addendum 2 rfp 4525 food, beverage and concessions ...bids.nfta.com/docs/4525 ad2 food, beverage,...

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ADDENDUM 2

RFP 4525

FOOD, BEVERAGE AND CONCESSIONS SERVICES

NIAGARA FRONTIER TRANSPORTATION AUTHORITY

February 16, 2016 TO ALL CONCERNED: The original contract document for FOOD, BEVERAGE AND CONCESSIONS SERVICES is hereby amended in accordance with the following:

1. The due date for receipt of responses is changed to February 25, 2016.

The addendum shall form a part of the contract documents. Proponents must attach a copy of this addendum to the contract documents submitted with their proposals. Andrea Herald Procurement Manager

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ADDENDUM 1

RFP 4525



December 29, 2015 TO ALL CONCERNED: The original contract document for FOOD, BEVERAGE AND CONCESSIONS SERVICES is hereby amended in accordance with the following:

1. The due date for questions is changed to January 29, 2016. 2. The due date for responses is changed to February 17, 2016 at 11:00am. 3. Drawing of restaurant space at the MTC is attached. 4. Contact Andrea Herald to schedule an appointment for a walk through of the

MTC.

The addendum shall form a part of the contract documents. Proponents must attach a copy of this addendum to the contract documents submitted with their proposals. Andrea Herald Procurement Manager

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REQUEST FOR PROPOSAL


NFTA RFP 4525

The following items are to be included with the proposal and made part of any agreement entered into pursuant to this RFP. SUBMIT 6 HARD COPIES OF PROPOSAL and 1 ELECTRONIC COPY (A CD OR FLASH DRIVE). Cover Letter Description of products/services Firm, Management and Staff Qualifications References Itemized Cost Proposal MWBE Forms Non-Collusive Proposal Certificate Disclosure of Prior Non-Responsibility Determinations Bidder’s/Proposer’s Affirmation and Certification Proposal Submittal Form Acknowledgment of Addenda Proof of Insurance

PROPONENTS MUST REGISTER AND DOWNLOAD THIS RFP FROM THE NFTA WEB SITE, WWW.NFTA.COM, IN ORDER TO BE NOTIFIED OF SUBSEQUENT AMENDMENTS. ONLY REGISTERED SUPPLIERS WILL RECEIVE NOTIFICATION OF

NEW RFP’S AS THEY BECOME AVAILABLE.

THE RFP NUMBER MUST BE REFERENCED ON ALL SUBMITTALS AND CORRESPONDENCE.

http://www.nfta.com/

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REQUEST FOR PROPOSAL 4525

Proposals will be received by the undersigned until 11:00 a.m., on JANUARY 18, 2016:


in accordance with the attached proposal documents. The Authority reserves the right to reject any or all proposals, or to waive any informality in the proposal. Proposals shall be submitted in a sealed envelope showing Proponent’s name and addressed to:

NIAGARA FRONTIER TRANSPORTATION AUTHORITY Department of Procurement - Fifth Floor

Attention: Andrea Herald 181 Ellicott Street

Buffalo, New York 14203 Phone: 716-855-7356

Email: [email protected] www.nfta.com

MARK ON LOWER LEFT HAND CORNER OF ENVELOPE:

RFP: 4525 DUE DATE: JANUARY 18, 2016 FOR: FOOD, BEVERAGE AND CONCESSIONS SERVICES NAME OF PROPONENT:

PROPOSALS MUST BE RECEIVED AT 181 ELLICOTT STREET, 5TH FLOOR, PROCUREMENT DEPARTMENT, BEFORE THE TIME DESIGNATED FOR OPENING IN ORDER TO BE CONSIDERED. All correspondence, communications and/or contact with the NFTA in regard to any aspect of this proposal shall be with the Procurement Official designated above or her designated representative. Prospective proponents, or their representatives, shall not make contact with or communicate with any representatives of the NFTA, including employees and consultants, other than the designated Procurement Official, in regard to any aspect of this proposal.

Andrea Herald Procurement Manager

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INTRODUCTION The Niagara Frontier Transportation Authority (NFTA) is soliciting proposals from concessionaires to provide all, one, or any combination of: freshly prepared food and beverage service (restaurant); retail offerings including: newspapers, souvenirs, phone and greeting cards, candy, basic traveler health and hygiene needs; and machine vending services at any or all of the locations listed.

PROFILE OF THE NFTA The Niagara Frontier Transportation Authority (NFTA) was created by an act of the New York State Legislature in 1967 to provide a regional entity that could develop, operate, and maintain transportation systems and services for the people of Erie and Niagara Counties. The NFTA is a regional multi-modal transportation authority responsible for air and surface transportation in Erie and Niagara counties. NFTA businesses include a bus, rail and ADA paratransit system, two international airports, and a transportation centers in Buffalo and Niagara Falls. The Metro public transit system provides urban and rural public transportation services within the two-county service area. Metro’s 317 buses, 36 paratransit/Metrolink vehicles, 5 Metrolink trolleys. Twenty-seven rail cars operate 18.5 hours per day Monday thru Friday, 17 hours on Saturday and 15 hours on Sunday. SCOPE 1. The Metropolitan Transportation Center (MTC). The MTC is the regional Hub to a variety of full service transportation providers including Greyhound, Trailways, MegaBus, Coach Canada, Coach USA and others.

We are the largest operating surface transit hub in Western New York proudly offering well timed travel options to our Metro Bus and Rail customers. The MTC is headquarters of the NFTA.

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The MTC is located in the center of what is the most vibrant and promising urban redevelopment areas in New York State. The MTC is strategically located in the middle of downtown’s many landmarks, our well attended sporting and entertainment venues, and points of historical and architectural significance. Some of the more significant destinations within the region are within 2,500 feet of the MTC as identified below: Erie County Community College

Student Housing Coca Cola Field Servicemen’s Park Central Warf Buffalo Convention Center Buffalo & Erie County Central Library Local Housing & Loft Conversions Central Business District First Niagara Arena Buffalo Place Shea’s Buffalo Theatre Historical Landmarks Erie Canal Harbor City & County Hall Lafayette Hotel

Traffic through the MTC is estimated as follows:

The daily arrivals/departures of Greyhound, Trailways and Megabus is 65. This increases to 70 – 80 in summer and 72-75 on weekends.

The average number of passengers is 1100 - 1300 per day.

Metro bus traffic per day is: o 2618 passengers weekdays, 1794 weekends o 725 buses weekdays, 295 weekends

The NFTA is in the process of updating the public areas of the MTC. We are interested in proposals to establish professional, well-managed food, beverage, and traveler retail services at the MTC. A single provider or closely aligned partnership is preferred to manage all retail services within the facility, although, stand-alone proposals for each category of services will be considered. The successful proponent will not be permitted to sell brand identified coffee, breakfast sandwiches, donuts, or bagels. These restrictions shall apply to both over the counter and vended goods per our agreement with Tim Horton’s Café and Bake Shop who currently operates in the MTC. The sub-contracting of any aspect of the services requested in the single provider element of this RFP will only be considered as a component of any proposal submittal to provide all services requested in this RFP. The submission of independent proposals

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for vending machine only (or) restaurant/retail only will also be considered in the event that a proposal from a single provider is not in the best interest of the NFTA. The NFTA is very interested in providing other consumer products and services that may be a good fit for the MTC. Retail offerings such as bike rental and repair, news and lottery, dry cleaning drop-off, ATM, and other services suggested in your proposal will be considered. The concessions operator will be responsible for all construction, equipment installation, and related furnishing costs plus all electrical and water utilities used in the delivery of the proposed goods and services. HVAC within the current footprint of the MTC will be provided by the NFTA within the terms of an agreement. We are seeking a provider that can offer an appealing menu of freshly prepared food products and beverages to the traveling public 365 days a year, hours to be determined, via retail; and 365 days a year, 24 hours a day, via vending. Price levels must be consistent with comparable offerings within the region. The sales of alcoholic beverages will not be permitted at any NFTA operated facility. A cooperative approach to providing quality hot food service at an attractive price, in a clean and professional environment, is our commitment to the traveling public and visitors to the MTC. Optimally, staffed food and retail service should be available from 6:00AM until 11:30PM daily, but may continue beyond that if agreed upon by both parties. This is based on current peak travel periods and transfer times for Metro and Interstate coach bus service at the MTC. Proponents shall state their hours of operation in the proposal. When changes in scheduling and passenger levels are made, the NFTA will assemble a committee made up of one member from each signatory service provider at the MTC (NFTA, Greyhound, Trailways, Megabus, Food Service and Retail Providers). This committee will review increases/decreases in passenger loads, holiday hours, and travel projections. Group consensus will determine necessary adjustments to staffed service hours. (A signatory service provider is defined as a lease holding tenant of the MTC and an NFTA representative.) During peak travel periods such as regional festivals, school breaks, summer, holidays, special events, and weather events where the MTC based operators have a higher than normal volume or back log of passengers in the terminal, the food service provider will remain open to service the needs of the traveling public and local employees. Counter service is an acceptable form of product delivery, but additional options including table service are acceptable. The concessionaire shall also provide a “grab and go” option for passengers with minimal transfer time in the facility or simply requiring food on the go. When staffed food service has closed for the evening, the single provider(s) shall make available a quality selection of machine vending options using clean, modern, and well maintained vending machines including a change machine to support vending operations. Current machine vending locations are slated for demolition and relocation

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and may not be available to prospective vendors. Proponents shall suggest vending locations in their proposals. Proposals for stand-alone vending shall provide 24/7/365 vending availability. All vending machines must be clearly labeled with contact information for customers experiencing issues with product delivery or quality. Requests for repairs should be completed within 24 hours. A petty cash fund shall be provided for immediate disbursement of lost funds. All products shall be clearly marked with expiration dates. Expired products shall be removed from the machines when they are stocked. The location, size, operating hours, appearance and number of vending machines are subject to review and approval by the NFTA. All construction, cleaning, and waste removal from the leased areas are the sole responsibility of the contractor. The concessionaire will be responsible for the daily cleaning and maintenance of all leased areas, including the restaurant seating and vending areas. Because of limited space, only one dumpster can be maintained at the MTC; the cost of this common use service will be shared among all users including the selected concessioner. The NFTA will make available between 2,000 and 5,000 square feet of leased space hosting a combination of customer seating, food service, storage, office, vending and kitchen area. If additional retail opportunities are offered, additional leased space may be available. The contractor must provide and maintain an enclosed seating area that can safely and comfortably accommodate the traveling public and their luggage. It is expected that the footprint of the seating area will meet the local capacity code and provide a place for people to relax and enjoy a meal while visiting the MTC. Seating in this area may be limited to customers of the facility while enjoying their purchases. Contractor maintained trash receptacles must be maintained at the entrance and exit of all retail offerings including food service. All signage at the MTC must be approved in advance by the NFTA. The concessionaire will be responsible for the installation upkeep of all equipment, fixtures and furniture required for its operation(s). The facility can accommodate 21 long haul and metro bus operations simultaneously under covered parking areas. Additionally, the Ellicott Street and N. Division metro bus stops handle hundreds of bus arrivals and departures daily, adding thousands of additional daily travelers to the potential customer base of the MTC. MTC public areas exceed 20,000 square feet and are designed to accommodate 1,200 Peak Hour Passengers.

NOTE: A walk through of the premises is scheduled for 9:30 am , December 17, 2015._Contact Andrea Herald for instructions if you plan to attend.

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2. Rail Stations

It is the intention of the NFTA to provide its passengers and passersby the opportunity to buy food, beverages and other non-food items from vendors at the rail stations. Twenty-seven rail cars operate 18.5 hours Monday thru Friday, 17 hours on Saturday and 15 hours on Sunday. The estimated annual ridership per station is listed below.

Available space for concessions at rail station locations are as follows (other options may be proposed): University Station – Outside, north of building near last bus stop at Main. Inside, south-east corner at the Park and Ride step area near the elevator. LaSalle Station – Outside, at walkway from parking lot. Inside, west wall between north and south doors. Amherst Station – Outside, None. Inside, east wall between Main St. doors and Amherst St. doors. Humboldt Station on Main St. (west side) – Outside, None. Inside, south-west corner, upper level. Mezzanine level, north wall near West entrance. Humboldt Station on Kensington Ave. (east side) – Outside, None. Inside, south-east corner, upper level.

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Delevan Station – Outside, None. Inside, west of Delevan St. doors in front of glass windows. Utica Station – Outside, Corner of Main & Utica at property line or east of turnaround driveway at south/east Utica doors in the wall parallel with aggregate concrete. Inside, south wall near Main St. doors. Summer Best – Outside, 20 feet east of Best St. doors or corner of Main & Best at property line. Inside, east wall.

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Allen Hospital – None. This location will be bid independently. Hours of operation and locations must be mutually agreed upon. No cooking or heating of food is permitted in the interior of the Station’s areas. Cooking facilities must be twenty (20) feet from building and ventilation shafts. Deep fat frying is not permitted. The selected concessionaire(s) are responsible for the following:

At the concession site and immediate proximity, provide litter/garbage pick up and removal throughout the day.

At the end of the day, all garbage must be removed from the premises and disposed of by vendor at an off-site location.

Deliveries received at the site must not interfere with station operations and traffic.

Vendor is responsible for ash removal and to ensure proper precautions are used. Concessionaire must follow NFPA 96 for ash removal and disposal.

The concession site must be portable and removed at the end of the day.

Vendors must keep all of the exits to the station clear and position themselves so that no congestion exist at the exits.

Vendors must provide an approved fire extinguisher selected and inspected in accordance with NFPA.

Proponents are encouraged to visit the sites prior to submitting a proposal.

3. Niagara Falls Transportation Center (NFTC) at 2250 Factory Outlet Blvd, Town of Niagara and NFTC at 1124 Portage Road, Niagara Falls Vending machine service for cold drinks, hot beverages and snacks will be needed at these locations. Proponents are encouraged to visit the sites prior to submitting a proposal.

LAWS/LICENSES

The contractor(s) selected shall comply with all applicable State, Federal and local laws, ordinances, regulations and codes and obtain appropriate licensing and/or permits. Proof of such must be provided with the proposal. SAFETY The contractor(s) selected shall comply with all applicable State, Federal and local safety requirements. Upon award, the contractor will be provided with a copy of the NFTA Contractor Safety Program. CONTRACT

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The proponent shall suggest the length of an agreement in the proposal. If stand alone, the term of the contract for a vending only proponent will be three (3) years plus two (2) one (1) year renewals at the NFTA’s sole discretion. The concessionaire will be responsible for providing and installing all related equipment, fixtures and furniture required for its operation. All construction, cleaning, and waste removal from all service areas are the sole responsibility of the contractor. COST PROPOSAL Concessionaire will pay the NFTA the greater of a percentage of Gross Revenues or the Minimum Annual Guarantee (MAG). Quote revenue to NFTA as a Minimum Annual Guaranty (MAG) and a percentage of gross sales for each year of an agreement. Revenue shall be broken down by location and by category of service. Use the Itemized Cost Proposal pages to submit the cost proposal. TECHNICAL PROPOSAL Please provide your proposed business plan, including a detailed capital investment plan, in your proposal. Include proposed hours of operation, menu(s), product offerings and pricing by location and category. All proposals must provide a clear and detailed vision for food service, machine vending, and retail opportunities at the proposed location. Please include drawings, photos and any information that can best allow your proposal to be evaluated. Identify the financial and inventory record keeping systems your firm will use to allow for the NFTA to plan and properly audit revenue. The NFTA expects to enter into a financially sustainable agreement with local or nationally recognized and respected food service and vending provider(s). Please provide the history of your firm, current locations, and a pictorial introduction to current and/or proposed service(s). Clearly describe your firm’s experience with providing food service, retail, and machine vending, including marketing plan(s) to promote and maximize revenue opportunities. Describe how your strategy will be beneficial to the NFTA. Provide a draft floor plan of the proposed food service, vending, and retail concepts within the MTC. Please include any concept drawings. Attached is a copy of our current first floor layout.

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Proposers shall include information about their operational staffing standards, safety policy, training program, uniform standards, and customer service standards with their proposal.

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INSURANCE REQUIREMENTS The Contractor agrees to procure and maintain at its expense during the term of the Agreement insurance of the kinds and in the amounts hereafter required, with insurance companies authorized to do business in New York State, covering all operations under this Agreement whether performed by it or its sub-contractors. The insurance companies affording coverage must be deemed acceptable to the Authority throughout the term of this contract. If any insurance company is deemed unacceptable to the Authority the Contractor agrees to procure and maintain at its expense coverage with an acceptable insurer as soon as notified by the Authority. In relation to the interests of the NFTA, the insurance shall not be invalidated by any action or inaction of the Contractor, or any other individual or entity, subject to the terms and conditions of the policy. The policies shall provide for a 30-day notice to the Authority prior to termination, cancellation or change.

Prior to the execution of the Agreement, the Contractor shall supply the Authority by delivering to the Manager of Procurement, 181 Ellicott St., Buffalo, NY 14203, a certificate(s) of insurance providing evidence of insurance coverage for the Contractor for the following coverage:

Commercial General Liability Insurance including coverage for property damage, bodily injury, personal injury and completed operations with a single limit of at least $1,000,000 per occurrence with a $2,000,000 aggregate. The certificate shall name the Niagara Frontier Transportation Authority, and its subsidiaries, as additional insureds.

If any motor vehicle is used in the work, Auto Liability Insurance covering bodily injury and property damage with minimum combined single limit of $1,000,000. The certificate shall name the Niagara Frontier Transportation Authority, and its subsidiaries, as additional insureds.

Workers’ Compensation and Employer’s Liability in accordance with the applicable laws of the State of New York.

Property damage insurance which shall include “extended coverage” and coverage for personal property, equipment and furnishings and vandalism/malicious mischief and other casualties, in an amount not less than the actual replacement cost of any equipment and furnishings.

The Authority and the Contractor agree to waive all rights against each other for damages to the extent covered by the insurance, except for such rights they may have to the proceeds of such insurance held by the Authority as trustee. The Contractor shall require similar reciprocal waivers by all sub-contractors and sub-sub-contractors. This policy shall recognize such waivers of recovery by an appropriate Waiver of Subrogation Clause Endorsement, excluding any subrogation rights granted under New York Law to the contrary notwithstanding. All above required insurance coverages are to be provided on a primary and non-contributory basis.

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PROPOSAL EVALUATION An NFTA Selection Team will evaluate proposals. The team will select the proponent whose proposal is most advantageous to the NFTA, considering the evaluation criteria. Selection Procedure

1. The selection team will evaluate and score all proposals received. 2. Proposals not meeting minimum requirements and those, which are not

responsive, will not be given further consideration. 3. Proposals in the competitive range will be determined. These proponents may

be asked to present their proposal to the selection team. 4. When presentations, discussions and negotiations are concluded, NFTA may

request revised proposals and /or best and final offers from responsible proponents in the competitive range.

5. Proposals will be re-evaluated and scored. The selection team will recommend that the proponent with the highest overall score be awarded the contract. The recommendation must be approved by the NFTA Board of Commissioners prior to the execution of a contract.

NOTE: NFTA reserves the right to make the award based upon the initial proposals submitted, without presentations or discussions. Evaluation Criteria (Listed in order of importance) Revenue to NFTA - 50% Proposed business plan, capital investment - 30% Demonstrated ability in the industry, references - 20%

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ITEMIZED COST PROPOSAL Submitted By_____________________

1. Metropolitan Transportation Center

MINIMUM ANNUAL GUARANTY

Yr Food

Service Restaurant

Vending Retail Other Other

Other

1 $______ $______ $______ $______ $______ $______

2 $______ $______ $______ $______ $______ $______

3 $______ $______ $______ $______ $______ $______

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9 $______ $______ $______ $______ $______ $______

10 $______ $______ $______ $______ $______ $______

PERCENTAGE OF GROSS BILLINGS

Yr Food

Service Restaurant


Other

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2. Rail Stations

University Station MINIMUM ANNUAL GUARANTY

Yr Food

Service


Other

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Yr Food

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LaSalle Station


Yr Food

Service


Other

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Yr Food

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Amherst Station MINIMUM ANNUAL GUARANTY

Yr Food

Service


Other

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Yr Food

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Humboldt Station East


Yr Food

Service


Other

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Yr Food

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Humboldt Station West


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Service


Other

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Delevan/Canisius College Station


Yr Food

Service


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4 ______% ______% ______% ______% ______% ______%

5 ______% ______% ______% ______% ______% ______%

6 ______% ______% ______% ______% ______% ______%

7 ______% ______% ______% ______% ______% ______%

8 ______% ______% ______% ______% ______% ______%

9 ______% ______% ______% ______% ______% ______%

10 ______% ______% ______% ______% ______% ______%

23

Utica Station MINIMUM ANNUAL GUARANTY

Yr Food

Service


Other

1 $______ $______ $______ $______ $______ $______

2 $______ $______ $______ $______ $______ $______

3 $______ $______ $______ $______ $______ $______

4 $______ $______ $______ $______ $______ $______

5 $______ $______ $______ $______ $______ $______

6 $______ $______ $______ $______ $______ $______

7 $______ $______ $______ $______ $______ $______

8 $______ $______ $______ $______ $______ $______

9 $______ $______ $______ $______ $______ $______

10 $______ $______ $______ $______ $______ $______


Yr Food

Service


Other

1 ______% ______% ______% ______% ______% ______%

2 ______% ______% ______% ______% ______% ______%

3 ______% ______% ______% ______% ______% ______%

4 ______% ______% ______% ______% ______% ______%

5 ______% ______% ______% ______% ______% ______%

6 ______% ______% ______% ______% ______% ______%

7 ______% ______% ______% ______% ______% ______%

8 ______% ______% ______% ______% ______% ______%

9 ______% ______% ______% ______% ______% ______%

10 ______% ______% ______% ______% ______% ______%

24

Summer-Best Station MINIMUM ANNUAL GUARANTY

Yr Food

Service


Other

1 $______ $______ $______ $______ $______ $______

2 $______ $______ $______ $______ $______ $______

3 $______ $______ $______ $______ $______ $______

4 $______ $______ $______ $______ $______ $______

5 $______ $______ $______ $______ $______ $______

6 $______ $______ $______ $______ $______ $______

7 $______ $______ $______ $______ $______ $______

8 $______ $______ $______ $______ $______ $______

9 $______ $______ $______ $______ $______ $______

10 $______ $______ $______ $______ $______ $______


Yr Food

Service


Other

1 ______% ______% ______% ______% ______% ______%

2 ______% ______% ______% ______% ______% ______%

3 ______% ______% ______% ______% ______% ______%

4 ______% ______% ______% ______% ______% ______%

5 ______% ______% ______% ______% ______% ______%

6 ______% ______% ______% ______% ______% ______%

7 ______% ______% ______% ______% ______% ______%

8 ______% ______% ______% ______% ______% ______%

9 ______% ______% ______% ______% ______% ______%

10 ______% ______% ______% ______% ______% ______%

25

NFTC at Factory Outlet Blvd MINIMUM ANNUAL GUARANTY

Yr Food

Service


Other

1 $______ $______ $______ $______ $______ $______

2 $______ $______ $______ $______ $______ $______

3 $______ $______ $______ $______ $______ $______

4 $______ $______ $______ $______ $______ $______

5 $______ $______ $______ $______ $______ $______

6 $______ $______ $______ $______ $______ $______

7 $______ $______ $______ $______ $______ $______

8 $______ $______ $______ $______ $______ $______

9 $______ $______ $______ $______ $______ $______

10 $______ $______ $______ $______ $______ $______


Yr Food

Service


Other

1 ______% ______% ______% ______% ______% ______%

2 ______% ______% ______% ______% ______% ______%

3 ______% ______% ______% ______% ______% ______%

4 ______% ______% ______% ______% ______% ______%

5 ______% ______% ______% ______% ______% ______%

6 ______% ______% ______% ______% ______% ______%

7 ______% ______% ______% ______% ______% ______%

8 ______% ______% ______% ______% ______% ______%

9 ______% ______% ______% ______% ______% ______%

10 ______% ______% ______% ______% ______% ______%

26

NFTC at 1124 Portage Rd. MINIMUM ANNUAL GUARANTY

Yr Food

Service


Other

1 $______ $______ $______ $______ $______ $______

2 $______ $______ $______ $______ $______ $______

3 $______ $______ $______ $______ $______ $______

4 $______ $______ $______ $______ $______ $______

5 $______ $______ $______ $______ $______ $______

6 $______ $______ $______ $______ $______ $______

7 $______ $______ $______ $______ $______ $______

8 $______ $______ $______ $______ $______ $______

9 $______ $______ $______ $______ $______ $______

10 $______ $______ $______ $______ $______ $______


Yr Food

Service


Other

1 ______% ______% ______% ______% ______% ______%

2 ______% ______% ______% ______% ______% ______%

3 ______% ______% ______% ______% ______% ______%

4 ______% ______% ______% ______% ______% ______%

5 ______% ______% ______% ______% ______% ______%

6 ______% ______% ______% ______% ______% ______%

7 ______% ______% ______% ______% ______% ______%

8 ______% ______% ______% ______% ______% ______%

9 ______% ______% ______% ______% ______% ______%

10 ______% ______% ______% ______% ______% ______%

27

PROPOSAL INSTRUCTIONS

1. INTRODUCTION This Request for Proposal ("RFP") invites proposals for FOOD, BEVERAGE AND CONCESSIONS SERVICES as set forth herein. These services may be modified during contract negotiations between the Proponent and the NFTA. The Proponent is encouraged to use its previous knowledge and experience to develop a proposal to meet the NFTA’s needs and a time schedule for completion within the constraints set forth in the project description and technical requirements. This RFP does not commit the NFTA to negotiate a contract, nor does it obligate the NFTA to pay for any costs incurred in preparation and submission of proposals or costs incurred prior to entering into a formal agreement. Proposals will be accepted until 11:00 am, JANUARY 18, 2015 at the Office of the Manager, Procurement, Fifth Floor, Metropolitan Transportation Center, 181 Ellicott Street, Buffalo, New York 14203. Proposals should be submitted in an opaque, sealed envelope. Proposals received after the date and time specified above shall be considered late proposals and, therefore, shall not be opened nor considered for award. The RFP number must be referenced on all submittals and correspondence. 2. PROPONENT QUALIFICATIONS To be considered qualified, the Proponent must demonstrate in its proposal that it has the background, experience, and the technical and management resources required to organize and conduct the services outlined in this RFP. The Proponent shall furnish information documenting its ability to provide and perform all work related to its implementation and ongoing effectiveness of the project, in a timetable acceptable by the NFTA. The NFTA reserves the right to investigate the qualifications of firms under consideration to confirm any part of the information furnished by the Proponent. Anything less than satisfactory performance on a prior NFTA contract may lead to the NFTA concluding that the Proponent is not qualified. 2.1 Joint Venture: Proposals submitted by a joint venture shall not be considered unless the contractual responsibilities of the parties to the joint venture are clearly and specifically identified. 2.2 Validity Period: The proposal shall be considered valid for the period of time it takes to negotiate a contract with the successful Proponent. This may involve a period of up to 90 days following submittal. If a proposal is not valid for this time period, notification of the valid time period must be made in the letter of transmittal. 2.3 Disclosure of Proposal Data: Access to the NFTA’s records is governed by Article 6 of the Public Officers Law of the State of New York (“Freedom of Information Law”). Except as otherwise required by the Freedom of Information

28

Law, the NFTA will exempt from disclosure records submitted in the proposal which are trade secrets or are maintained for the regulation of commercial enterprise which if disclosed would cause substantial injury to the competitive position of the subject enterprise. Any such records that an Offeror believes should be exempted from disclosure shall be specifically identified and marked as such. Blanket-type identification by designating whole pages or sections as records exempt from disclosure will not assure confidentiality. The specific records must be clearly identified and an explanation submitted as to why they should be exempt. Proposal Forms shall not be designated to be proprietary. The NFTA will disregard any proprietary markings on any Proposal Form. NFTA will not be liable for disclosure of information not marked consistent with the instructions above. Upon a request for records from a third party regarding any records submitted with this proposal for which an exemption was sought the NFTA will notify in writing the party involved. The party involved must respond within 10 (ten) business days with a written statement of the necessity for the continuation of such exemption. 2.4 Agreement: The Proponent awarded the contract will be required to execute an Agreement in a form acceptable to the Authority. 3. RFP AMENDMENTS/QUESTIONS This RFP represents a written statement on the part of the NFTA explaining the requirements, terms, and conditions for submissions of proposals. The RFP covers this material as comprehensively and completely as it can at this time and thus contains all representations of the NFTA with respect to this matter. Any information or understandings, verbal or written, which are not contained within this RFP, or in later written addenda to this RFP, if issued, will be excluded from consideration in evaluating proposals. Any questions, objections or requests for revisions which Proponents may have should be submitted in writing to Andrea Herald via e-mail and received no later than January 6, 2016. If questions submitted to the NFTA make issuance of addenda to this RFP necessary, such addenda will be distributed to all prospective Proponents. However, it is the responsibility of the Proponent to determine whether addenda have been issued and to acknowledge their receipt in its proposal. 4. PROPOSAL PROTEST PROCEDURES 4.1 Pre-Submittal Opening Protests: If a Proponent can demonstrate that the Contract Documents issued by the NFTA are unduly exclusionary and restrictive or that federal, state or local laws or regulations have been violated during the course of the procurement, then the Proponent may seek a review by the Executive Director or his appointed representative, at 181 Ellicott Street, Buffalo, New York 14203. Protests shall be clearly identified as Protests and submitted in writing as early as possible but no later than five (5) business days before the date specified for proposal submittal. Within four

29

(4) business days after receipt of a pre-submittal protest, the Executive Director shall make one of the determinations listed in paragraph 4.4 4.2 Post-Submittal Protests: A protest to the acceptance or rejection of any or of all proposals for a contract, or to the award thereof, or to any such action proposed or intended by the NFTA, must be received in writing by the Executive Director no later than five (5) business days after the protesting party first learned, or reasonably ought to have learned, of the action or the proposed or intended action to which he/she protests. 4.3 Decision-Makers: In the event the protester alleges that the Executive Director or the representative appointed by the Executive Director to serve as Decision-Maker for the particular protest, engaged in improper conduct during the subject procurement, the General Counsel shall serve as the Decision-Maker. In the event it has been alleged that the General Counsel has engaged in improper conduct during the subject procurement, either the Executive Director or the Chief Financial Officer shall serve as the Decision-Maker. 4.4 Rulings on Protests: Within four (4) business days, the Executive Director shall render one of the following determinations:

(a) Protest is overruled. (b) Protest is substantiated. Executive Director shall issue instructions to remedy

issues relating to the protest. (c) Procurement activity is suspended until written notification by the Executive

Director. The determination shall be in writing and shall provide at a minimum a general response to each material issue raised in the protest. All documents submitted by the Protester and/or Authority Staff and reviewed by the Decision-Maker in the reaching of a determination shall form and be retained by the Authority as the formal record of the dispute resolution process. The issuance of the foregoing determination is the NFTA's final decision of the dispute. All interested parties shall be notified of any protests that are filed. The NFTA shall refrain from awarding a contract within five (5) business days of the date of a decision rendered by the Executive Director regarding a protest, unless the NFTA determines that:

(a) The items to be procured are urgently required. (b) Delivery or performance will be unduly delayed by failure to make a prompt

award. (c) Failure to make a prompt award will otherwise cause undue harm to the NFTA,

state government or the federal government. 4.5 Protester’s Appeal to Federal or State Agencies: In the event that the NFTA fails to have written protest procedures or fails to abide by the protest procedures set forth above, and federal or state funds are participating in the procurement, then the protester may seek a review by the appropriate funding agency. Protesters shall file such a protest in accordance with the requirements set forth below, not later than five

30

(5) business days after a final decision is rendered under the NFTA's protest procedure. In instances where the protester alleges that the NFTA failed to make a final determination on the protest, protesters shall file a protest with the appropriate agency not later than five (5) business days after the protester knew or should have known of the NFTA's failure to render a final determination on the protest. 5. PROPOSAL The Proponent shall submit 6 hard copies of their proposal and 1 electronic copy. 5.1 Format: The proposal must be in compliance with the format described herein. The proposal shall be prepared on 8-1/2" x 11" paper bound on the long side. All pages are to be sequentially numbered. Unnecessarily elaborate proposals are not desired. Proposals should be concise, particularly with respect to past experience on other projects and the resumes of key personnel. Related experience is essential. Be specific on past and current assignments. Define the firm's involvement and responsibilities in each project. Electronic Copy: The electronic copy of the proposal must be included with the hard copies of the proposal. The electronic copy must be submitted in the form of a CD or flash drive. An emailed copy of the electronic version will not be accepted. The Proponent's technical proposal shall be prepared using the following format to facilitate evaluation. If a Proponent fails to provide the information requested in one or more sections, the proposal may be considered non-responsive. 5.2 Content: The proposal shall contain the following items:

Cover Letter Project Implementation Project Organization Key Personnel Related Projects Background Experience Cost Proposal Proposal forms completed as appropriate with supplemental data.

5.2.1 Cover Letter: The proposal shall be submitted with a cover letter summarizing key points in the proposal. Any introductory remarks may also be placed in the cover letter. Provide a contact name, address, phone number and email address. The cover letter should not exceed three pages in length. 5.2.2 Project Implementation: The Proponent shall describe its plans to provide the requested services. This section should include a narrative description of the proposed methodology to accomplish the required tasks, as well as any innovations used on similar projects which may be applicable to the project.

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5.2.3 Project Organization: This section of the proposal should be used to provide information on the Proponent’s organization and staffing of the project. It should briefly describe the Proponent’s personnel and pertinent qualifications. 5.2.4 Key Personnel: A list of key personnel for this project must be submitted along with resumes for each person. 5.2.5 Related Projects: A list of other contracts entered into by your firm that are similar to this project should be provided. Each should include the degree of involvement by your firm. 5.2.6 Background Experience: This section should contain a brief history of your firm, names of principals, concise description of the types of work accomplished, indication of current staff size and location and other relevant background information. This section should also contain information demonstrating that your firm has a good working relationship with its clients, including a list of references (include contact names, addresses, phone numbers) copies of letters of commendation and a discussion of how problems arising during the course of project are addressed. Indicate if your firm has ever defaulted on a contract; describe the circumstances and outcome. 5.2.7 Project Cost Proposal: Submit an itemized cost proposed. 5.2.8 Proposal Forms: All forms requiring Proponent responses must be completed and submitted with the proposal.

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NEW YORK STATE CONTRACT REQUIREMENTS:

1. Executory Clause In accordance with Section 41 of the State Finance Law, the State shall have no liability under this contract to the Contractor or to anyone else beyond funds appropriated and available for this contract. 2. Permits and Compliance with Laws The NFTM, in the construction, installation and operation of transportation facilities, is not required to obtain licenses or permits from any municipal or political subdivision of the State of New York. The Contractor, therefore, will not be required to obtain licenses or permits from any county, city, town or village agency or department. The Contractor shall, however, secure and pay for all permits, fees and licenses necessary to comply with applicable federal or state laws. Except as provided above, the Contractor shall comply with all federal, state, county and municipal laws, codes and regulations in connection with the prosecution of the work. The Contractor shall protect, indemnify and hold harmless the NFTM and all of their officers, agents and employees against any and all claims and liabilities arising from or based on the violation of any such requirement or law whether by the Contractor, its employees, agents or subcontractors.

3. Non-Assignment In accordance with Section 138 of the State Finance Law, this contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without the State’s previous written consent, and attempts to do so are null and void. Notwithstanding the foregoing, such prior written consent of an assignment of a contract let pursuant to Article XI of the State Finance Law may be waived at the discretion of the contracting agency and with the concurrence of the State Comptroller where the original contract was subject to the State Comptroller’s approval, where the assignment is due to a reorganization, merger or consolidation of the Contractor’s business entity or enterprise. The State retains its right to approve an assignment and to require that any Contractor demonstrate its responsibility to do business with the State. The Contractor may, however, assign its right to receive payments without the State’s prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance Law. 4. Worker’s Compensation In accordance with Section 142 of the State Finance Law, this contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law. 5. Non-Discrimination Requirements To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex, national origin, sexual orientation, age, disability, genetic predisposition or carrier status, or marital status.

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Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall by reason of race, creed, color, national origin, age, sex or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent violation. 6. Wage and Hours Provisions If this is a public work contract covered by Article 8 of the Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor Department in accordance with the Labor Law. Additionally, effective April 28, 2008, if this is a public work contract covered by Article 8 of the Labor Law, the Contractor understands and agrees that the filing of payrolls in a manner consistent with Subdivision 3-a of Section 220 of the Labor Law shall be a condition precedent to payment by the State of any State approved sums due and owing for work done upon the project. 7. Non-Collusion Bidding Certification In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor affirms, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Contractor further affirms that, at the time Contractor submitted its bid, an authorized and responsible person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf. 8. International Boycott Prohibition In accordance with Section 220-f of the Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or

34

shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affiliates of Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the contract's execution, such contract, amendment or modification thereto shall be rendered forfeit and void. The Contractor shall so notify the State Comptroller within five (5) business days of such conviction, determination or disposition of appeal (2NYCRR 105.4). 9. Set-Off Rights The State shall have all of its common law, equitable and statutory rights of set-off. These rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any other contract with any State department or agency, including any contract for a term commencing prior to the term of this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto. The State shall exercise its set-off rights in accordance with normal State practices including, in cases of set-off pursuant to an audit, the finalization of such audit by the State agency, its representatives, or the State Comptroller. 10. Records The Contractor shall establish and maintain complete and accurate books, records, documents, accounts and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the Records"). The Records must be kept for the balance of the calendar year in which they were made and for six (6) additional years thereafter. The State Comptroller, the Attorney General and any other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from public disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided that: (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's right to discovery in any pending or future litigation. 11. Identifying Information and Privacy Notification (a) Identification Number(s). Every invoice or New York State Claim for Payment submitted to a New York State agency by a payee, for payment for the sale of goods or services or for transactions (e.g., leases, easements, licenses, etc.) related to real or personal property must include the payee's identification number. The number is any or

35

all of the following: (i) the payee’s Federal employer identification number, (ii) the payee’s Federal social security number, and/or (iii) the payee’s Vendor Identification Number assigned by the Statewide Financial System. Failure to include such number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or Claim for Payment, must give the reason or reasons why the payee does not have such number or numbers.

(b) Privacy Notification. (1) The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5 of the State Tax Law. Disclosure of this information by the seller or lessor to the State is mandatory. The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the Commissioner of Taxation and Finance. The information will be used for tax administration purposes and for any other purpose authorized by law. (2) The personal information is requested by the purchasing unit of the agency contracting to purchase the goods or services or lease the real or personal property covered by this contract or lease. The information is maintained in the Statewide Financial System by the Vendor Management Unit within the Bureau of State Expenditures, Office of the State Comptroller, 110 State Street, Albany, New York 12236. 12. Equal Employment Opportunities for Minorities and Women In accordance with Section 312 of the Executive Law and 5 NYCRR 143, if this contract is: (i) a written agreement or purchase order instrument, providing for a total expenditure in excess of $25,000.00, whereby a contracting agency is committed to expend or does expend funds in return for labor, services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or (iii) a written agreement in excess of $100,000.00 whereby the owner of a State assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then the following shall apply and by signing this agreement the Contractor certifies and affirms that it is Contractor’s equal employment opportunity policy that:

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

36

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

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

Contractor will include the provisions of "a", "b", and "c" above, in every subcontract over $25,000.00 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work") except where the Work is for the beneficial use of the Contractor. Section 312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii) employment outside New York State. The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of this section. The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful rules and regulations of the Department of Economic Development’s Division of Minority and Women's Business Development pertaining hereto. Participation by Minority Group Members and Women with Respect to State Contracts – MWBE Requirements and Procedures

I. General Provisions

A. The NFTM is required to implement the provisions of New York State Executive Law Article 15-A and 5 NYCRR Parts 142-144 (“MWBE Regulations”) for all State contracts as defined therein, with a value (1) in excess of $25,000 for labor, services, equipment, materials, or any combination of the foregoing or (2) in excess of $100,000 for real property renovations and construction.

B. The Contractor agrees, in addition to any other nondiscrimination provision

of the contract and at no additional cost to the NFTM (“NFTM”), to fully comply and cooperate with NFTM in the implementation of New York State Executive Law Article 15-A. These requirements include equal employment opportunities for minority group members and women (“EEO”) and contracting opportunities for certified minority and women-owned business enterprises (“MWBEs”). Contractor’s demonstration of “good faith efforts” pursuant to 5 NYCRR §142.8 shall be a part of these

37

requirements. These provisions shall be deemed supplementary to, and not in lieu of, the nondiscrimination provisions required by New York State Executive Law Article 15 or other applicable federal, state or local laws.

C. Failure to comply with all of the requirements herein may result in a

finding of non- responsiveness, non-responsibility and/or a breach of contract, leading to the withholding of funds or such other actions, liquidated damages pursuant to Section VII or enforcement proceedings as allowed by the contract.

II. Contract Goals

A. For purposes of this procurement, NFTM hereby establishes a goal of:

30% for Minority and Women-Owned Business Enterprises (“MWBE”) participation;

15% for Minority-Owned Business Enterprises (“MBE”) participation; and

15% for Women-Owned Business Enterprises (“WBE”) participation (based on the current availability of qualified MBEs and WBEs).

B. For purposes of providing meaningful participation by MWBEs on the

contract and achieving the Contract Goals established in Section II-A hereof, Contractor should reference the directory of New York State Certified MBWEs found at the following internet address: http://www.esd.ny.gov/MWBE/directorySearch.html.

Additionally, Contractor is encouraged to contact the Division of Minority and Woman Business Development ((518) 292-5250; (212) 803-2414; or (716) 846-8200) to discuss additional methods of maximizing participation by MWBEs on the contract.

C. Where MWBE goals have been established herein, pursuant to 5 NYCRR §142.8, Contractor must document “good faith efforts” to provide meaningful participation by MWBEs as subcontractors or suppliers in the performance of the contract. In accordance with Section 316-a of Article 15-A and 5 NYCRR §142.13, the Contractor acknowledges that if Contractor 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 NFTM for liquidated or other appropriate damages, as set forth herein.

III. MWBE Reporting

A. Staffing Plan

To ensure compliance with this Section, the Contractor shall submit a staffing plan to document the composition of the proposed workforce to be utilized in the

http://www.esd.ny.gov/MWBE/directorySearch.html

38

performance of the contract by the specified categories listed, including ethnic background, gender, and Federal occupational categories. Contractors shall complete the Staffing plan form and submit it as part of their bid or proposal or within a reasonable time, but no later than the time of award of the contract.

B. Workforce Employment Utilization Report (“Workforce Report”)

1. Once a contract has been awarded and during the term of contract,

Contractor is responsible for updating and providing notice to NFTM of any changes to the previously submitted Staffing Plan. This information is to be submitted on a quarterly basis during the term of the contract to report the actual workforce utilized in the performance of the contract by the specified categories listed including ethnic background, gender, and Federal occupational categories. The Workforce Report must be submitted to report this information.

2. Separate forms shall be completed by Contractor and any subcontractor

performing work on the contract.

3. In limited instances, Contractor may not be able to separate out the

workforce utilized in the performance of the contract from Contractor's and/or sub-contractor’s total workforce. When a separation can be made, Contractor shall submit the Workforce Report and indicate that the information provided related to the actual workforce utilized on the contract. When the workforce to be utilized on the contract cannot be separated out from Contractor's and/or sub-contractor's total workforce, Contractor shall submit the Workforce Report and indicate that the information provided is Contractor's total workforce during the subject time frame, not limited to work specifically under the contract.

C. MWBE Utilization Plan

1. The Contractor represents and warrants that Contractor has submitted an MWBE Utilization Plan prior to the execution of the contract.

2. MWBE Utilization Plan.

(a) Contractors are required to submit a Utilization Plan with their bid or proposal. Complete the following steps to prepare the Utilization Plan:

i. list NYS Certified minority- and women-owned business enterprises which the Contractor intends to use to perform the State contract;

ii. insert a description of the contract scope of work which the Contractor intends to structure to increase the participation by

39

NYS Certified minority- and women-owned enterprises on the State contract;

iii. insert the estimated or, if known, actual dollar amounts to be paid to and performance dates of each component of a State contract which the Contractor intends to be performed by a NYS Certified minority- or women-owned business; and

iv. Any modifications or changes to the agreed participation by NYS Certified MWBEs after the Contract Award and during the term of the contract must be reported on a revised MWBE Utilization Plan and submitted to the NFTM MWBE Program Office.

(b) The NFTM MWBE Program Office will review the MWBE Utilization Plan and will issue the Contractor a written notice of acceptance or deficiency within twenty (20) day of its receipt. A notice of deficiency shall include the:

i. list NYS Certified minority- and women-owned business enterprises which the Contractor intends to use to perform the State contract;

ii. name of any MWBE which is not acceptable for the purpose of complying with the MWBE participation goals;

iii. reasons why it is not an acceptable element of the contract scope of work which the MWBE Program Office has determined can be reasonably structured by the Contractor to increase the likelihood of participation in the contract by MWBEs; and

iv. other information which the MWBE Program Office determines to be relevant to the MWBE Utilization Plan.

(c) The Contractor shall respond to the notice of deficiency within seven (7) business days of receipt by submitting to NFTM’s MWBE Program Office a written remedy in response to the notice of deficiency.

i. If the written remedy that is submitted is not timely or is found to be inadequate, the MWBE Program Office shall notify the Contractor and direct the Contractor to submit, within five (5) business days, a request for partial or total waiver of MWBE participation goals on forms provided by the MWBE Program Office.

ii. Failure to file the waiver form in a timely manner may be grounds for disqualification of the bid or proposal.

(d) NFTM’s MWBE Program Office may disqualify a Contractor as being non-responsive under the following circumstances:

i. If a Contractor fails to submit a MWBE Utilization Plan;

40

ii. If a Contractor fails to submit a written remedy to a notice of deficiency in a MWBE Utilization Plan;

iii. If a Contractor fails to submit a request for waiver; or

iv. If the MWBE Program Office determines that the Contractor has failed to document Good Faith Efforts.

3. Contractor agrees to use such MWBE Utilization Plan for the performance of MWBEs on the contract pursuant to the prescribed MWBE goals set forth above.

4. 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, NFTM shall be entitled to any remedy provided herein, including but not limited to, a finding of Contractor non-responsiveness.

D. Waivers

1. For Waiver Requests, Contractor should use the Waiver form provided.

2. If the Contractor, after making good faith efforts, is unable to comply with MWBE goals, the Contractor may submit a Request for Waiver form documenting good faith efforts by the Contractor to meet such goals. If the documentation included with the waiver request is complete NFTM’s MWBE Program Office shall evaluate the request and issue a written notice of acceptance or denial within twenty (20) days of receipt.

3. If NFTM’s MWBE Program Office, upon review of the MWBE Utilization Plan and updated Quarterly MWBE Contractor Compliance Reports determines that Contractor is failing or refusing to comply with the contract goals and no waiver has been issued in regards to such non-compliance, the NFTM MWBE Program Office 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.

E. Quarterly MWBE Contractor Compliance Report

Contractor is required to submit a Quarterly MWBE Contractor Compliance Report to

the NFTM by the 5th

day following each end of quarter over the term of the contract

documenting the progress made towards achievement of the MWBE goals of the

contract.

F. Liquidated Damages - MWBE Participation

1. Where NFTM’s MWBE Program Office determines that Contractor is not in compliance with the requirements of the contract and Contractor refuses to comply with such requirements, or if Contractor is found to

41

have willfully and intentionally failed to comply with the MWBE participation goals, Contractor shall be obligated to pay to NFTM liquidated damages.

2. Such liquidated damages shall be calculated as an amount equaling the difference between:

(a) All sums identified for payment to MWBEs had the Contractor achieved the contractual MWBE goals; and

(b) All sums actually paid to MWBEs for work performed or materials supplied under the contract.

3. In the event a determination has been made which requires the payment of liquidated damages and such identified sums have not been withheld by the NFTM campus, Contractor shall pay such liquidated damages to the NFTM within sixty (60) days after they are assessed by the NFTM campus unless prior to the expiration of such sixtieth day, the Contractor has filed a complaint with the Director of the Division of Minority and Woman Business Development pursuant to Subdivision 8 of Section 313 of the Executive Law in which event the liquidated damages shall be payable if Director renders a decision in favor of the NFTM.

13. Conflicting Terms In the event of a conflict between the terms of the contract (including any and all attachments thereto and amendments thereof) and the terms of this Request for Proposal, the terms of this Request for Proposal shall control. 14. Governing Law This contract shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise. 15. Late Payment Timeliness of payment and any interest to be paid to Contractor for late payment shall be governed by Article 11-A of the State Finance Law to the extent required by law. 16. No Arbitration Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of competent jurisdiction of the State of New York. 17. Service of Process In addition to the methods of service allowed by the State Civil Practice Law & Rules ("CPLR"), Contractor hereby consents to service of process upon it by registered or certified mail, return receipt requested. Service hereunder shall be complete upon Contractor's actual receipt of process or upon the State's receipt of the return thereof by the United States Postal Service as refused or undeliverable. Contractor must promptly notify the State, in writing, of each and every change of address to which service of process can be made. Service by the State to the last known address shall be

42

sufficient. Contractor will have thirty (30) calendar days after service hereunder is complete in which to respond. 18. Prohibition on Purchase of Tropical Hardwoods The Contractor certifies and warrants that all wood products to be used under this contract award will be in accordance with, but not limited to, the specifications and provisions of Section 165 of the State Finance Law, (Use of Tropical Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted, by the State or any governmental agency or political subdivision or public benefit corporation. Qualification for an exemption under this law will be the responsibility of the contractor to establish to meet with the approval of the State. In addition, when any portion of this contract involving the use of woods, whether supply or installation, is to be performed by any subcontractor, the prime Contractor will indicate and certify in the submitted bid proposal that the subcontractor has been informed and is in compliance with specifications and provisions regarding use of tropical hardwoods as detailed in §165 State Finance Law. Any such use must meet with the approval of the State; otherwise, the bid may not be considered responsive. Under bidder certifications, proof of qualification for exemption will be the responsibility of the Contractor to meet with the approval of the State. 19. Macbride Fair Employment Principles In accordance with the MacBride Fair Employment Principles (Chapter 807 of the Laws of 1992), the Contractor hereby stipulates that the Contractor either (a) has no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Fair Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of compliance with such principles. 20. Omnibus Procurement Act of 1992 It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts.

Information on the availability of New York State subcontractors and suppliers is available from:

NYS Department of Economic Development Division for Small Business Albany, New York 12245 Telephone: 518-292-5100 Fax: 518-292-5884 email: [email protected]

A directory of certified minority and women-owned business enterprises is available

from:

NYS Department of Economic Development

mailto:[email protected]

43

Division of Minority and Women's Business Development 633 Third Avenue New York, NY 10017 212-803-2414 email: [email protected] http://esd.ny.gov/MWBE/directorySearch.html

The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that whenever the total bid amount is greater than $1 million: (a) The Contractor has made reasonable efforts to encourage the participation of New

York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State;

(b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended;

(c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements. The Contractor agrees to document these efforts and to provide said documentation to the State upon request; and

(d) The Contractor acknowledges notice that the State may seek to obtain offset credits from foreign countries as a result of this contract and agrees to cooperate with the State in these efforts.

21. Reciprocity and Sanctions Provisions Bidders are hereby notified that if their principal place of business is located in a country, nation, province, state or political subdivision that penalizes New York State vendors, and if the goods or services they offer will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana and Hawaii. Contact NYS Department of Economic Development for a current list of jurisdictions subject to this provision. 22. Compliance with New York State Information Security Breach and Notification

Act Contractor shall comply with the provisions of the New York State Information Security Breach and Notification Act (General Business Law Section 899-aa; State Technology Law Section 208).

mailto:[email protected]

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44

23. Compliance with Consultant Disclosure Law If this is a contract for consulting services, defined for purposes of this requirement to include analysis, evaluation, research, training, data processing, computer programming, engineering, environmental, health, and mental health services, accounting, auditing, paralegal, legal or similar services, then, in accordance with Section 163 (4-g) of the State Finance Law (as amended by Chapter 10 of the Laws of 2006), the Contractor shall timely, accurately and properly comply with the requirement to submit an annual employment report for the contract to the agency that awarded the contract, the Department of Civil Service and the State Comptroller. 24. Procurement Lobbying To the extent this agreement is a "procurement contract" as defined by State Finance Law Sections 139-j and 139-k, by signing this agreement the contractor certifies and affirms that all disclosures made in accordance with State Finance Law Sections 139-j and 139-k are complete, true and accurate. In the event such certification is found to be intentionally false or intentionally incomplete, the State may terminate the agreement by providing written notification to the Contractor in accordance with the terms of the agreement. 25. Certification of Registration to Collect Sales and Compensating Use Tax by

Certain State Contractors, Affiliates and Subcontractors To the extent this agreement is a contract as defined by Tax Law Section 5-a, if the contractor fails to make the certification required by Tax Law Section 5-a or if during the term of the contract, the Department of Taxation and Finance or the covered agency, as defined by Tax Law 5-a, discovers that the certification, made under penalty of perjury, is false, then such failure to file or false certification shall be a material breach of this contract and this contract may be terminated, by providing written notification to the Contractor in accordance with the terms of the agreement, if the covered agency determines that such action is in the best interest of the State 26. Iran Divestment Act By entering into this Agreement, Contractor certifies in accordance with State Finance Law §165-a that it is not on the “Entities Determined to be Non-Responsive Bidders/Offerers pursuant to the New York State Iran Divestment Act of 2012” (“Prohibited Entities List”) posted at: http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf Contractor further certifies that it will not utilize on this contract any subcontractor that is identified on the Prohibited Entities List. Contractor agrees that should it seek to renew or extend this contract, it must provide the same certification at the time the contract is renewed or extended. Contractor also agrees that any proposed Assignee of this contract will be required to certify that it is not on the Prohibited Entities List before the contract assignment will be approved by the State.

During the term of the contract, should the state agency receive information that a person (as defined in State Finance Law §165-a) is in violation of the above-referenced certifications, the state agency will review such information and offer the person an

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45

opportunity to respond. If the person fails to demonstrate that it has ceased its engagement in the investment activity which is in violation of the Act within 90 days after the determination of such violation, then the state agency shall take such action as may be appropriate and provided for by law, rule, or contract, including, but not limited to, imposing sanctions, seeking compliance, recovering damages, or declaring the Contractor in default.

The state agency reserves the right to reject any bid, request for assignment, renewal or extension for an entity that appears on the Prohibited Entities List prior to the award, assignment, renewal or extension of a contract, and to pursue a responsibility review with respect to any entity that is awarded a contract and appears on the Prohibited Entities list after contract award.

46

M/WBE UTILIZATION PLAN FORM

INSTRUCTIONS: This form must be submitted with any bid, proposal, or proposed negotiated contract. This Utilization Plan must contain a detailed description of the supplies and/or services to be provided by each certified Minority and Women-owned Business Enterprise (M/WBE) under the contract. Attach additional sheets if necessary.

Offeror’s Name: Federal Identification No.: Address: Solicitation No.: City, State, Zip Code: Project No.: Telephone No.: M/WBE Goals in the Contract: MBE % WBE % Region/Location of Work:

1. Certified M/WBE Subcontractors/Suppliers Name, Address, Email Address, Telephone No.

2. Classification

3. Federal ID No.

4. Detailed Description of Work (Attach additional sheets, if necessary)

5. Dollar Value of Subcontracts/ Supplies/Services and intended performance dates of each component of the contract.

A.

NYS ESD CERTIFIED

MBE WBE

B. NYS ESD CERTIFIED

MBE WBE

6. IF UNABLE TO FULLY MEET THE MBE AND WBE GOALS SET FORTH IN THE CONTRACT, OFFEROR MUST SUBMIT A REQUEST FOR WAIVER FORM (M/WBE 104).

PREPARED BY (Signature): DATE: NAME AND TITLE OF PREPARER (Print or Type): SUBMISSION OF THIS FORM CONSTITUTES THE OFFEROR’S ACKNOWLEDGEMENT AND AGREEMENT TO COMPLY WITH THE M/WBE REQUIREMENTS SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-A, 5 NYCRR PART 143, AND THE ABOVE-REFERENCED SOLICITATION. FAILURE TO SUBMIT COMPLETE AND ACCURATE INFORMATION MAY RESULT IN A FINDING OF NONCOMPLIANCE AND POSSIBLE TERMINATION OF YOUR CONTRACT.

TELEPHONE NO.:

EMAIL ADDRESS:

FOR M/WBE USE ONLY

REVIEWED BY:

DATE:

UTILIZATION PLAN APPROVED: YES NO Date: Contract No.: Project No. (if applicable): Contract Award Date: Estimated Date of Completion: Amount Obligated Under the Contract: Description of Work: NOTICE OF DEFICIENCY ISSUED: YES NO Date:______________ NOTICE OF ACCEPTANCE ISSUED: YES NO Date:_____________

M/WBE 103 (Revised 11/08)

47

REQUEST FOR WAIVER FORM

INSTRUCTIONS: SEE PAGE 2 OF THIS ATTACHMENT FOR REQUIREMENTS AND DOCUMENT SUBMISSION INSTRUCTIONS.

Offeror/Contractor Name:

Federal Identification No.:

Address:

Solicitation/Contract No.:

City, State, Zip Code:

M/WBE Goals: MBE % WBE %

By submitting this form and the required information, the offeror/contractor certifies that every Good Faith Effort has been taken to promote M/WBE participation pursuant to the M/WBE requirements set forth under the contract.

Contractor is requesting a: 1. MBE Waiver – A waiver of the MBE Goal for this procurement is requested. Total Partial 2. WBE Waiver – A waiver of the WBE Goal for this procurement is requested. Total Partial 3. Waiver Pending ESD Certification – (Check here if subcontractors or suppliers of Contractor are not certified M/WBE, but an application for certification has been filed with Empire State Development.) Date of such filing with Empire State Development:_____________________

PREPARED BY (Signature): SUBMISSION OF THIS FORM CONSTITUTES THE OFFEROR/CONTRACTOR’S ACKNOWLEDGEMENT AND AGREEMENT TO COMPLY WITH THE M/WBE REQUIREMENTS SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-A AND 5 NYCRR PART 143. FAILURE TO SUBMIT COMPLETE AND ACCURATE INFORMATION MAY RESULT IN A FINDING OF NONCOMPLIANCE AND/OR TERMINATION OF THE CONTRACT.

Date:

Name and Title of Preparer (Printed or Typed): Telephone Number: Email Address:

Submit with the bid or proposal or if submitting after award submit to: Niagara Frontier Transit Metro Systems, Inc. Linda Seay, Director EEO/Diversity Development Department 181 Ellicott Street Buffalo, NY 14203

******************** FOR M/WBE USE ONLY ********************

REVIEWED BY:

DATE:

Waiver Granted: YES MBE: WBE:

Total Waiver Partial Waiver ESD Certification Waiver *Conditional Notice of Deficiency Issued ___________________

*Comments:

M/WBE 104 (Revised 11/08)Design and Construction

Office of EEO/Diversity Development

48

181 Ellicott Street, Buffalo NY 14203

Phone: (716) 855-7486 FAX: (716) 855-6476

CONTRACTOR'S MONTHLY MWBE PAYMENT REPORT (DUE ON THE 10TH DAY OF EACH MONTH FOR THE Contract No.: PRECEDING MONTH'S ACTIVITY AS EVIDENCE TOWARDS ACHIEVEMENT OF THE MWBE GOALS ON THE CONTRACT)

Contractor/Vendor Name,

Address and Phone No.:

Contractor/Vendor Federal ID No.: MWBE Goals Reporting Period

MBE % WBE % Month Year

Description of Project:

MBE/WBE Subconsultant/Subcontractor/Supplier

Name, Address and Phone Number:

Description of Work or

Supplies Provided

Product Code *

Designation

Payment This Month

Total Payments to

Date

Total Contract

Amount

Federal ID No.:

0 MBE 0 WBE

0 Sub 0 Supplier

0 Broker 0 Other

0 No Payment

This Month

Federal ID No.:

0 MBE 0 WBE

0 Sub 0 Supplier

0 Broker 0 Other

0 No Payment

This Month

Federal ID No.:

0 MBE 0 WBE

0 Sub 0 Supplier

0 Broker 0 Other

0 No Payment

This Month

Federal ID No.:

0 MBE 0 WBE

0 Sub 0 Supplier

0 Broker 0 Other

0 No Payment

This Month

Signature of Firm's Affirmative Action Officer Print Name Date

Submission of this form constitutes the contractor's acknowledgement as to the accuracy of the information contained herein. Failure to submit complete and

accurate information may result in a finding of noncompliance, non-responsibility, suspension and/or termination of the contract.

For NFTA/NFTM Use Only:

Reviewed By: Date:

49

Design and Construction Office of EEO/Diversity Development

181 Ellicott Street, Buffalo NY 14203

Phone: (716) 855-7486 FAX: (716) 855-6476

MBE/WBE SUBCONSULTANT/SUBCONTRACTOR/SUPPLIER MONTHLY Project No.:

AFFIRMATION OF INCOME PAYMENTS

Each MBE and WBE Subconsultant/Subcontractor or Supplier must sign and submit this form to

NFTA/NFTM's Office of EEO/Diversity Development by the 10th of each month.

Consultant or Contractor Reporting Period

Name and Address of Consultant/Contractor or Supplier: Federal ID No.:

Month Year

Description of Work:

Subconsultant

Name and Address of MBE/WBE Firm: Federal ID No.:

Classification:

D MBE D WBE

Date firm commenced work

Month Year

Summary of Payments:

• Total MBE/WBE Contract Amount

• MBE/WBE Payments Received For This R

• Total MBE/WBE Payments Received As Of

D No Income Activity This Month

_$

eporting Period _$

This Reporting Period _$

Print Name Date Signature of MBE/WBE Company Official

This form is required pursuant to contract specificatio ns. Failure to submit will result in noncompliance with contract specifications.

For NFTA/NFTM Use Only:

Reviewed By: Date:

50

PRODUCT KEY CODE A = Agriculture/ Landscaping (e.g., all forms of landscaping services) B = Mining (e.g., geological investigations) C = Construction C15 = Building Construction – General Contractors C16 = Heavy Construction (e.g., highway, pipe laying) C17 = Special Trade Contractors (e.g., plumbing, heating, electrical, carpentry) D = Manufacturing E = Transportation, Communication and Sanitary Services (e.g., delivery services, warehousing,

broadcasting and cable systems) F/G = Wholesale/Retail Goods (e.g. hospital supplies and equipment, food stores, computer stores, office

supplies G52 = Construction Materials (e.g., lumber, paint, law supplies) H = Financial, Insurance and Real Estate Services I = Services I73 = Business Services (e.g., copying, advertising, secretarial, janitorial, rental services of equipment,

computer programming, security services) I81 = Legal Services I82 = Education Services (e.g., AIDS education, automobile safety, tutoring, public speaking) I83 = Social Services (Counselors, vocational training, child care) I87 = Engineering, architectural, accounting, research, management and related services

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REQUIREMENTS AND DOCUMENT SUBMISSION INSTRUCTIONS

When completing the Request for Waiver Form please check all boxes that apply. To be considered, the Request for Waiver Form must be accompanied by documentation for items 1 – 11, as listed below. If box # 3 has been checked above, please see item 11. Copies of the following information and all relevant supporting documentation must be submitted along with the request:

1. A statement setting forth your basis for requesting a partial or total waiver.

2. The names of general circulation, trade association, and MWBE-oriented publications in which you solicited certified MWBEs for the purposes of complying with your participation goals.

3. A list identifying the date(s) that all solicitations for certified MWBE participation were

published in any of the above publications.

4. A list of all certified MWBEs appearing in the NYS Directory of Certified Firms that were solicited for purposes of complying with your certified MWBE participation levels.

5. Copies of notices, dates of contact, letters, and other correspondence as proof that

solicitations were made in writing and copies of such solicitations, or a sample copy of the solicitation if an identical solicitation was made to all certified MWBEs.

6. Provide copies of responses made by certified M/WBEs to your solicitations.

7. Provide a description of any contract documents, plans, or specifications made available

to certified MWBEs for purposes of soliciting their bids and the date and manner in which these documents were made available.

8. Provide documentation of any negotiations between you, the Offeror/Contractor, and the

M/WBEs undertaken for purposes of complying with the certified MWBE participation goals.

9. Provide any other information you deem relevant which may help us in evaluating your

request for a waiver.

10. Provide the name, title, address, telephone number, and email address of offeror/contractor’s representative authorized to discuss and negotiate this waiver request.

11. Copy of notice of application receipt issued by Niagara Frontier Transportation

Authority/Niagara Frontier Transit Metro Systems, Inc. (NFTA/NFTM).

Note: Unless a Total Waiver has been granted, the Offeror/Contractor will be required to submit all reports and documents pursuant to the provisions set forth in the Contract, as deemed appropriate by the NFTA/NFTM, to determine MWBE compliance.

M/WBE 104 Instructions (11/08)

52

NON-COLLUSIVE PROPOSAL CERTIFICATION FORM By submission of this proposal, each Proponent and each person signing on behalf of any Proponent certifies, and in the case of a joint proposal each party thereto certifies as to his or her own organization, under penalty of perjury, that to the best of his or her knowledge and belief:

a) The prices in this proposal have been arrived at independently, without collusion, consultation, communication, or agreement, for the purpose of restricting competition, as to any matter relating to such prices with any other Proponent or with any competitor;

b) Unless otherwise required by law, the prices which have been quoted in this proposal have not been knowingly disclosed by the Proponent and will not knowingly be disclosed by the Proponent prior to opening, directly or indirectly, to any other Proponent or to any competitor, and

c) No attempt has been made or will be made by the Proponent to induce any other person, partnership or corporation to submit or not to submit a proposal for the purpose of restricting competition.

___________________________________ Proponent ____________________________________ Name ____________________________________ Signature ____________________________________ Title ____________________________________ Date

53

New York State Finance Law Sections 139-j and 139-k (“Lobbying Law”) – Disclosure Statement General Information All procurements by the Niagara Frontier Transportation Authority or Niagara Frontier Transit Metro System, Inc. (collectively, “NFTA/NFTM”) in excess of $15,000 annually, are subject to New York State’s State Finance Law Sections 139-j and 139-k, (“Lobbying Law”). Pursuant to the Lobbying Law, all “contacts” (defined as oral, written or electronic communications with NFTA/NFTM intended to influence NFTA/NFTM’s conduct or decision regarding a procurement) during a procurement must be made with one or more designated Point(s) of Contact only. Exceptions to this rule include written questions during the bid/proposal process, communications with regard to protests, contract negotiations and RFP conference participation. Nothing in the lobbying Law inhibits any rights to make an appeal, protest or complaint under existing administrative or judicial procedures. Violations of the policy regarding permissible contacts must be reported to the NFTA/NFTM Ethics Officer and investigated accordingly. The first violation may result in a determination of non-responsibility and ineligibility for award to the violator and its subsidiaries, affiliates and related entities. The penalty for a second violation within four (4) years is ineligibility for bidding/proposing on a procurement and/or ineligibility from being awarded any contract for a period of four (4) years. The NFTA/NFTM will notify the New York State Office of General Services (“OGS”) of any determinations of non-responsibility or debarments due to violations of the Lobbying Law. Violations found to be “knowing and willful” must be reported to the NFTA/NFTM Executive Director and OGS. Moreover, the statutes require the NFTA/NFTM to obtain certain affirmations and certifications from bidders and proposers. This Disclosure Statement contains the forms with which to comply, together with additional information and instructions. ____________________________________________________________________________ Instructions

New York State Finance Law 139-k(2) obligates the NFTA/NFTM to obtain specific information regarding prior non-responsibility determinations. In accordance with New York State Finance

Law 139-k, an offerer must be asked to disclose whether there has been a finding of non-responsibility made within the previous four (4) years by any governmental entity due to: (a) a

violation of New York State Finance Law 139-j or (b) the intentional provision of false or incomplete information to a governmental entity.

As part of its responsibility determination, New York State Finance Law 139-k (3) mandates consideration of whether an offerer fails to timely disclose accurate or complete information regarding the above non-responsibility determination. In accordance with law, no procurement contract shall be awarded to any offerer that fails to timely disclose accurate or complete information under this section, unless the factual elements of the limited waiver provision can be satisfied on the written record.

54

Disclosure of Prior Non-responsibility Determinations Form Name of Bidder/ Proposer: ____________________________________________________________ Address: ____________________________________________________________ ____________________________________________________________ Name/Title of Person Submitting Form: ____________________________________________________________ Has any governmental entity1 made a finding of non-responsibility regarding the

Bidder/Proposer in the previous four years? ___Yes ___No If yes: Was the basis for the finding of the Bidders/Proposer’s

non-responsibility due to a violation of State Finance Law 139-j? ___Yes ___No Was the basis for the finding of Bidder’s Proposer’s non-responsibility due to the intentional provision of false or incomplete information to a governmental entity? ___Yes ___No If yes, please provide details regarding the finding or non-responsibility below: Governmental Entity: _______________________________________________ Year of Finding of Non-responsibility:__________________________________ Basis of Finding of Non-responsibility: _____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ (Add additional pages as necessary) Has any governmental entity terminated a procurement contract with the Bidder/Proposer due to the intentional provision of false or incomplete information? ___Yes ___No ________________________________________________________________

1 A “governmental entity” is (1) any department, board, bureau, commission, division, office, council, committee or

officer of New York State, whether permanent or temporary; (2) each house of the New York State Legislature; (3)

the unified court system (4) any public authority, public benefit corporation or commission created by or existing

pursuant to the public authorities law; (5) any public authority or public benefit corporation, at least one of whose

members is appointed by the governor or who serves as member by virtue of holding a civil office of the state; (6) a

municipal agency, as that term is defined in paragraph (ii) of subdivision(s) of section one-c of the Legislative Law;

or (7) a subsidiary or affiliate of such a public authority. (SFL 139-j, paragraph 1.a.)

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Bidder’s/Proposer’s Affirmation and Certification Form By signing below, the Bidder/Proposer: a) Affirms that the Bidder/Proposer understands and agrees to comply with the policy regarding permissible contacts in accordance with New York State Finance Law Sections 139-j and 139-k. b) Certifies that all information provided to the NFTA/NFTM with respect to New

York State Finance Law 139-j and 139-k is complete, true and accurate. By: __________________________________________Date:__________ (Signature of Person Certifying) Print Name and Title:_________________________________________Title:__________ Bidder/Proposer or Contractor/Consultant (Full Legal Name):__________ ____________________________________________________________ Address of Bidder/Proposer or Contractor/Consultant:________________ ____________________________________________________________ ___________________________________________________________ Business Telephone Number:____________________________________

NFTA/NFTMs Right To Terminate The NFTA/NFTM reserves the right to terminate a Contract in the event it is

found that the certification filed by the Bidder/Proposer, in accordance with

New York State Finance Law 139-k, was intentionally false or intentionally incomplete. Upon such finding, the NFTA/NFTM may exercise its termination right by providing written notification to the Bidder/Proposer in accordance with the written notification terms of the Contract.

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NFTA/NFTM RFP NO. 4525 PROPOSAL SUBMITTAL FORM

The undersigned submits the enclosed proposal, which is in complete conformity with the intent of the proposal documents. The proponent agrees that should it be awarded a contract on the basis of this proposal through the issuance of a contract from the Niagara Frontier Transportation Authority/Niagara Frontier Transit Metro Systems, Inc., it will provide the materials, supplies, equipment or services in strict compliance with the contract documents for the compensation stipulated herein. The proponent agrees that its proposal shall remain effective for a period of 90 days from the formal proposal opening date. Proponents with the submission of this proposal certify that they are not on the Comptroller General’s List of Ineligible Contractors.

Firm Name:

Federal ID No.:

Contact Person:

Mailing Address:

Authorized Signature:

Title:

Date:

Telephone/Fax No.:

Email address:

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NFTA/NFTM RFP NO. 4525 ACKNOWLEDGMENT OF ADDENDA

The following form shall be completed and included in the proposal/bid. Failure to acknowledge receipt of all addenda may cause the proposal/bid to be considered non-responsive to the solicitation. Acknowledged receipt of each addendum must be clearly established and included with the Offer. ACKNOWLEDGMENT OF ADDENDA The undersigned acknowledges receipt of the following addenda to the documents: Addendum No. ___________________, Dated____________________ Addendum No. ___________________, Dated____________________ Addendum No. ___________________, Dated____________________ Addendum No. ___________________, Dated____________________ Addendum No. ___________________, Dated____________________ Addendum No. ___________________, Dated____________________ Addendum No. ___________________, Dated____________________ Addendum No. ___________________, Dated____________________ ________________________________ Proponent/Bidder ________________________________ Street Address ________________________________ City, State, Zip ________________________________ Authorized Signature ________________________________ Printed Name ________________________________ Title ________________________________ Phone ________________________________ Fax ________________________________ Email

O-101

Niagara Frontier

Transportation Authority

Serving Buffalo Niagara

LEGEND

OCCUPANT INT. EXT.

GREYHOUND

10231 13628

TRAILWAYS

2264 6087

MEGABUS

925 2140

TIM HORTONS

1445 0

POLICE

438 0

BORDER PATROL

249 0

COMMON USE

7041 0

NFTA

15487 1070

TOTALS

38080 22925

515249

167

41

683

689

313

4405

879

6594

2644

438

238

1445

440

5753

1015

5092

256

431

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1029

960

898

280

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280

1070

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1070

1070

1070

1070

1070

1065

916

448

448

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FIRST FLOOR AND PARTIAL SECOND FLOOR SPACE ALLOCATION PLAN

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O-XPTB01.DWG

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J.H.B.

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1/16" = 1'-0"

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EC

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09/25/15

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G-101

Niagara Frontier

Transportation Authority

Serving Buffalo Niagara

A1

FLOOR PLAN

1/8" = 1'-0"

4460 S.F.

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