RFP# 2026-11 Paving Multiple Sites

APPENDIX C
NYS MWBE GOAL AND REPORTING REQUIREMENTS
Pursuant to New York State Executive Law Article 15-A, the APDC recognizes its obligation under the law to promote opportunities
for maximum feasible participation of certified minority- and women owned businesses (MWBEs) in the performance of APDC
contracts. The APDC advises all potential service providers that disadvantaged, minority and women-owned business enterprises
will be afforded full opportunity to submit proposals in response to this notice and there will be no discrimination on the basis of
race, creed, color, sex, national origin, disability or marital status in the award of the contract or any subcontract.
The APDC has established an overall combined participation goal of 30% for New York State Certified Minority Businesses
Enterprises and for New York State Certified Women-owned Enterprises. Vendors with such certifications are requested to identify
themselves in their submitted bid.
Veteran's Services Law Article 3 provides for more meaningful participation in public procurement by certified Service- Disabled
Veteran-Owned Businesses ("SDVOBs"), thereby further integrating such businesses into New York State's economy. The APDC
recognizes the need to promote the employment of service-disabled veterans and to ensure that certified service-disabled veteran-
owned businesses have opportunities for maximum feasible participation in the performance of APDC contracts. In recognition of
the service and sacrifices made by service-disabled veterans and in recognition of their economic activity in doing business in New
York State, Bidders are strongly encouraged and expected to consider SDVOBs in the fulfillment of the requirements of the Contract.
Such participation may be as subcontractors, as proteges, or in other partnering or supporting roles. The APDC has established an
overall 6% SDVOB goal.
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REQUIRED MWBE REPORTING FORMS:
Proposers/Bidders are encouraged to make a good faith effort in working toward the attainment of these goals. Proposers/Bidders
will be required to submit specific plans for the implementation of the required approach or evidence of a good faith effort in working
toward the attainment of those goals.
Proposers/Bidders that are NYS MWBE certified must provide a copy of their certification.
WITH BID SUBMITTAL:
1. EEO Policy Statement. Prior to the award of a contract, vendors will be required to submit an EEO Policy Statement
2. Staffing Plan of the anticipated work force to be unutilized on the contract (project specific).Where the work force on the
contract cannot be separated out from the vendor's total work force, information on the total work force must be supplied by
ethnic background, gender and specified occupational categories. The APDC shall determine the time frame for the pre-award
submission of the EEO Policy Statement and Staffing Plan. Additionally, after award, vendors will submit a Work Force
Employment Utilization Report showing the actual staffing during the course of the project. Reports are to be filed on forms
provided to the vendor, on a schedule determined by the APDC.
3. Utilization Plan. (or within 2 business days of contract award for construction contracts only) Vendors will be required to
submit a utilization plan for achieving goals established for the participation of certified minority and women-owned businesses
in relation to a State contract.
4. Waiver or Partial Waiver Requests
Vendor Compliance Report. Vendor compliance reports shall be submitted by vendors with respect to a contract for which goals
have been established. Compliance reports will be filed at intervals required by information, instructions or requirements pursuant to
which bids and proposals have been solicited, or the terms and conditions of a contract awarded pursuant to negotiation. A vendor
compliance report shall include the following information: The name, address, and telephone number of each certified minority and
women-owned business enterprise the vendor is using or intends to use to comply with the utilization plan; A brief description of the
contract scope of work to be performed for the vendor by each certified minority and women-owned business enterprise and the
scheduled dates for performance; A statement of whether the vendor has a written agreement with each certified minority and
women-owned business enterprise, and if requested, copies of such agreements the vendor is using or intends to use; The actual

total cost of the contract scope or work to be performed by each certified minority and women owned business enterprise, for the
contract; The actual amounts of any payments made by the vendor to each certified minority and women-owned business enterprise
as the date of the compliance report was submitted; and Employments Utilization Form.
Request for Waivers. The APDC shall grant a partial or total waiver of goal requirements established on a State contract only upon
the submission of a waiver form, documenting good faith efforts by the vendor to meet the goal requirements of the contract. The
following factors will be considered in the waiver:
The number and types of certified minority or women-owned business enterprises located in the region which the State contract is to
be performed; The total dollar value of the State contract; The contract scope of work to be performed; The project size; The project
term; The availability of other business enterprises located in the region qualified to do the work to be performed; and The financial
ability of certified minority and women-owned business enterprises located outside the region to perform the State contract;
Requests for a partial or total waiver of goal requirements on a State contract made prior to the award of the contract may be made
simultaneously with the submission of the utilization plan for that State contract. Requests for a partial or total waiver subsequent to
the award of a State contract may only be made prior to final payment on that contract. If the APDC grants a waiver then the APDC
will submit the documentation to the Governor's Office for the MWBE waiver request concurrence.
Disqualification of Vendors. The APDC may disqualify a bid or proposal of a contract as being non-responsible for failure to remedy
deficiencies in the utilization plan or upon a determination that the vendor's utilization plan does not indicate that the State contract
goal requirements for participation of certified minority and women owned business enterprises will be met, and the vendor has
failed to document good-faith efforts. The APDC may similarly disqualify a bid or proposal for failure to meet all the EEO
requirements. The vendor shall be entitled to all reviews and remedies afforded to it pursuant to Article 15-A of the NYS Executive
Law.
5 NYCRR 142.8 - Contractor's good faith efforts (a) The contractor must document its good faith efforts toward meeting certified
minority- and women-owned business enterprise utilization plans by providing, at a minimum: (1) Copies of any solicitations of
certified minority- and/or women-owned business enterprises listed in the New York State Directory of certified businesses, and any
responses thereto; (2) If responses to the contractor's solicitations were received, but a certified minority- or woman-owned
business enterprise was not selected, the specific reasons that such enterprise was not selected; (3) Copies of any advertisements
for participation by certified minority- and women-owned business enterprises timely published in appropriate general circulation,
trade and minority- or women-oriented publications, together with the listing(s) and date(s) of the publication of such
advertisements; (4) The dates of attendance at any pre-bid, pre-award, or other meetings, if any, scheduled by the State agency
awarding the State contract, with certified minority- and women-owned business enterprises which the State agency determined
were capable of performing the State contract scope of work for the purpose of fulfilling the contract participation goals; (5)
Information describing the specific steps undertaken to reasonably structure the contract scope of work for the purpose of
subcontracting with, or obtaining supplies from, certified minority- and womenowned business enterprises.

NEW YORK STATE - DEPARTMENT OF STATE (DOS)
MWBE - EQUAL EMPLOYMENT OPPORTUNITY POLICY STATEMENT - FORM A
I, , the (awardee/vendor) agree to adopt the following policies with respect to the project being developed or
services rendered at .
M/WBE EEO
This organization will and will cause its contractors and subcontractors to (a) This organization will not discriminate against any employee or
take good faith actions to achieve the M/WBE contract participations goals applicant for employment because of race, creed, color, national origin,
set by the State for that area in which the State-funded project is located, by sex, age, disability or marital status, will undertake or continue existing
taking the following steps: programs of affirmative action to ensure that minority group members are
afforded equal employment opportunities without discrimination, and
(1) Actively and affirmatively solicit bids for contracts and shall make and document its conscientious and active efforts to employ
subcontracts from qualified State certified MBEs or WBEs, and utilize minority group members and women in its work force on state
including solicitations to M/WBE contractor associations. contracts.
(2) Request a list of State-certified M/WBEs from AGENCY and (b)This organization shall state in all solicitation or advertisements for
solicit bids from them directly. employees that in the performance of the State contract all qualified
(3) Ensure that plans, specifications, request for proposals and other applicants will be afforded equal employment opportunities without
documents used to secure bids will be made available in sufficient discrimination because of race, creed, color, national origin, sex disability
time for review by prospective M/WBEs. or marital status.
(4) Where feasible, divide the work into smaller portions to enhanced (c) At the request of the contracting agency, this organization shall request
participations by M/WBEs and encourage the formation of joint each employment agency, labor union, or authorized representative will
venture and other partnerships among M/WBE contractors to not discriminate on the basis of race, creed, color, national origin, sex,
enhance their participation. age, disability or marital status and that such union or representative will
(5) Document and maintain records of bid solicitation, including affirmatively cooperate in the implementation of this organization's
those to M/WBEs and the results thereof. The Contractor will obligations herein.
also maintain records of actions that its subcontractors have taken (d) The Contractor shall comply with the provisions of the Human Rights
toward meeting M/WBE contract participation goals. Law, all other State and Federal statutory and constitutional non-
(6) Ensure that progress payments to M/WBEs are made on a timely discrimination provisions. The Contractor and subcontractors shall not
basis so that undue financial hardship is avoided, and that, if discriminate against any employee or applicant for employment because
legally permissible, bonding and other credit requirements are of race, creed (religion), color, sex, national origin, sexual orientation,
waived or appropriate alternatives developed to encourage military status, age, disability, predisposing genetic characteristic, marital
M/WBE participation. status or domestic violence victim status, and shall also follow the
requirements of the Human Rights Law with regard to non-discrimination
on the basis of prior criminal conviction and prior arrest.
(e) This organization will include the provisions of sections (a) through
(d) of this agreement in every subcontract in such a manner that the
requirements of the subdivisions will be binding upon each subcontractor
as to work in connection with the State contract
Agreed to this day of , 2
By _____________________________________
Print: Title:
(Name of Designated Liaison) is designated as the Minority Business Enterprise Liaison responsible for
administering the Minority and Women-Owned Business Enterprises- Equal Employment
Opportunity (M/WBE-EEO) program on DOS Contract No .
M/WBE Contract Goals
__________________________________________
percent of MWBE participation (Authorized Representative)
percent of MBE participation
percent of WBE participation Title:
Date:
Rev. 06/2021

106 Smith Blvd. Albany, NY 12202
518-463-8763
CONTRACTOR'S LIST OF SUBCONTRACTORS/SUPPLIERS Contract No.
Contractor's Name, Address and Federal ID Project Description/Location: Date Submitted: Bid Date: MWBE Goals SDVOB Goal
No.:
MBE WBE
Construction Contracts Exceeding $100,000 Submittal No.: Contract Amount:
Commodity or Service Contracts Exceeding
$25,000
Federal ID No.
Date Proposal Approved: Date Printed: Project Number: Work/Job Order: Work Order Value:
Subcontractor/Supplier Sub/Supplier
Subcontractor/
Name, Address, Phone No., Federal ID No. (Check One) APDC Use
MBE WBE SDVOB General Description of Work Supplier
(FEIN) and DOL No. Tiered Only
Sub Supplier Dollar Value
(Do not list information previously submitted.) Sub
FEIN.: DOL No: - -CR
FEIN.: DOL No: - -CR
FEIN.: DOL No: - -CR
FEIN.: DOL No: - -CR
Pursuant to Executive Law Article 15-A and APDC Use Only Proposed Goal Attainments:
Article 3 of the Veterans' Services Law, my firm
WBE
proposes to use the certified firms listed above.
MBE % % SDVOB %
Accepted Accepted as Noted Not Accepted
Contractor's Signature
Reason:
Title
Date APDC Authorized Signature Date
BDC 329 (Rev07)

CONTRACTOR'S MWBE UTILIZATION PLAN
Revised Plan Contract No.:
REMINDER: Utilize the New York State Contract System located at https://ny.newnycontracts.com/Default.asp?TN=ny&XID=8353 to report MWBE payments on a monthly basis. Making false representations or including information evidencing
a lack of good faith as part of, or in conjunction with, the submission of a Utilization Plan is prohibited by law and may result in penalties including, but not limited to, termination of a contract for cause, loss of eligibility to submit future bids, and/or
withholding of payments. Firms that do not perform commercially useful functions may not be counted toward MWBE utilization.
Contractor's Name, Address and Federal ID No.: Contract Description/Location: Date Proposal Approved: Date Printed: Bid Date:
MWBE GOALS
MBE% WBE%
Work/Job Order: OGS Project Number: Work Order Value: Contract Amount:
Federal ID No.:
Anticipated
Certified MBE/WBE Name, Address and Phone Tiered Dollar Value of MBE WBE Description of Subcontracting/Supplies performance/purchase
No. Sub Subcontract/Supplies
date(s)
Pursuant to Executive Law Article 15-A, my firm will engage in a good Contractor's Comments:
faith effort to achieve the MWBE goals on this contract.
Contractor's Signature:
Enter Name:
FOR APDC USE ONLY
Title: Accepted Accepted as Noted Notice of Deficiency Issued
MBE % MBE $ WBE % WBE $
E-Mail Address: Date: OGS Authorized Signature: Enter Name: Date:
BDC 328 (Rev06)
YLNO
ESU
CDPA
ROF
106 Smith Blvd.
Albany, NY 12202
SEE BDC
328.1
Federal ID No.:
Federal ID No.:
Federal ID No.:
Federal ID No.:

106 Smith Blvd.
518-463-8763
CONTRACTOR'S MONTHLY 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
Description of Project: MBE% WBE% Month Year
Firm Name, Address and Phone Number
Description of Work or Supplies Provided Designation Payment This Month Contract Amount
(List All Firms)
MBE WBE
Sub Supplier
Broker Tiered Sub
Joint Venture Reseller
Federal ID No.: Written Contract No Written Contract No Payment This Month
MBE WBE
Sub Supplier
Broker Tiered Sub
Joint Venture Reseller
Federal ID No.: Written Contract No Written Contract No Payment This Month
MBE WBE
Sub Supplier
Broker Tiered Sub
Joint Venture Reseller
Federal ID No.: Written Contract No Written Contract No Payment This Month
MBE WBE
Sub Supplier
Broker Tiered Sub
Joint Venture Reseller
Federal ID No.: Written Contract No Written Contract No Payment This Month
Signature of Firm's Compliance Officer Print Name Date
For APDC Use Only
Submission of this form constitutes the contractor's acknowledgement as to the accuracy of the information contained herein. Failure to submit complete Reviewed By: Date:
and accurate information may result in a finding of noncompliance, non-responsibility, suspension and/or termination of the contract.
BDC 58 (Rev05)