) form in Microsoft Word format via e-mail to your EFC MWBE Representative.

The subject heading of the e-mail to the EFC MWBE Representative should follow the format “UP, Project Number, Contractor.” EFC will review the Utilization Plan and notify the MBO via e-mail of its acceptance or denial.

MWBE Utilization Plan Revision Date: 10/1/2020 1 NYS Environmental Facilities Corporation Minority- & Women- Owned Business Enterprise (MWBE) Utilization Plan

SECTION 1: MUNICIPAL INFORMATION Recipient/Municipality: County: Project No.: GIGP/EPG No.: Contract ID: Registration No. (NYC only): Minority Business Officer: Email: Phone #: Address of MBO: Electronic Signature of MBO: Date: I certify that the information submitted herein is true, accurate and complete to the best of my knowledge and belief. Complete if applicable: Authorized Representative: Title: Authorized Rep. Company: Email: Phone #: Electronic Signature of Authorized Rep.: Date: I certify that the information submitted herein is true, accurate and complete to the best of my knowledge and belief.

SECTION 2: PRIME CONTRACTOR / SERVICE PROVIDER INFORMATION

Firm Name: Contract Type: Construction Other Services Prime Firm is Certified as: MBE WBE N/A Other: Please repeat information in the Utilization Plan below (Section 3). If dual certified, you must select either MBE or WBE. Address: Phone #: Fed. Employer ID #: Description of Work: Award Date: Start Date: Completion Date: MWBE GOAL Total PROPOSED MWBE Participation Total Contract Amount: $ MBE: % $ MBE: % $ MWBE Eligible Contract Amount: $ (MWBE Goals are applied to this amount and includes all change orders, WBE: % $ WBE: % $ amendments, & waivers) Total: % $ Total: % $

MWBE Utilization Plan Revision Date: 10/1/2020 2 NYS Environmental Facilities Corporation Minority- & Women- Owned Business Enterprise (MWBE) Utilization Plan

SECTION 3: MWBE SUBCONTRACTOR INFORMATION This Submittal is: The First/Original Utilization Plan Revised Utilization Plan #: Contract Amount: For EFC NYS Certified M/WBE Subcontractor Info Use: MBE ($) WBE ($) Name: Fed. Employer ID#: Address: Phone #: Scope of Work: Email: Select Only One: MBE WBE Other: Start Date: Select Only One: Broker __% Supplier N/A Completion Date: Full Contract Amount: $

Name: Fed. Employer ID#: Address: Phone #: Scope of Work: Email: Select Only One: MBE WBE Other: Start Date: Select Only One: Broker __% Supplier N/A Completion Date: Full Contract Amount: $

Name: Fed. Employer ID#: Address: Phone #: Scope of Work: Email: Select Only One: MBE WBE Other: Start Date: Select Only One: Broker __% Supplier N/A Completion Date:

Full Contract Amount: $

MWBE Utilization Plan Revision Date: 10/1/2020 3 NYS Environmental Facilities Corporation Minority- & Women- Owned Business Enterprise (MWBE) Utilization Plan

SECTION 3: M/WBE SUBCONTRACTOR INFORMATION continued Name: Fed. Employer ID#: Address: Phone #: Scope of Work: Email: Select Only One: MBE WBE Other: Start Date: Select Only One: Broker __% Supplier N/A Completion Date: Full Contract Amount: $

Name: Fed. Employer ID#: Address: Phone #: Scope of Work: Email: Select Only One: MBE WBE Other: Start Date: Select Only One: Broker __% Supplier N/A Completion Date: Full Contract Amount: $

Name: Fed. Employer ID#: Address: Phone #: Scope of Work: Email: Select Only One: MBE WBE Other: Start Date: Select Only One: Broker __% Supplier N/A Completion Date: Full Contract Amount: $ SIGNATURE Electronic Signature of Contractor: I certify that the information submitted herein is true, accurate and complete to the best of my knowledge and that all MWBE subcontractors will perform a commercially useful function. Date: Name (Please Type):

MWBE Utilization Plan Revision Date: 10/1/2020 4 Attachment 3 – MWBE Waiver Request

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 34 of 39 Revision Date: 10/1/2020 New York State Environmental Facilities Corporation Minority & Women Owned Business Enterprise (MWBE) Waiver Request Form

Instructions for Contractors & Service Providers: Contractors and Service Providers must complete Sections 2, 3, and 4. Submit the completed, signed (electronic signature box checked and dated) form in Microsoft Word format to the Recipient’s designated Minority Business Officer (MBO). Incomplete forms will be found deficient. See the Bid Packet at www.efc.ny.gov or consult your designated MBO for further guidance. Instructions for Minority Business Officers (MBO): The MBO must complete Section 1. Submit the completed, signed (electronic signature box checked and dated) form in Microsoft Word format via e-mail to your EFC MWBE Representative. The subject heading of the e-mail to the EFC MWBE Representative should follow the format “Waiver Request, Project Number, Contractor.” EFC will review and notify the MBO via e-mail of its acceptance or denial. If a partial MWBE waiver is requested, an MWBE Utilization Plan must also be submitted for the amount of proposed MWBE participation.

SECTION 1: MUNICIPAL INFORMATION Recipient/Municipality: County: Project No.: GIGP/EPG No.: Contract ID: Registration No. (NYC only): Minority Business Officer (MBO): Email: Phone #: Address of MBO: Signature of MBO: Date: I certify that the information submitted herein is true, accurate and complete to the best of my knowledge and belief.

SECTION 2: PRIME CONTRACTOR / SERVICE PROVIDER INFORMATION

Firm Name: Contract Type: Construction Other Services

Prime Firm is Certified as: MBE WBE N/A Other: Address: Phone #: Fed. Employer ID #: Contact Information of Firm Representative Authorized to Discuss Waiver Request: Name: Title: Phone #: E-mail: Description of Work: EFC MWBE GOAL Total Award Date: Start Date: Completion Date: MBE: % $ Total Contract Amount: $ WBE: % $ MWBE Eligible Contract Amount: $ (MWBE Goals are applied to this amount and includes all change orders, amendments, Total: % $ & waivers)

MWBE Waiver Request Form Revision Date: 10/1/2020 1 New York State Environmental Facilities Corporation Minority & Women Owned Business Enterprise (MWBE) Waiver Request Form

SECTION 3: TYPE OF MWBE WAIVER REQUESTED 1. Full Waiver (No MWBE participation)

2. Partial Waiver (Less than the MWBE goals; indicate below the proposed MWBE participation)

PROPOSED MWBE Participation

MBE: % $

WBE: % $

Total: % $

3. Specialty Equipment/Services Exclusion (Must be of SIGNIFICANT cost - list of equipment and cost must be attached in addition to the supporting documentation outlined below)

SECTION 4: SUPPORTING DOCUMENTATION To be considered, the Request for Waiver Form must be accompanied by the documentation requested in items 1 – 9, as listed below. If a Specialty Equipment Exclusion is requested, it must be accompanied by the documentation requested in items 1 - 13. If a Specialty Services Exclusion is requested, it must be accompanied by the items requested in items 1 – 9 and item 14. Copies of the following information and all relevant supporting documentation must be submitted along with the request. Please contact EFC for assistance, including sample documentation. 1. A letter of explanation setting forth your basis for requesting a partial or total waiver and detailing the good faith efforts that were made.

2. Copies of advertisements in any general circulation, trade association, and minority- and women-oriented publications in which you solicited MWBEs for the purposes of complying with your participation goals, with the dates of publication.

3. Screenshots of search results (by business description or commodity code) from Empire State Development Corporation’s (ESD) MWBE Directory of all certified MWBEs that were solicited for purposes of complying with your MWBE participation goals.

4. Copies of faxes, letters, or e-mails sent to MWBE firms to solicit participation and their responses.

5. A log of solicitation results, consisting of the list of MWBE firms solicited for the contract and the outcome of the solicitations. The log should be broken out into separate areas for each task that is solicited (e.g., trucking, materials, electricians) and clearly provide a rationale for firms included on the completed Utilization Plan as well as for those not chosen. The log should show: that each MWBE firm was contacted twice by two different methods (e.g., fax and phone); who was spoken to; what was said; and the final outcome of the solicitation.

6. A description of any contract documents, plans, or specifications made available to MWBEs for purposes of soliciting their bids and the date and manner in which these documents were made available. Specifically, include information on the scope of work in the contract and a breakout of tasks or equipment, such as

MWBE Waiver Request Form Revision Date: 10/1/2020 2 New York State Environmental Facilities Corporation Minority & Women Owned Business Enterprise (MWBE) Waiver Request Form a schedule of values for a construction contract or a proposal or excerpt from a professional services agreement.

7. Documentation of any negotiations between you, the Contractor, and the MWBEs undertaken for purposes of complying with your MWBE participation goals.

8. Any other information you deem relevant which may help us in evaluating your request for a waiver. Examples may include sign-in sheets from any pre-bid meetings where MWBE firms were invited, attendance at MWBE forums, etc.

9. EFC and the MBO reserve the right to request additional information and/or documentation.

Additional Documentation for Requests for Specialty Equipment Exclusions:

10. Copies of the appropriate pages of the technical specification related to the equipment showing the choices for manufacturers or other information that limits the choice of vendor.

11. Letter, e-mail or screenshot of website from the manufacturer listing their distributors in NYS and the locations.

12. Screenshots of ESD’s MWBE Directory searches for the manufacturer and distributor showing that they are not found in the Directory.

13. An invoice or executed purchase order showing the value of the equipment.

Additional Documentation for Requests for Specialty Service Exclusions:

14. A letter of explanation containing information about the scope of work and why no MWBE firms could be subcontracted to provide that service.

Note: Unless a Total Waiver has been granted, Firms will be required to submit all reports and documents pursuant to the provisions set forth in the procurement and/or contract, as deemed appropriate by EFC, to determine MWBE compliance. In cases where EFC accepts a full or partial waiver of MWBE participation goals, the waiver request will be posted to EFC’s website.

SIGNATURE Electronic Signature of Contractor: I certify that the information submitted herein is true, accurate and complete to the best of my knowledge. Date: Name: (Please Type):

MWBE Waiver Request Form Revision Date: 10/1/2020 3 Attachment 4 – Lobbying Certification

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 35 of 39 Revision Date: 10/1/2020 New York State Environmental Facilities Corporation CERTIFICATION REGARDING LOBBYING FOR CONTRACTS, GRANTS, LOANS, AND COOPERATIVE AGREEMENTS 40 CFR Part 34 SRF Project No.: ______

The undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Signature: Name: Title: Company Name: Date: Contract ID:

Lobbying Certification Attachment 5 – AIS Contractor’s Certification

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 36 of 39 Revision Date: 10/1/2020 AIS CONTRACTOR CERTIFICATION

FOR CONSTRUCTION CONTRACTS PAID FOR WITH FUNDS FROM

THE NYS CLEAN WATER STATE REVOLVING FUND OR

THE NYS DRINKING WATER STATE REVOLVING FUND VIA THE

NYS ENVIRONMENTAL FACILITIES CORPORATION

Project Title: ______

Contractor’s Name: ______

Contract ID: ______

SRF Project #: ______

SRF Recipient Name: ______

I certify that the iron and steel products that will be permanently incorporated into the public water system or wastewater treatment works project under this construction contract will have been produced in the United States, in accordance with the requirements of the US Environmental Protection Agency. I will also develop and maintain at the project location the necessary documentation to demonstrate that the iron and steel products incorporated into the project were produced in the United States, and make such documentation available to The NYS Environmental Facilities Corporation or their authorized representatives, upon request.

Signature: ______

Name (print): ______

Title: ______

Date: ______Attachment 6 – AIS Manufacturer’s Certification

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 37 of 39 Revision Date: 10/1/2020 1. The following information is provided as a manufacturer’s sample letter of step certification for 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 Project (XXXXXXXXXX)

I, (company representative), certify that the (melting, bending, coating, galvanizing, cutting, etc.) process for (manufacturing or fabricating) the following products and/or materials 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. Xxxx

2. Xxxx

3. Xxxx

Such process 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] 2. The following information is provided as a manufacturer’s sample letter of certification for AIS compliance. Documentation must be provided on company letterhead.

Date

Company Name

Company Address

City, State Zip

Subject: American Iron and Steel Certification for Project (XXXXXXXXXX)

I, (company representative), certify that the following products and/or materials shipped/provided to the subject project are 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. Xxxx

2. Xxxx

3. Xxxx

Such process 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] Attachment 7 – Federal Payroll Form (WH-347)

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 38 of 39 Revision Date: 10/1/2020 Rev. Dec. 2008

U.S. Department of Labor PAYROLL Wage and Hour Division (For Contractor's Optional Use; See Instructions at www.dol.gov/whd/forms/wh347instr.htm) Persons are not required to respond to the collection of information unless it displays a currently valid OMB control number. Rev. Dec. 2008 NAME OF CONTRACTOR OR SUBCONTRACTOR ADDRESS OMB No.: 1235-0008 Expires: 02/28/2018

PAYROLL NO. FOR WEEK ENDING PROJECT AND LOCATION PROJECT OR CONTRACT NO.

(1) (2) (3) (4) DAY AND DATE (5) (6) (7) (9) (8) S T.

NG DEDUCTIONS i N S

LD IO NET T NAME AND INDIVIDUAL IDENTIFYING NUMBER O GROSS WITH- WAGES HH OT. OR EMP (e.g., LAST FOUR DIGITS OF SOCIAL SECURITY T WORK TOTAL RATE AMOUNT HOLDING TOTAL PAID I O. OF X

NUMBER) OF WORKER N W E CLASSIFICATION HOURS WORKED EACH DAY HOURS OF PAY EARNED FICA TAX OTHER DEDUCTIONS FOR WEEK

While completion of Form WH-347 is optional, it is mandatory for covered contractors and subcontractors performing work on Federally financed or assisted construction contracts to respond to the information collection contained in 29 C.F.R. §§ 3.3, 5.5(a). The Copeland Act (40 U.S.C. § 3145) contractors and subcontractors performing work on Federally financed or assisted construction contracts to "furnish weekly a statement with respect to the wages paid each employee during the preceding week." U.S. Department of Labor (DOL) regulations at 29 C.F.R. § 5.5(a)(3)(ii) require contractors to submit weekly a copy of all payrolls to the Federal agency contracting for or financing the construction project, accompanied by a signed "Statement of Compliance" indicating that the payrolls are correct and complete and that each laborer or mechanic has been paid not less than the proper Davis-Bacon prevailing wage rate for the work performed. DOL and federal contracting agencies receiving this information review the information to determine that employees have received legally required wages and fringe benefits.

Public Burden Statement We estimate that is will take an average of 55 minutes to complete this collection, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. If you have any comments regarding these estimates or any other aspect of this collection, including suggestions for reducing this burden, send them to the Administrator, Wage and Hour Division, U.S. Department of Labor, Room S3502, 200 Constitution Avenue, N.W. Washington, D.C. 20210

(over) Date (b) WHERE FRINGE BENEFITS ARE PAID IN CASH

I, − Each laborer or mechanic listed in the above referenced payroll has been paid, (Name of Signatory Party) (Title) as indicated on the payroll, an amount not less than the sum of the applicable do hereby state: basic hourly wage rate plus the amount of the required fringe benefits as listed in the contract, except as noted in section 4(c) below. (1) That I pay or supervise the payment of the persons employed by (c) EXCEPTIONS on the (Contractor or Subcontractor) EXCEPTION (CRAFT) EXPLANATION

; that during the payroll period commencing on the (Building or Work) day of , , and ending the day of , , all persons employed on said project have been paid ht e full weekly wages earned, that no rebates have been or will be made either directly or indirectly to or on behalf of said

from the full (Contractor or Subcontractor) weekly wages earned by any person and that no deductions have been made either directly or indirectly from the full wages earned by any person, other than permissible deductions as defined in Regulations, Part 3 (29 C.F.R. Subtitle A), issued by the Secretary of Labor under the Copeland Act, as amended (48 Stat. 948, 63 Stat. 108, 72 Stat. 967; 76 Stat. 357; 40 U.S.C. § 3145), and described below:

REMARKS:

(2) That any payrolls otherwise under this contract required to be submitted for the above period are correct and complete; that the wage rates for laborers or mechanics contained therein are not less than the applicable wage atr es contained ni any wage determination ncoi rporated into ht e contract; ht at ht e classifications set forth therein for each laborer or mechanic conform with the work he performed.

(3) That any apprentices employed in het above period are duly egisr tered ni a onab ifde apprenticeship program registered with a State apprenticeship agency ecognizedr by het Bureau of Apprenticeship and Training, United States Department of Labor, or if no such recognized agency exists in a State, are registered with the Bureau of Apprenticeship and Training, United States Department of Labor.

(4) That: (a) WHERE FRINGE BENEFITS ARE PAID TO APPROVED PLANS, FUNDS, OR PROGRAMS NAME AND TITLE SIGNATURE

− in addition to the basic hourly wage rates paid to each laborer or mechanic listed in the above referenced payroll, payments of fringe benefits as listed in the contract THE WILLFUL FALSIFICATION OF ANYOF THE ABOVE STATEMENTS MAY SUBJECT THE CONTRACTOR OR have been or will be made ot appropriate programs of r het benefit of such employees, SUBCONTRACTOR TO CIVIL OR CRIMINAL PROSECUTION. SEE SECTION 1001 OF TITLE 18 AND SECTION 231 OF TITLE except as noted in section 4(c) below. 31 OF THE UNITED STATES CODE. Attachment 8 – EEO Poster

Bid Packet (For Contracts funded with NYS CWSRF or DWSRF) Page 39 of 39 Revision Date: 10/1/2020 Equal Employment Opportunity is

Private Employers, State and Local Governments, Educational Institutions, Employment Agencies and Labor Organizations � ApplicaTHEnts to and employees of most private emp loyerLs, state andA local governmWents, educational institutions, employment agencies and labor organizations are protected under Federal law from discrimination on the following bases: �

RACE, COLOR, RELIGION, SEX, NATIONAL ORIGIN GENETICS Title VII of the Civil Rights Act of 1964, as amended, protects applicants and Title II of the Genetic Information Nondiscrimination Act of 2008 protects applicants employees from discrimination in hiring, promotion, discharge, pay, fringe benefits, and employees from discrimination based on genetic information in hiring, job training, classification, referral, and other aspects of employment, on the basis promotion, discharge, pay, fringe benefits, job training, classification, referral, and of race, color, religion, sex (including pregnancy), or national origin. Religious other aspects of employment. GINA also restricts employers’ acquisition of genetic discrimination includes failing to reasonably accommodate an employee’s religious information and strictly limits disclosure of genetic information. Genetic information practices where the accommodation does not impose undue hardship. includes information about genetic tests of applicants, employees, or their family members; the manifestation of diseases or disorders in family members (family DISABILITY medical history); and requests for or receipt of genetic services by applicants, Title I and Title V of the Americans with Disabilities Act of 1990, as amended, protect employees, or their family members. qualified individuals from discrimination on the basis of disability in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other RETALIATION aspects of employment. Disability discrimination includes not making reasonable All of these Federal laws prohibit covered entities from retaliating against a accommodation to the known physical or mental limitations of an otherwise qualified person who files a charge of discrimination, participates in a discrimination individual with a disability who is an applicant or employee, barring undue hardship. proceeding, or otherwise opposes an unlawful employment practice.

AGE WHAT TO DO IF YOU BELIEVE DISCRIMINATION HAS OCCURRED The Age Discrimination in Employment Act of 1967, as amended, protects There are strict time limits for filing charges of employment discrimination. To applicants and employees 40 years of age or older from discrimination based on preserve the ability of EEOC to act on your behalf and to protect your right to file a age in hiring, promotion, discharge, pay, fringe benefits, job training, classification, private lawsuit, should you ultimately need to, you should contact EEOC promptly referral, and other aspects of employment. when discrimination is suspected: The U.S. Equal Employment Opportunity Commission (EEOC), 1-800-669-4000 SEX (WAGES) (toll-free) or 1-800-669-6820 (toll-free TTY number for individuals with hearing In addition to sex discrimination prohibited by Title VII of the Civil Rights Act, as impairments). EEOC field office information is available at www.eeoc.gov or amended, the Equal Pay Act of 1963, as amended, prohibits sex discrimination in in most telephone directories in the U.S. Government or Federal Government the payment of wages to women and men performing substantially equal work, section. Additional information about EEOC, including information about charge in jobs that require equal skill, effort, and responsibility, under similar working filing, is available at www.eeoc.gov. conditions, in the same establishment. Employers Holding Federal Contracts or Subcontracts

Applicants to and employees of companies with a Federal government contract or subcontract are protected under Federal law from discrimination on the following bases:

RACE, COLOR, RELIGION, SEX, NATIONAL ORIGIN three years of discharge or release from active duty), other protected veterans Executive Order 11246, as amended, prohibits job discrimination on the basis (veterans who served during a war or in a campaign or expedition for which a of race, color, religion, sex or national origin, and requires affirmative action to campaign badge has been authorized), and Armed Forces service medal veterans ensure equality of opportunity in all aspects of employment. (veterans who, while on active duty, participated in a U.S. military operation for which an Armed Forces service medal was awarded). INDIVIDUALS WITH DISABILITIES Section 503 of the Rehabilitation Act of 1973, as amended, protects qualified RETALIATION individuals from discrimination on the basis of disability in hiring, promotion, Retaliation is prohibited against a person who files a complaint of discrimination, discharge, pay, fringe benefits, job training, classification, referral, and participates in an OFCCP proceeding, or otherwise opposes discrimination other aspects of employment. Disability discrimination includes not making under these Federal laws. reasonable accommodation to the known physical or mental limitations of an otherwise qualified individual with a disability who is an applicant or employee, Any person who believes a contractor has violated its nondiscrimination or barring undue hardship. Section 503 also requires that Federal contractors take affirmative action obligations under the authorities above should contact affirmative action to employ and advance in employment qualified individuals immediately: with disabilities at all levels of employment, including the executive level. The Office of Federal Contract Compliance Programs (OFCCP), U.S. DISABLED, RECENTLY SEPARATED, OTHER PROTECTED, Department of Labor, 200 Constitution Avenue, N.W., Washington, D.C. AND ARMED FORCES SERVICE MEDAL VETERANS 20210, 1-800-397-6251 (toll-free) or (202) 693-1337 (TTY). OFCCP may also be The Vietnam Era Veterans’ Readjustment Assistance Act of 1974, as amended, 38 contacted by e-mail at [email protected], or by calling an OFCCP regional U.S.C. 4212, prohibits job discrimination and requires affirmative action to employ or district office, listed in most telephone directories under U.S. Government, and advance in employment disabled veterans, recently separated veterans (within Department of Labor.

Programs or Activities Receiving Federal Financial Assistance

RACE, COLOR, NATIONAL ORIGIN, SEX INDIVIDUALS WITH DISABILITIES In addition to the protections of Title VII of the Civil Rights Act of 1964, as Section 504 of the Rehabilitation Act of 1973, as amended, prohibits employment amended, Title VI of the Civil Rights Act of 1964, as amended, prohibits discrimination on the basis of disability in any program or activity which receives discrimination on the basis of race, color or national origin in programs or Federal financial assistance. Discrimination is prohibited in all aspects of activities receiving Federal financial assistance. Employment discrimination employment against persons with disabilities who, with or without reasonable is covered by Title VI if the primary objective of the financial assistance is accommodation, can perform the essential functions of the job. provision of employment, or where employment discrimination causes or may cause discrimination in providing services under such programs. Title IX of the If you believe you have been discriminated against in a program of any Education Amendments of 1972 prohibits employment discrimination on the institution which receives Federal financial assistance, you should immediately basis of sex in educational programs or activities which receive Federal financial contact the Federal agency providing such assistance. assistance.

EEOC 9/02 and OFCCP 8/08 Versions Useable With 11/09 Supplement EEOC-P/E-1 (Revised 11/09)