New York StateEnvironmental Facilities Corporation

September 22, 2008

Request for Proposals

Wastewater Treatment Plant Design Review and O&M Related Engineer Consultant Services

Designated Contacts for this Procurement:

1) Beth Micieli2) Brian McGuire

All contacts/inquiries shall be made by email to the following address:micieli@nysefc.org

TABLE OF CONTENTS

1. Introduction...............................................................................................................3A. Purpose................................................................................................................3B. Background.........................................................................................................3C. Key Events and Dates..........................................................................................4

2. Engagement Requirements........................................................................................4A. Scope of Services................................................................................................4B. Qualifications......................................................................................................9C. Certification Requirements................................................................................10

3. Terms and Conditions.............................................................................................10A. Period and Renewal...........................................................................................10B. Respondent’s Assurances..................................................................................11C. Period of Validity..............................................................................................11D. Controls to Prohibit Improper Lobbying Influence...........................................11E. Reciprocity and Sanctions Provision.................................................................13F. Policy of Non-Discrimination on the Basis of Disability..................................14G. Information in Proposals is Considered Public Information.............................14

4. Contents of Proposals..............................................................................................14A. Contents.............................................................................................................14B. Additional Information......................................................................................15

5. Administrative.........................................................................................................17A. Inquiries.............................................................................................................17B. Response Submission.........................................................................................17C. Where to Send....................................................................................................18D. Late Proposals....................................................................................................18E. Limitations.........................................................................................................18F. Corporation’s Rights to Proposals......................................................................18

6. Selection Criteria.....................................................................................................19

AppendicesA. A-1 Work Assignment Scope..................................................................................20

A-2 Conflict of Interest Certification......................................................................21A-3 Work Assignment Budget Form......................................................................22A-4 Term Contract Consultant – Work Order.........................................................23A-5 WWTP Owner’s Scope of Engineering Services.............................................24

B. EFC’s Form of Standard Contract...........................................................................45C. Acknowledgement of Receipt of Proposal..............................................................69D. Non-Collusive Bidding/MacBride Fair Employment.............................................70E. Procurement Lobbying Forms.................................................................................71F. NYS Vendor Responsibility Questionnaire.............................................................76G. Sales Tax Certification ...........................................................................................77H. Requirements Checklist ..........................................................................................82

2

Section 1. Introduction

A. Purpose

The New York State Environmental Facilities Corporation (“EFC” or the “Corporation”) requests proposals from firms interested in providing professional engineering services for some or all of the following:

(i) Review of engineering designs involving the upgrade of wastewater treatment plants (WWTPs) in support of the New York City Department of Environmental Protection (NYCDEP) Watershed Program;

(ii) Operation and Maintenance (O&M) related engineering services in support of the NYCDEP Watershed Program; and

(iii) Additional tasks to assist EFC and NYCDEP in resolving various other issues involving the NYCDEP Watershed Program.

B. Background

EFC is a public benefit corporation created by chapter 744 of the laws of 1970, as amended (the New York State Environmental Facilities Corporation Act, constituting Title 12 of Article 5 of the Public Authorities Law (“PAL”) and Chapter 43-A of the Consolidated Laws of the State of New York). Among its general and special powers, EFC (i) is authorized to enter into contracts to carry out its powers; (ii) issues bonds for low-interest financings to recipients for water pollution control and safe drinking water projects; (iii) issues bonds to finance low-interest loans to businesses for environmental improvement projects; (iv) makes direct financings and/or grants to recipients for design and construction of certain pollution control and safe drinking water projects; and (v) provides technical advisory services to businesses and government agencies to help them meet environmental requirements more effectively and efficiently. In addition, EFC issues bonds for certain environmental projects which are New York State appropriation-backed financings. EFC is governed by a Board of Directors consisting of the Commissioners of the Departments of Environmental Conservation (Chair) and Health, and the Secretary of State as ex-officio members and four members appointed by the Governor with the consent of the Senate.

In an effort to ensure the high quality of the New York City drinking water supply system, the City entered into the Watershed Memorandum of Agreement (“Watershed MOA”) in January 1997. As set forth in the Watershed MOA, the City has promulgated the Watershed Regulations, which require certain existing WWTPs to be upgraded. In accordance with the Watershed MOA, the City has agreed to assist certain owners of existing WWTPs (“WWTP Owners”) located within the City’s watershed area. The City’s assistance consists of providing funding to pay for the costs of the upgrades necessary to comply with the Watershed Regulations at all such facilities (“Regulatory Upgrade Program”), and providing limited funding to pay for certain other upgrades at particular West of Hudson (“WOH”) WWTPs located in the WOH Watershed to facilitate those WWTPs in reliably meeting the requirements of their State Pollutant

3

Discharge Elimination System (“SPDES”) permits (“SPDES Upgrade Program”). The Regulatory Upgrade Program and SPDES Upgrade Program are collectively referred to as the “WWTP Upgrade Program”.

C. Key Events and Dates

Issuance of RFP 09/22/08Deadline for RFP Questions 10/06/08Responses to Questions 10/09/08Proposal Due Date 10/17/08 (11:00 AM, EST)Interviews/Presentations (not earlier than*) 11/13/08Notice of Award (not earlier than) 11/20/08

* EFC has not yet determined whether interviews will be conducted.Firms will be notified of exact time and location if so determined.

Section 2. Engagement Requirements

A. Scope of Services

The size of facilities where projects will be assigned range from small (0.001 MGD design flow) to large facilities (1.0 MGD design flow). All facilities are existing WWTPs

located in the NYC Watershed region that must be upgraded to meet the Watershed Regulations. A number of these facilities are near completion of the required upgrades and other have already started operating the new equipment.

1. O&M Support

The consultant may be asked to provide O&M support to NYCDEP on an as needed basis. Since the required services will likely vary from project to project, EFC and NYCDEP will provide a specific scope of services for each project assignment issued under this contract. These services may include, but are not limited to the following:

1. review O&M budgets and prepare written comments2. review O&M contract schedules and attachments, and prepare written comments3. attend meetings with NYCDEP, WWTP owners, engineers, and attorneys as

directed by NYCDEP, related to negotiation of O&M contracts4. evaluate and confirm owner’s statement of pre-Upgrade or existing O&M costs

and obligations, including determination of owner/NYCDEP cost sharing5. prepare an independent estimate of the owner’s post-Upgrade O&M costs and

obligations, including an opinion of owner/NYCDEP cost share6. review owner’s annual O&M cost reconciliations and recommend adjustments to

following year O&M budget7. report to NYCDEP Upgrade Program Manager in Valhalla, NY8. attend periodic project assignment meetings at NYCDEP’s offices in Valhalla,

NY

4

9. other duties as mutually agreed upon

2. Design Review Support

1. The Consultant may be asked to provide technical expertise to assist with its review of design or O&M documents submitted by the WWTP Owner’s Engineer and to generate design review or O&M related comments utilizing a standard form provided by EFC. The Consultant may also be required to

provide construction related services, as described below.

The projects will be completed in accordance with the Work Assignment Scope, Work Assignment Budget Form, and fully executed Work Order, which will form part of the contract and define each assigned individual project. The Consultant shall be responsible for all work and services associated with and required of the assigned project’s Work Assignment Scope. In addition to the primary services stated above, professional services to be provided may also include:

Research of Technical Issues Claims Management WWTP Operation and Maintenance Proposal Review

2. Work Assignment Process

The process for initiating and conducting a Work Assignment under the Term Contract will be as follows:

1. The Work Assignment Scope (Appendix A-1) proposed to be assigned to the Consultant and the WWTP Owner’s Engineer’s work product to be reviewed, if applicable, will be provided by EFC to the Consultant. The Conflict of Interest Certification (Appendix A-2) will also be provided.

2. Within two business days, the Consultant, utilizing the Work Assignment Budget Form (Appendix A-3), will provide EFC with a written

estimate of the cost to perform the review. The Consultant shall provide a breakdown of costs including the job titles, rates, and hours to be charged for each job title for the particular Work Assignment, costs and quantities for direct non-salary rates,

and the overhead and profit as allowed in the Term Contract.

3. EFC will review the Consultant’s proposal and respond with a Work Order (Appendix A-4) containing a proposed fee for the work.

4. If the Consultant agrees with the proposed fee, the Work Order will be signed and returned to EFC within two business days.

5. If the Consultant does not agree with the proposed fee, the Consultant shall respond within the timeframe indicated on the Work Order. Discussions via

5

telephone will be initiated until the Consultant and EFC shall either agree on a not-to-exceed fee for the Work Assignment or EFC may choose to seek the requested services from a different Consultant.

6. Upon EFC’s confirmation of the Consultant’s acceptance of the executed Work Order, the requested work may commence (Both the Consultant’s Acceptance/Declination and EFC’s Confirmation may be faxed).

7. Upon completion of the Work Assignment, the Consultant shall return the review form and reviewed documents (unless otherwise

directed) to EFC for review and approval, as described in Section 2.A.4.7 below.

8. EFC will review the Consultant’s submission and forward comments to NYCDEP for review and approval. Comments from NYCDEP will be

forwarded to the WWTP Owner and/or the WWTP Owner’s Engineer.

9. When modifications are received from the WWTP Owner by EFC, they may be forwarded to the Consultant as described in Section 2.A.2.1 above. When this occurs, the Work Assignment Scope will then be amended to reflect the Consultant’s review of the modifications.

3. Typical Services

Consultant design review will include review of upgrades proposed under the WWTP Upgrade Programs. The upgrades are required by the Watershed

Regulations and are to be in accordance with Recommended Standards for Wastewater Facilities, GLUMRB, 2004; Design Standards for Wastewater Treatment Works, NYSDEC, 1988; and any other Watershed Upgrade

Program requirements, including those contained in the WWTP Owner – EFC contract.

All Work Products produced by the WWTP Owner’s Engineer to be reviewed by the Consultant for each assigned project are related to the Scope of

Engineering Services included in each of the WWTP Owner – Engineer contracts. These Work Products may include, but are not limited to: site investigation data and reports, treatment plant records, Facility Plan, Draft and Final Drawings, Specification Book, Cost Estimates, Operation and Maintenance Manual, Plan of Operation, and Startup Plan and Acceptance Procedures. The design review may include review of the entire design, or only certain components, such as hydro geological,

microfiltration or NYCDEP-approved equivalent system, electrical, or structural.

The Consultant shall provide design review comments to EFC utilizing a standard review form provided by EFC. In addition to the review form, EFC may

request a conference call or meeting at an EFC office to discuss the

6

Consultant’s comments. In situations where any particular Work Product from the WWTP Owner’s Engineer requires modification before NYCDEP will approve the Work Product, the Consultant may be required to review the modifications provided by the WWTP Owner’s Engineer. This additional review would require amendment of the Consultant’s Work Assignment, and would include review of only those items

specifically affected by the review comments.

Typical WWTP Upgrade Program phases and their associated Work Products are listed below. The relevant sections of the WWTP Owner’s Scope of

Engineering Services applicable to each Work Product are indicated in parentheses. (A copy of the complete text of the WWTP

Owner’s Scope of Engineering Services is included as Attachment 5) The Consultant may be assigned to review the WWTP Owner’s Engineer’s Work Product at any or all of the following WWTP Upgrade

Program phases.

Conceptual Upgrade Plan (Attachment 5 - 2.1)

No Consultant services anticipated at this time.

Facility Plan (Attachment 5 - Facility Plan portion of 2.2.1 – 2.2.2.2)

This phase requires the WWTP Owner’s Engineer to generate a Facility Plan prepared in accordance with the Recommended Standards for Wastewater

Facilities, GLUMRB, 2004; Design Standards for Wastewater Treatment Work, NYSDEC, 1988; and the Watershed Regulations to meet the requirements of the facility’s specific Preliminary Engineer’s Scope of Work included with each facility’s WWTP Owner – EFC Upgrade Contract.

On projects for which it is applicable, hydro geological investigations will be performed by the WWTP Owner’s Engineer during the Facility Plan phase. Review of Hydro geological Investigation reports as defined in Section 3.0 of the Scope of Engineering Services will occur during this phase.

65% Proposed Upgrade Plan (PUP) (Attachment 5 - 2.2.3)

This phase will consist of the review of the WWTP Owner’s Engineer’s partially completed design for the upgrade, including the Drawings and Specification Book.

100% PUP (Attachment 5 - 2.2.4)

This phase will consist of the review of the WWTP Owner’s Engineer’s complete design for the upgrade, including the full design and contract documents (Drawings and Specification Books). The final design will include a draft Plan of Operation, Startup Plan and Acceptance Procedures, and Operations and Maintenance

7

Manual. These Items are further defined in sections 2.2.1.3, 2.2.1.4 and 2.2.1.7 of the Scope of Engineering Services, respectively.

Review of the final design will be completed prior to the WWTP Owner’s Engineer submitting the design to any other applicable regulatory agencies, such as NYSDEC, the Health Department, etc.

Construction Phase (Attachment 5 - 2.4)

The Consultant may be required to review Change Orders or other information provided by the WWTP Owner’s Engineer, conduct site visits and attend meetings with the WWTP Owner/EFC/NYCDEP, or other assistance with Construction Management as necessary.

3. Additional Tasks

1. The Consultant, as directed by and in coordination with EFC, may be required to perform claims management services to assist EFC and NYCDEP in

resolving issues raised by WWTP Owners in closing various construction and engineering contracts. Such services may include, but are not limited to:

•Preliminary claims analysis1. Review and gather facts of claims, including technical background

and identify key issues2. Formulate preliminary determination of responsibility(ies)3. Perform a preliminary assessment and calculation of potential damages.

•Assist in preparation for negotiation1. Present preliminary claims analysis and recommendations2. Help formulate negotiation strategy(ies)3. Help assemble supporting documentation

•Provide assistance to EFC during claims negotiation/settlement

2. The Consultant, at EFC’s request, may be required to research certain items and to provide EFC with a summary report. These issues may include, for

example, the research of innovative or new technologies in order to provide additional information with regards to the uses, reliability, past performance, etc. of the technology.

3. The Consultant, at EFC’s request, may be asked to review and comment on Operation and Maintenance plans, and associated costs, proposed by WWTP Owners. Such services include, but are not limited to, those described in

Section 2.A.1 above.

8

4. Other tasks, as requested and mutually agreed to.

5. Meetings

Within the duration of this contract, the Consultant will be required to work in conjunction with EFC personnel on the design review of the projects and, as applicable, other assignments. In such cases, the Consultant may typically be required to meet with EFC at EFC offices in Albany, New York or at NYCDEP offices in Valhalla or Kingston, New York. Additionally, meetings on-site at various WWTPs may be required.

6. Applicable Codes and Regulations

Project designs will be required to conform to all applicable codes and regulations. The Consultant will be responsible for review of new items

proposed to be funded through the Regulatory or SPDES Upgrade Programs subject to the Recommended Standards for Wastewater Facilities, GLUMRB, 2004; Design Standards for Wastewater Treatment Works, NYSDEC, 1988; the Watershed Regulations; any other Watershed Upgrade Program requirements and the WWTP Owner – EFC Contract.

7. Design Review Time Period

Unless otherwise indicated by EFC, the completed review of the items included in the Work Assignment Scope, through written comments, conference call(s) and/or meetings(s) with EFC, shall occur within 2 weeks of authorization to proceed with the Scope of Services for a particular Work Assignment. Upon completion of the Work Assignment, the Consultant shall return the review form and reviewed documents (unless otherwise directed) to EFC for review and approval.

B. Qualifications

The selected Consultant(s) must have demonstrated experience in comprehensive environmental consulting and management services. It is preferred that the Consultant’s Project Manager have a NYS PE License and NYS WWTP Operator Certification.

The selected Consultant(s) will have a professional staff that is experienced in the disciplines associated with design, construction and operation of modern WWTPs utilizing MBR, Microfiltration and UV disinfection, and as described in more detail in Section 2A.

Contracts shall be awarded only to responsible prospective Respondents in the sole discretion of EFC and NYCDEP’s evaluation team. In order to qualify as responsive, a prospective Respondent must, in the sole judgment of the evaluation team, meet the following standards as they relate to this solicitation:

9

affirmatively state that Respondent understands and agrees to comply with procedures in regards to permissible contacts relating to influencing the procurement process;

have adequate financial resources for performance, or have the ability to obtain such resources as required during performance;

be able to comply with the proposed or required time of delivery or performance schedule, if applicable;

have a satisfactory record of performance;

be able to demonstrate adequacy and quality of staffing in required personnel biographies (see Section 6.3); and

have satisfactory references (see Section 4.A.D).

C. Certification Requirements

A Certificate of Authorization to provide Professional Engineering Services in the State of New York is required. Architects and Engineers must show proof of license by the State of New York.

Complete and sign the attached certifications or other documentation and submit with your proposal:

Non-Collusive Bidding and Non-Discrimination in Employment in Northern Ireland / MacBride Fair Employment Principles (Appendix D)

Disclosure of Contacts and Prior Non-Responsibility Form, Certification and Compliance with State Finance Law §139-k (Appendix E)

Vendor Responsibility Questionnaire (Appendix F)

Sales Tax Certification (Appendix G)

Section 3. Terms and Conditions

A. Period and Renewal

It is anticipated that EFC will enter into a contract for engineering services for three years. If mutually agreed upon between the EFC and the Respondent, the contract may be renewed under the same terms and conditions for up to two additional one-year terms.

B. Respondent’s Assurances

10

By responding to this RFP, the Respondent warrants that it has carefully reviewed the needs of EFC for engineering services, as described in this RFP and its attachments and otherwise communicated in writing by EFC to the Respondent, that it has familiarized itself with EFC’s specifications, and it warrants that it can provide such services as described in this RFP and as represented in its proposal.

The Respondent agrees that it will perform its obligations hereunder in accordance with all applicable Federal, State, and local laws, rules and regulations now or hereafter in effect.

The Respondent warrants and affirms that the terms of this RFP, and any resultant agreement, do not violate any contracts or agreements to which it is a party, and that its other contractual obligations will not adversely influence its capabilities to perform under the contract.

C. Period of Validity

Each proposal must include a statement as to the period during which the provisions of its proposal will remain valid. A minimum of one hundred eighty (180) days from the closing date for receipt of proposals is required.

D. Controls to Prohibit Improper Lobbying Influence

Pursuant to State Finance Law Sections 139-j and 139-k (effective January 1, 2006), this Request for Proposals includes and imposes certain restrictions on communications between EFC and Respondent during the procurement process. A Respondent is restricted from making contacts from the earliest notice of this request for proposals through final award and approval of the procurement contract by EFC and, if applicable, Office of the State Comptroller (“restricted period”) to other than the designated staff unless it is a contact that is included among certain statutory exceptions set forth in State Finance Law Section 139-j (3)(a). The Respondent may contact only the persons identified, and in the manner specified, by EFC in Section 5 of this RFP.

The State Finance Law places restrictions on communications between a Respondent and EFC during the restricted period only regarding this particular transaction. No restrictions apply to communications with EFC regarding topics not related to this procurement.

EFC personnel are required to notify EFC’s Procurement Integrity Officer, Maureen McGrath (518-486-9267), of all contacts with employees, agents or consultants of any Respondent competing for the contract award when the contact relates to a proposal being considered by EFC and any attempt by any person to influence the procurement process. In addition, every Respondent is required to report to EFC’s Procurement Integrity Officer every contact by any employee, agent or consultant of

11

the Respondent with any EFC or other State employee regarding the contract under consideration.

The Respondent shall not attempt to influence this procurement in any manner that would result in a violation or attempted violation of subdivision five of section 73 or section 74 of the Public Officers Law (or any equivalent of these code provisions).

Any EFC officer or employee who becomes aware of any improper lobbying influence or attempt thereof, or any attempt to influence the procurement process shall immediately notify EFC’s Procurement Integrity Officer. The Procurement Integrity Officer shall review and immediately investigate any and all allegations of improper lobbying influence or attempt thereof, or any attempt to influence the procurement process, and the Respondent shall have an opportunity to be heard in response to any allegation. If the attempt to influence the procurement process is found to have occurred, then EFC may impose such sanctions as it deems appropriate, which may include, but shall not be limited to the elimination of the proposal from consideration with respect to that contract award or the immediate termination of the contract if it has already been awarded.

A finding that a Respondent has knowingly and willfully violated these provisions and impermissibly attempted to influence the procurement process shall result in a determination of non-responsibility of such Respondent. Such Respondent shall not be awarded the procurement contract, unless EFC finds that the award to such Respondent is necessary to protect public property or public health or safety and that such Respondent is the only source capable of supplying the required procurement within the necessary timeframe.

Any subsequent determination of non-responsibility within four years of a determination of non-responsibility shall result in the Respondent being rendered ineligible to submit a proposal in or be awarded any procurement contract for a period of four years from the date of the second final determination.

Permissible contacts include:1. the submission of written proposals in response to this RFP;2. the submission of written questions to a designated contact set forth in

thisRFP;3. participation in any conference provided for in a request for proposal;4. complaints by respondent regarding the failure of the EFC contact person to

respond in a timely manner to authorized respondent contacts made in writing to the General Counsel of EFC, provided that any such written complaints shall become part of the procurement record;

5. respondents who have been tentatively awarded a contract and are engaged in communications with EFC solely for the purpose of negotiating the terms of the procurement contract after being notified of tentative award;

6. contacts between designated EFC staff and a respondent to request the review of a procurement contract award;

12

7. (a) contacts by a respondent in protests, appeals or other review proceedings (including the apparent successful bidder or respondent and his or her representatives) before the entity conducting the procurement seeking a final administrative determination, or in a subsequent judicial proceeding; or(b) complaints of alleged improper conduct in the procurement to the attorney general, inspector general, district attorney, or court of competent jurisdiction; or(c) written protests, appeals or complaints to the State comptroller’s office during the process of contract approval, where the State comptroller’s approval is required by law, and where such communications and any responses thereto are made in writing and shall be entered in the procurement record pursuant to section one hundred sixty-three of the State finance law; or(d) complaints of alleged improper conduct in a procurement conducted by a municipal agency or local legislative body to the State comptroller’s office.

EFC prohibits the payment of any costs of outside lobbyists being included in the proposed contract price. Inclusion in the proposed contract price of any payment for the costs of outside lobbyists shall result in the immediate exclusion of such proposal from future consideration.

Respondents shall not approach EFC personnel with offers of employment during the procurement period.

It is the policy of EFC that the awarding of procurement contracts shall be based upon the merits of Respondent’s proposal and that of competing proposals.

Respondents must complete the attached Disclosure of Contacts and Prior Non-Responsibility, Certification of Compliance with State Finance Law §139-k Form, as required by Section 2.C above.

E. Reciprocity and Sanctions Provision

Respondents are hereby notified that if their principal place of business is located in a State 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 amendments (Chapter 684, Laws of 1994) require that they be denied placement on bidders mailing lists and award of contracts for which they would otherwise be qualified. A current list of States which penalize New York State firms is available from the Procurement Assistance Unit, Empire State Development, Albany, NY (518-292-5200 or 292-5220).

F. Policy of Non-Discrimination on the Basis of Disability

EFC does not discriminate on the basis of disability. The Manager of Human Resources and Support Services has been designated to coordinate compliance with the non-discrimination requirements contained in Federal regulations. For

13

information concerning the provisions of the Americans with Disabilities Act (“ADA”), and the rights provided therein or if you need an auxiliary aid or alternative format of this RFP, please contact the EFC representative noted below, via fax or e-mail request.

G. Information in Proposals is Considered Public Information

By responding to this RFP, the Respondent agrees that all documents furnished by it shall be subject to public disclosure by EFC in the normal course of business in accordance with the requirements of the Public Officers Law, Article 6, except, to the extent permitted by law, for proprietary information the disclosure of which would cause substantial injury to the competitive position of the Respondent’s enterprise. By way of illustration and not for limitation, information relating to Respondent price submissions, including commercial, book or list pricing, applicable discounts or final bid price and like information, shall not be entitled to confidentiality protection whether or not submitted or designated as proprietary by the Respondent. The Respondent may otherwise preserve proprietary rights as to confidential or business process information in accordance with procedures established under Section 89, Public Officers Law, provided that: (i) Respondent shall inform EFC prior to submission of its bid, in writing, that such records are going to be furnished, are proprietary and are not to be disclosed; and (ii) said records shall be sufficiently identified; and (iii) Respondent shall state the reasons why the information should be exempted from disclosure; and (iv) designation of said records as exempt from disclosure is reasonable and accepted by EFC.

Section 4. Contents of Proposals

A. Respondents are to submit ten (10) copies of the proposal. Concise, soft-cover, non-notebook type presentations are encouraged.

Responses should be submitted in two parts. Part I should consist of responses to the technical and management items. Part II should consist of complete contract cost and pricing information.

Please limit proposals to the following information only. Provide the same information in each section for any sub-consultants proposed:

A. Name of the firm.

B. Contact person for the firm, including name, address, phone and fax numbers, email addresses and other contact information.

C. Firm background, including:

14

1. Brief history of your firm and a description of all services your firm provides.

2. A summary description of the firm’s (i) organizational structure (e.g., corporation, partnership, LLC, etc, information on the date of

formation and the State of formation), and (ii) the identities of the primary staff proposed to provide services relating to this RFP

D. A description of the firm’s specific experience providing similar services, including recent (within five years) relevant project experience, to the public and private sector. Include the names, titles and contact information of at least three (3) references and a summary of the services provided.

E. Proposed Fee

Projects will be assigned to the Consultant on an as-needed basis. The Term Contract will be undertaken as cost-plus-fixed-fee containing average and maximum salary rates for each job title, indirect cost rate, profit factor, and direct non-salary rates. The direct non-salary rates are to be listed on a unit rate basis for each type of item (copying, postage, etc.) which the Consultant believes is necessary.

At a minimum, your proposal must list separately the following costs:Labor – Include both average and maximum hourly rates for each title listed. Also, please include salary rates for each year of the contract or the proposed salary increase factor to be applied each year.Direct Non-Labor – Specify fees on a unit rate basis for each item not included in your Indirect/Overhead rate.Profit Rate – Specify the percentage and how it is applied.Indirect/Overhead Rate – Specify the percentage and how it is applied. It will be concluded that any non-labor costs not specified under the Direct Non-Labor section are included in the Indirect/Overhead rate.

Please note that the Indirect/Overhead Rate, Profit Rate and Direct Non-Labor rates are to be held constant for the term of the contract.

B. Additional Information

A. Describe your firm's policy with respect to the employment of minorities and women. Attach a copy of any policy statements.

B. Indicate the types and amounts of insurance carried. All insurance must be sufficient to protect the Respondent from any liability arising out of the obligations performed pursuant to any such contract and must meet the requirements set forth in Section XII (“Insurance”) and Appendix E of EFC’s Standard Contract.

15

C. Disclose fully any conflicts of interest, actual or perceived, which might arise in connection with your firm’s involvement with EFC. If conflicts do or may exist, describe how your firm would resolve them. Please be aware that any firm selected will be expected to represent EFC in all transactions within the program(s) for which it is selected.

D. The proposal must contain full disclosure to EFC of any instance in which the Respondent is currently under indictment for an alleged felony, or has

been convicted of a felony within the past five years, under the laws of the United States or any State or Territory of the United States; and must describe in detail the nature and circumstances of each such indictment or conviction. With respect to a Respondent which is an association, partnership, corporation, or other organization, this disclosure requirement includes the organization itself and all of its officers, partners, and directors or members of any similar governing body, as applicable. If any such indictment or conviction should come to the attention of EFC after the award of a contract, EFC may exercise its stop work right pending further investigation or terminate the Agreement; and the Consultant may be subject to penalties for violation of any law which may apply in the particular circumstances.

E. Disclose any existing or contemplated relationship with any other person or entity, including relationships with any parent, subsidiary or affiliated firm, which would constitute an actual or potential conflict of interest in connection with your rendering services enumerated in this RFP. If a conflict does or might exist, please describe how your firm would eliminate or prevent it.

F. Identify any litigation or administrative proceedings to which you are a party and would either materially impair your ability to perform the services enumerated herein and for which this RFP was issued or, if decided in an adverse manner, would materially adversely affect the financial condition of your firm.

G. A sample of the Corporation’s Form of Standard Contract is provided. PLEASE READ THE SAMPLE CONTRACT CAREFULLY.

The proposal must specifically state the Respondent's acceptance of substantially all terms and conditions contained in the Corporation's Contract or, if unable or unwilling to indicate such acceptance, the Respondent must identify and explain any proposed exception or deviation. Any proposed exception or deviation must be sufficiently explained to permit evaluation by the Corporation without further discussion during the evaluation of proposals. The justification must explain the benefits to the Corporation resulting from each proposed exception. Proposed exception(s) will not, of themselves, automatically cause a proposal to be found unacceptable. However, a large number of proposed exceptions or one or more significant proposed exceptions may result in rejection of the overall proposal as unacceptable. Failure to identify and explain any such exception or deviation will result in Respondent’s waiver of any objection to its inclusion in the Contract.

16

Section 5. Administrative

A. Inquiries

Any inquiries concerning this Request for Proposal or any other aspects of this procurement must be made in writing to:

Ms. Beth MicieliNYS Environmental Facilities Corporation8th Floor625 BroadwayAlbany, NY 12207FAX: (518) 486-9323E-mail: micieli@nysefc.org

In order to provide EFC with sufficient time to reply, any inquiries concerning this RFP must be received no later than close of business October 6, 2008.

A list of all substantive inquiries received with relevant responses will be posted “In the Spotlight” section of EFC’s website: http://www.nysefc.org

A copy of this RFP will be available on the website. Any clarification or modification to the RFP that requires a text change to the posted RFP will be underlined.

B. Response Submission

Proposals must be received by EFC no later than October 17 at 11:00 a.m. Eastern Standard Time (EST).

Fax and e-mail submissions will not be considered under any circumstances.

Packages should be marked as follows: Response to Request for Proposals for WWTP Engineering Services.

All proposals and accompanying documentation will become the property of EFC and will not be returned. The content of each bidder’s proposal will be held in strict confidence during the bid evaluation process, and no details of any proposal will be discussed outside the evaluation process. An official authorized to commit the company to a contract must sign the proposal.

C. Where to Send

Proposals should be addressed to:

17

Mr. Brian McGuireManager, Contracts and BudgetNYS Environmental Facilities Corporation8th Floor625 BroadwayAlbany, NY 12207

D. Late Proposals

Late proposals may be considered non-responsive and returned to the Respondent.

E. Limitations

This RFP does not commit EFC to award a contract, pay any costs incurred in response to this RFP, or procure or contract for services or supplies of any kind whatsoever. All proposal packages submitted in response to this RFP are made at the sole cost of the Respondent. EFC reserves the right, in its sole discretion, to cancel this RFP in whole or in part, if EFC determines such action to be in its best interests. During the evaluation process, EFC reserves the right to request additional information or clarification from the Respondents or to allow corrections of errors or omissions. All material submitted in response to this RFP shall become the property of EFC.

F. Corporation’s Rights to Proposals

By submitting a proposal, the Respondent covenants not to make any claim for, or have any right to, damages because of any misinterpretation or misunderstanding of the specification, or because of any misinformation or lack of information. EFC has the following prerogatives with regard to proposals submitted:

To accept or reject any or all proposals, in whole or in part.

To correct any arithmetic errors in any or all proposals.

To change the proposal’s due date upon appropriate notification to all prospective respondents.

To adopt any or all of a successful Respondent’s proposal.

To negotiate with the selected Respondent prior to contract award.

Begin contract negotiations with another respondent, should EFC be unsuccessful in negotiating a contract with the selected firm within forty-five (45) calendar days after contract award.

18

Section 6. Selection Criteria

All proposals received shall be subject to evaluation by EFC’s and NYCDEP’s evaluation team. EFC and NYCDEP desire to select the Respondent who will provide the “best value” taking into consideration the most beneficial combination of qualifications and services, and who have met the requirements of this RFP. Only proposals judged by EFC and NYCDEP in their sole discretion, to be responsive to the submission requirements set forth in this RFP shall be evaluated.

Each bidder’s proposal will be evaluated and a selection committee will review and rank the evaluations and develop a short list. Selected firms may be invited to make an oral presentation to EFC and NYCDEP staff. The criteria against which each proposal will be evaluated are described below:

1. Completeness of the proposal in the format indicated in the RFP.

2. Your ability to provide the services as evidenced in the firm’s current and recent experience in providing similar services, including evaluation of references supplied.

3. Qualifications and relevant experience of proposed team members and anticipated quality of the services to be provided.

4. Proposed cost and/or unit costs.

In addition to the general Selection Criteria, firm’s references and prior project outcomes at other similar facilities, including the timeliness of completion and of achievement of improvements, will be critical factors in the selection process. Firms should provide detailed information about the cost, timeliness and financial outcomes on a range of prior projects.

19