PROPOSAL

D264417NO PLANSF.A. PROJECT

Book 2 of 2

Submitted in accordance with the Highway Law and the Standard Specifications officially finalized and adopted on January 1, 2021 as posted on the Department's website.

US CUSTOMARY UNITS

Proposal Description:

Taconic State Parkway Resurfacing Pudding Street to Hortontown Hill Rd.

Letting of 1/21/2021 @ 10:30 A.M.

50 Wolf Road, Albany, NY 12232

IMPORTANT BIDDER INFORMATION

0790 1 of 1 L05/01/20 Contracts/Legal 4/30/20

1. Familiarize Yourself with the Standard Specifications. The current NYSDOT Standard Specifications are stipulated onthe front cover of this Project Proposal. Standard Specifications may be accessed at: https://www.dot.ny.gov/main/business-center/engineering/specifications/busi-e-standards-usc . Be certain you access the correct edition of the StandardSpecifications.

2. Upcoming Projects/Contract Documents/Letting Results. Advertisements are available at: www.dot.ny.gov/doing-business/opportunities/const-highway, Contract Documents at: www.dot.ny.gov/doing-business/opportunities/const-notices,and Letting Results at: www.dot.ny.gov/doing-business/opportunities/const-results.

3. Procurement Lobbying Law. NYS Finance Law restricts communication with NYSDOT personnel on procurements;contact can only be made with designated persons. Contact with non-designated persons or other involved Agencies will beconsidered a serious matter and may result in disqualification. Project-related technical questions or comments must besubmitted through the NYSDOT website at: www.dot.ny.gov/doing-business/opportunities/const-notices. All other questionsshould be submitted through the website or directed to Robert Kitchen or the Assistant Director/Director of the ContractManagement Bureau, (518) 457-2124.

4. DBE/MBE/WBE/SDVOB Goals. www.dot.ny.gov/main/business-center/contractors/construction-division/construction-civil-rights/ebo. Projects may have one goal for participation by Disadvantaged Business Enterprises (DBE) when Federallyfunded, or three separate goals for participation by Minority Business Enterprises (MBEs), Women’s Business Enterprises(WBE) and Service-Disabled Veteran-Owned Business (SDVOB) when Non-Federally funded. If the project has (a)DBE/MBE/WBE/SDVOB goal(s), you must document your good faith efforts to obtain DBE/MBE/WBE/SDVOBparticipation. Solicitation of DBE/MBE/WBE/SDVOBs must begin prior to the submission of your bid. For projects withgoals, the Pre-Award Utilization Package must be submitted to the Office of Construction in accordance with §102-12D/M/WBE Utilization, using the current version of NYSDOT approved Civil Rights reporting software.

5. Bonds. Statutes require that a low bidder file both a Performance Bond and a Labor and Material Bond for the full amountof the contract. Arrangements should be made with a Surety prior to submitting a bid. Failure to secure bonding could result inthe loss of your bid deposit. See §103-03 Contract Bonds.

6. Bid Security. Every bid must be accompanied by a bid bond, certified check or bank cashier's check payable to the NYSDepartment of Transportation, in the sum of the amount shown on the proposal title page. Bonds must be on form CONR 391.Electronic bids must include an electronic bid bond.

7. New York State Can Help You Secure Surety Bonding. The NYS Surety Bond Assistance Program (NYSBAP) providestechnical and financial assistance to help New York State small business or MWBE contractors secure bonding. Contractorsmay be eligible to receive a guarantee of up to 30% to secure a surety bond line, bid bond or a performance and payment bondon State projects. Training is also available to contractors requiring technical support on how to become bond-ready. For moreinformation visit esd.ny.gov/BusinessPrograms/BondingAssistance.html or contact Ms. Huey-Min Chuang at Empire StateDevelopment at 212-803-3238 or BAP@esd.ny.gov.

8. Do Not Alter the Bid Proposal Unless Directed to Do So by Amendment. Unauthorized alterations could lead to your bidbeing declared informal. See §102-05 Proposal Submission.

9. The Contractor is responsible for ensuring that all Amendments have been incorporated into its bid. Amendments areposted at: www.dot.ny.gov/doing-business/opportunities/const-notices.

10. Bid on All Items and Sign the Bid. If it is your intent to bid "0", use the numeric symbol. Leaving blank spaces can renderyour bid informal. See §102-05 Proposal Submission.

11. Bids Should Be Submitted through Bid Express or in a Sealed Envelope prominently labeled “BID ENCLOSED”,addressed to NYSDOT, Office of Contract Management, 50 Wolf Road, First Floor, Suite 1CM, Albany NY 12232 anddelivered prior to the proposal due date and time, during normal business hours (Monday through Friday, 7:00 am to4:00 pm). Clearly identify the Contractor Name, Address, Federal Identification Number, Project Number and ProjectDescription on the envelope. The same Federal Identification number should be used on both the envelope and the PlanholdersList. Low bidders must have a current NYS Vendor Responsibility Questionnaire For-Profit Construction (CCA-2) on file orsubmit one within 10 days of receipt of the contract. Questionnaires are available at: www.dot.ny.gov/bids-and-lettings/construction-contractors/general-info. Please call (518) 457-2421 if a reasonable accommodation is needed toparticipate in the Letting.

D264417

for L.M. 11/5/20

D264417 25

CONTRACT HAS BEEN DESIGNED IN ACCORDANCE WITH NYSOOT PCUCIES AND GUIDELINES ANO THE FINAL DESIGN APPROVAL DOCUMENT ON 7/23/2020

AFFIX SEAL: ON,

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ALTERED BY, ON:

IT IS A VIOLATION OF LAW FOR ANY PERSON, UNLESS THEY AR£ ACTING UNDER THE DIRECTION Of A LICENSED PROFESSIONAL ENGINEER, ARCHITECT, LANDSCAPE ARCHITECT, OR LANO SURVEYOR, TO ALTER AN ITEM IN ANY WAY. IF AN ITEM BEARING THE STAMP OF A LICENSED PROFESSIONAL IS ALTERED, THE AL TER!NG ENGINEER, ARCHITECT, LANDSCAPE ARCHITECT, OR LANO SURVEYOR SHALL STAMP THE DOCUt.lEHT AND INCLUDE THE NOTATION "ALTERED BY" FOLLOWED BY THEIR SIGNATURE, THE DATE OF SUCH AL TERA TION, AND A SPECIFIC DESCRIPTION OF THE ALTERATION.

TSP RESURFACING

PUDDING·STREET TO HORTONTOWN HILL ROAD

COUNTY: PUTNAM

AS-BlJIL T REVISIONS DESCRIPTION OF ALTERATIONS:

PIN 8815.42

ALL DIMENSIONS ARE IN ft UNLESS OTHERWISE NOTED

�f-X'0YORK I Department of�RTUNITY. Transportation

PROFESSIONAL SEAL SHEET REGION 08

D26441726

·Ulster

Orange

Dutchess

Columbia

Westchester

Putnam

Rockland

PROJECT BEGINSRM 987G 8402 1080

PROJECT ENDSRM 987G 8402 1127

Putnam

Dutchess

Kent

Putnam Valley

Philipstown

East FishkillFishkill

Carmel

1:50,000Scale:

STATE OF NEW YORKDEPARTMENT OF TRANSPORTATION

REGION 8PIN DATE FIGURE

PROJECT LOCATION MAPTaconic State Parkway Pavement Improvments

Town of Kent, Town of Putnam ValleyPutnam County

8815.42 8/25/2020 1

D264417 27

0800 Per DQAB 2100 L05/07/15 rev. 09/01/2020 Page 1 of 1

REQUIRED CONTRACT PROVISIONS

EEO Goals

MBE/DBE/WBE/SDVOB Goals

Form CONR 9

Electronic Bidding

Federal Aid Contract Provisions

Insurance Coverage

List of Additional Insured

Railroad Insurance

New York State Uniform Contracting Questionnaire

NOTE: This form was developed for repetitive use throughout all contract proposals and may identify items not applicable to this specific project.

D26441728

GOALS FOR EQUAL EMPLOYMENT OPPORTUNITY (EEO) PARTICIPATION

0820 Page 1 of 1 Per Construction EI 17-006

The Contractor shall follow the requirements of §102-11 Equal Employment Opportunity Requirements. The goals for minority and female participation, expressed in percentage terms for the Contractor’s aggregate workforce in each trade on all construction work in the covered area, which is the county or counties in which the work is located, are as follows:

GOALS FOR PARTICIPATION OF MINORITIES COUNTY % COUNTY % COUNTY % Albany 3.2 Herkimer 2.1 Richmond Table Allegany 6.3 Jefferson 2.5 Rockland 22.6 Broome 1.1 Kings Table St. Lawrence 2.5 Bronx Table Lewis 2.5 Saratoga 3.2 Cattaraugus 6.3 Livingston 5.3 Schenectady 3.2 Cayuga 2.5 Madison 3.8 Schoharie 2.6 Chautauqua 6.3 Monroe 5.3 Schuyler 1.2 Chemung 2.2 Montgomery 3.2 Seneca 5.9 Chenango 1.2 Nassau 5.8 Steuben 1.2 Clinton 2.6 New York Table Suffolk 5.8 Columbia 2.6 Niagara 7.7 Sullivan 17.0 Cortland 2.5 Oneida 2.1 Tioga 1.1 Delaware 1.2 Onondaga 3.8 Tompkins 1.2 Dutchess 6.4 Ontario 5.3 Ulster 17.0 Erie 7.7 Orange 17.0 Warren 2.6 Essex 2.6 Orleans 5.3 Washington 2.6 Franklin 2.5 Oswego 3.8 Wayne 5.3 Fulton 2.6 Otsego 1.2 Westchester 22.6 Genesee 5.9 Putnam 22.6 Wyoming 6.3 Greene 2.6 Queens Table Yates 5.9 Hamilton 2.6 Rensselaer 3.2

(45 FR 65976 – 10/3/1980)

GOALS FOR PARTICIPATION OF MINORITIES BRONX, KINGS, NEW YORK, QUEENS AND RICHMOND COUNTIES

Electricians 9.0 to 10.2 Bricklayers 13.4 to 15.5 Carpenters 27.6 to 32.0 Asbestos workers 22.8 to 28.0 Steam fitters 12.2 to 13.5 Roofers 6.3 to 7.5 Metal lathers 24.6 to 25.6 Iron workers (ornamental) 22.4 to 23.0 Painters 26.0 to 28.6 Cement masons 23.0 to 27.0 Operating engineers 25.6 to 26.0 Glaziers 16.0 to 20.0 Plumbers 12.0 to 14.5 Plasterers 15.8 to 18.0 Iron workers (structural) 25.9 to 32.0 Teamsters 22.0 to 22.5 Elevator constructors 5.5 to 6.5 Boilermakers 13.0 to 15.5

All others 16.4 to 17.5

GOAL FOR PARTICIPATION OF WOMEN

The goal for the participation of women is 6.9%. (43 FR 14888 – 4/7/1978)

These goals are applicable to all the Contractor's construction work (whether or not it is Federal or federally assisted). If the Contractor performs construction work outside of New York State, it shall apply the goals established for the covered area where the work is actually performed.

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0821 Page 1 of 1 Per Construction 12/09/19 L 05/01/20

MBE/DBE/WBE/SDVOB PARTICIPATION GOALS

The Department has established the following participation goal(s) for this contract, expressed as a percentage of the total contract bid amount.

The DBE program applies to Federal-Aid contracts; the MBE, WBE, and SDVOB programs apply to Non-Federal-Aid contracts. For more information see Standard Specifications §102-12 or call the Office of Construction Pre-Award Unit at (518) 457-6472.

Disadvantaged Business Enterprise (DBE) Goal % (Federal-Aid Only)

Minority Business Enterprise (MBE) Goal % (Non Federal-Aid Only)

Women's Business Enterprise (WBE) Goal % (Non Federal-Aid Only)

Service-Disabled Veteran-Owned Business (SDVOB) Goal % (Non Federal-Aid Only)

The NYSUCP DBE Directory is located at: https://nysucp.newnycontracts.com/

The NYS M/WBE Directory is located at: https://ny.newnycontracts.com/

The NYS SDVOB Directory is located at: https://online.ogs.ny.gov/SDVOB/search

10

D26441730

CONR9 (10/22/15)

SUPPLEMENTAL INFORMATION AVAILABLE TO BIDDERS The information checked in the “Digital” column on this form is available at the Contract Documents tab within the Construction Contracting section of the Business Center on the Department’s web site. The information checked in the “Inspection Only” column on this form is available at the Regional Office having jurisdiction for this project, as identified in the advertisement for bids, for inspection and review prior to the letting date. The bidder’s signature on this proposal certifies that they have made themselves aware of the availability of the information indicated below:

THERE IS NO SUPPLEMENTAL INFORMATION AVAILABLE FOR THIS CONTRACT:

INFORMATION Digital1 Inspection Only 1. Black and White PDF of Stamped Plan Set (for printing)2. Unsealed Layered or 3D PDF Files3. CADD Information

a. MicroStation DGNb. InRoads DTM and XML formatc. InRoads ALG and XML format

4. Cross Sections in ADOBE PDF format5. Quantity Work-ups X 6. Record Plans7. Rock Cores (available for inspection only)8. Sign Face Layouts in ADOBE PDF format9. Stormwater Pollution Prevention Plan (SWPPP)10. Subsurface Information

a. Subsurface Exploration Logsb. Undisturbed Sample Logsc. Laboratory Test Data from Soil Samplesd. Tabulated Results of Probinge. Tabulated Depth to Bedrockf. Rock Core Evaluation Logsg. Compression Test Data from Rock Samplesh. Rock Outcrop Mapsi. Granular Materials Resource Survey Reportsj. Terrain Reconnaissance Reports

11. Subsurface Information - Other Informationa. Subsurface information from outside sourcesb. Source Information - Granular Material and aggregatesc. Special Subsurface Reports

12. Anticipated Construction Schedule13. Asbestos Information

a. Asbestos Blanket Variancesb. Asbestos Report

14. Special Reports or Other Information:a. Design Approval Documentb. Wetland Compensation Reportc. Survey Control Report

15. Key Corridor Lane Charts X

1 – All digital material is provided in ADOBE (pdf) format, unless noted above.

D264417 31

NYSDOT Electronic Bidding - AASHTOWare Project Bids and Bid Express

0850 1 of 2 Contract Management L09/01/19 06/20/19

Project Bids allows bidders to receive electronic proposal bid item information from the Department's web site and Bid Express to produce an electronic bid. Project Bids is provided free of charge, and can be used on almost any Windows-compatible PC. Benefits may include:

• Project Bids computes item and overall bid totals as estimators work through the list, andalerts estimators if an item is accidentally omitted.

• Electronic files of item bid data will be posted to the NYSDOT website and Bid Expressto coincide with advertising and contract document publication dates.

• When an amended item bid data is downloaded, recognition of changes is automatic.• Electronic bids are processed faster than paper bids, decreasing the time needed for

verification of bids by NYSDOT.

Bid Express allows secure, encrypted bid submittal over the internet. It integrates with Project Bids and includes electronic bid bond verification. Bid Express is a fee-based service. Benefits may include:

• Real-time bid submittal from any location.• No concerns about driving bids to Albany or mail services arriving after the deadline.• The ability to submit a "safety bid" early while continuing to solicit better quotes from

subs and suppliers and to overwrite the safety bid with a new bid right up to thesubmission deadline.

• As data accumulates on Bid Express, there is the ability to search and analyze bids onprior contracts for specific work items, and/or by specific competitors, etc.

• The ability to solicit and receive quotes from subcontractors through the Small BusinessNetwork on Bid Express.

• Contractors who use Bid Express do not submit a paper bid.

First time electronic bidders should:

• Allow at least seven business days to obtain a digital ID and password for biddingthrough Bid Express.

• Follow the procedures in "Download AASHTOWare Project Bids", which are posted athttp://www.dot.ny.gov/bids-and-lettings/construction-contractors/electronic-bid-system

• Enter the Agency as NYSDOT.• Use the appropriate Federal-ID and firm name. Federal-ID must be in the format 12-

3456789. Joint ventures must create a new digital ID. Joint ventures must also sendevidence of the authority of the agent or attorney-in-fact for the joint venturers to act onbehalf of all joint venturers to the Office of Contract Management prior to the Letting.

All electronic bidders should:

• Enter prices for all bid items in the Schedule of Items.• Enter days for the B portion(s) of A + B bids on the A+B Days tab (if applicable).• Enter the required info in the JURAT and Disclosure of Lobbying Activity folders.• Complete the Contract Document Bid-Ability Survey (optional).

D26441732

NYSDOT Electronic Bidding - AASHTOWare Project Bids and Bid Express

0850 2 of 2 Contract Management L09/01/19 06/20/19

• Enter the required info in the Bid Bond folder if submitting a bid through Bid Expressand click Verify to verify the bid bond.

• All bids submitted through Bid Express should be 100% complete as noted at the top ofthe page. Submitting a bid that is less than 100% complete through Bid Express couldlead to the bid being declared informal.

Paper Bid Documents: NYSDOT recommends and encourages contractors to bid electronically with Bid Express because of its many advantages, but contractors are not required to bid electronically. If NYSDOT receives both a Bid Express bid and a paper bid from the same contractor, the Bid Express bid will prevail.

Bidders who do not use Bid Express are encouraged to submit an electronic bid file on a CD or flash drive with their paper bid. NYSDOT will not accept electronic bids on any media without a paper bid. If there is any discrepancy between an electronic file submitted with the paper bid and the paper bid, the paper bid will prevail.

When submitting an electronic bid file with your paper bid, include only one .ebsx (Project Bids) file on the CD or flash drive. Do not put anything else on this CD or flash drive.

Amendments: Contractors are solely responsible for recognizing and responding to changes by amendment. If an amendment involves changes to item bid data, an amended Project Bids file will be posted to the Department's website and to Bid Express. This file must be applied to your electronic bid. If there is any discrepancy in the itemized proposals published in paper and electronic formats, in either the contract pay items or quantities, the Department will evaluate the bids based only on that portion that is common to all formats. For example, if an item is missing from any format, the bids will be evaluated excluding that item and if item quantities are different in any format, the bids will be evaluated using the lowest item quantity.

Please notify the Department at 518-457-2124 or 518-457-3583 if you find any such discrepancies. However, not all amendments will involve changes to item bid data.

For assistance:

• NYSDOT 518-457-2124 or 518-457-3583• Bid Express Help Desk (888) 352-2439 or (352) 381-4888• Third-party Software - Contact the vendor of the software. The Department is neither

authorized nor able to assist with any software package.

D264417 33

FHWA-1273 -- Revised May 1, 2012

REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACTS

I. GeneralII. NondiscriminationIII. Nonsegregated FacilitiesIV. Davis-Bacon and Related Act ProvisionsV. Contract Work Hours and Safety Standards Act

ProvisionsVI. Subletting or Assigning the ContractVII. Safety: Accident PreventionVIII. False Statements Concerning Highway ProjectsIX. Implementation of Clean Air Act and Federal Water

Pollution Control ActX. Compliance with Governmentwide Suspension and

Debarment RequirementsXI. Certification Regarding Use of Contract Funds for

Lobbying

ATTACHMENTS

A. Employment and Materials Preference for AppalachianDevelopment Highway System or Appalachian Local AccessRoad Contracts (included in Appalachian contracts only)

I. GENERAL

1. Form FHWA-1273 must be physically incorporated in eachconstruction contract funded under Title 23 (excludingemergency contracts solely intended for debris removal). Thecontractor (or subcontractor) must insert this form in eachsubcontract and further require its inclusion in all lower tiersubcontracts (excluding purchase orders, rental agreementsand other agreements for supplies or services).

The applicable requirements of Form FHWA-1273 are incorporated by reference for work done under any purchase order, rental agreement or agreement for other services. The prime contractor shall be responsible for compliance by any subcontractor, lower-tier subcontractor or service provider.

Form FHWA-1273 must be included in all Federal-aid design-build contracts, in all subcontracts and in lower tier subcontracts (excluding subcontracts for design services, purchase orders, rental agreements and other agreements for supplies or services). The design-builder shall be responsible for compliance by any subcontractor, lower-tier subcontractor or service provider.

Contracting agencies may reference Form FHWA-1273 in bid proposal or request for proposal documents, however, the Form FHWA-1273 must be physically incorporated (not referenced) in all contracts, subcontracts and lower-tier subcontracts (excluding purchase orders, rental agreements and other agreements for supplies or services related to a construction contract).

2. Subject to the applicability criteria noted in the followingsections, these contract provisions shall apply to all workperformed on the contract by the contractor's own organizationand with the assistance of workers under the contractor'simmediate superintendence and to all work performed on thecontract by piecework, station work, or by subcontract.

3. A breach of any of the stipulations contained in theseRequired Contract Provisions may be sufficient grounds forwithholding of progress payments, withholding of finalpayment, termination of the contract, suspension / debarmentor any other action determined to be appropriate by thecontracting agency and FHWA.

4. Selection of Labor: During the performance of this contract,the contractor shall not use convict labor for any purposewithin the limits of a construction project on a Federal-aidhighway unless it is labor performed by convicts who are onparole, supervised release, or probation. The term Federal-aidhighway does not include roadways functionally classified aslocal roads or rural minor collectors.

II. NONDISCRIMINATION

The provisions of this section related to 23 CFR Part 230 are applicable to all Federal-aid construction contracts and to all related construction subcontracts of $10,000 or more. The provisions of 23 CFR Part 230 are not applicable to material supply, engineering, or architectural service contracts.

In addition, the contractor and all subcontractors must comply with the following policies: Executive Order 11246, 41 CFR 60, 29 CFR 1625-1627, Title 23 USC Section 140, the Rehabilitation Act of 1973, as amended (29 USC 794), Title VI of the Civil Rights Act of 1964, as amended, and related regulations including 49 CFR Parts 21, 26 and 27; and 23 CFR Parts 200, 230, and 633.

The contractor and all subcontractors must comply with: the requirements of the Equal Opportunity Clause in 41 CFR 60-1.4(b) and, for all construction contracts exceeding $10,000, the Standard Federal Equal Employment Opportunity Construction Contract Specifications in 41 CFR 60-4.3.

Note: The U.S. Department of Labor has exclusive authority to determine compliance with Executive Order 11246 and the policies of the Secretary of Labor including 41 CFR 60, and 29 CFR 1625-1627. The contracting agency and the FHWA have the authority and the responsibility to ensure compliance with Title 23 USC Section 140, the Rehabilitation Act of 1973, as amended (29 USC 794), and Title VI of the Civil Rights Act of 1964, as amended, and related regulations including 49 CFR Parts 21, 26 and 27; and 23 CFR Parts 200, 230, and 633.

The following provision is adopted from 23 CFR 230, Appendix A, with appropriate revisions to conform to the U.S. Department of Labor (US DOL) and FHWA requirements.

1. Equal Employment Opportunity: Equal employmentopportunity (EEO) requirements not to discriminate and to takeaffirmative action to assure equal opportunity as set forthunder laws, executive orders, rules, regulations (28 CFR 35,29 CFR 1630, 29 CFR 1625-1627, 41 CFR 60 and 49 CFR 27)and orders of the Secretary of Labor as modified by theprovisions prescribed herein, and imposed pursuant to 23U.S.C. 140 shall constitute the EEO and specific affirmativeaction standards for the contractor's project activities under

REQUIRED CONTRACT PROVISIONS FOR FEDERAL AID CONTRACTS

L09/06/12Page 1 of 11

D26441734

this contract. The provisions of the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO:

a. The contractor will work with the contracting agency andthe Federal Government to ensure that it has made every good faith effort to provide equal opportunity with respect to all of its terms and conditions of employment and in their review of activities under the contract.

b. The contractor will accept as its operating policy thefollowing statement:

"It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship, pre-apprenticeship, and/or on-the-job training."

2. EEO Officer: The contractor will designate and makeknown to the contracting officers an EEO Officer who will havethe responsibility for and must be capable of effectivelyadministering and promoting an active EEO program and whomust be assigned adequate authority and responsibility to doso.

3. Dissemination of Policy: All members of the contractor'sstaff who are authorized to hire, supervise, promote, anddischarge employees, or who recommend such action, or whoare substantially involved in such action, will be made fullycognizant of, and will implement, the contractor's EEO policyand contractual responsibilities to provide EEO in each gradeand classification of employment. To ensure that the aboveagreement will be met, the following actions will be taken as aminimum:

a. Periodic meetings of supervisory and personnel officeemployees will be conducted before the start of work and then not less often than once every six months, at which time the contractor's EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer.

b. All new supervisory or personnel office employees will begiven a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor.

c. All personnel who are engaged in direct recruitment forthe project will be instructed by the EEO Officer in the contractor's procedures for locating and hiring minorities and women.

d. Notices and posters setting forth the contractor's EEOpolicy will be placed in areas readily accessible to employees, applicants for employment and potential employees.

e. The contractor's EEO policy and the procedures toimplement such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means.

4. Recruitment: When advertising for employees, thecontractor will include in all advertisements for employees thenotation: "An Equal Opportunity Employer." All suchadvertisements will be placed in publications having a largecirculation among minorities and women in the area fromwhich the project work force would normally be derived.

a. The contractor will, unless precluded by a validbargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minorities and women. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority and women applicants may be referred to the contractor for employment consideration.

b. In the event the contractor has a valid bargainingagreement providing for exclusive hiring hall referrals, the contractor is expected to observe the provisions of that agreement to the extent that the system meets the contractor's compliance with EEO contract provisions. Where implementation of such an agreement has the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Federal nondiscrimination provisions.

c. The contractor will encourage its present employees torefer minorities and women as applicants for employment. Information and procedures with regard to referring such applicants will be discussed with employees.

5. Personnel Actions: Wages, working conditions, andemployee benefits shall be established and administered, andpersonnel actions of every type, including hiring, upgrading,promotion, transfer, demotion, layoff, and termination, shall betaken without regard to race, color, religion, sex, nationalorigin, age or disability. The following procedures shall befollowed:

a. The contractor will conduct periodic inspections of projectsites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel.

b. The contractor will periodically evaluate the spread ofwages paid within each classification to determine any evidence of discriminatory wage practices.

c. The contractor will periodically review selected personnelactions in depth to determine whether there is evidence of discrimination. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons.

d. The contractor will promptly investigate all complaints ofalleged discrimination made to the contractor in connection with its obligations under this contract, will attempt to resolve such complaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of their avenues of appeal.

6. Training and Promotion:

a. The contractor will assist in locating, qualifying, andincreasing the skills of minorities and women who are

REQUIRED CONTRACT PROVISIONS FOR FEDERAL AID CONTRACTS

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D264417 35

applicants for employment or current employees. Such efforts should be aimed at developing full journey level status employees in the type of trade or job classification involved.

b. Consistent with the contractor's work force requirementsand as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. The contracting agency may reserve training positions for persons who receive welfare assistancein accordance with 23 U.S.C. 140(a).

c. The contractor will advise employees and applicants foremployment of available training programs and entrance requirements for each.

d. The contractor will periodically review the training andpromotion potential of employees who are minorities and women and will encourage eligible employees to apply for such training and promotion.

7. Unions: If the contractor relies in whole or in part uponunions as a source of employees, the contractor will use goodfaith efforts to obtain the cooperation of such unions toincrease opportunities for minorities and women. Actions bythe contractor, either directly or through a contractor'sassociation acting as agent, will include the procedures setforth below:

a. The contractor will use good faith efforts to develop, incooperation with the unions, joint training programs aimed toward qualifying more minorities and women for membership in the unions and increasing the skills of minorities and women so that they may qualify for higher paying employment.

b. The contractor will use good faith efforts to incorporate anEEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability.

c. The contractor is to obtain information as to the referralpractices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the contracting agency and shall set forth what efforts have been made to obtain such information.

d. In the event the union is unable to provide the contractorwith a reasonable flow of referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minorities and women. The failure of a union to provide sufficient referrals (even though it is obligated to provide exclusive referrals under the terms of a collective bargaining agreement) does not relieve the contractor from the requirements of this paragraph. In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the contracting agency.

8. Reasonable Accommodation for Applicants /Employees with Disabilities: The contractor must be familiar

with the requirements for and comply with the Americans with Disabilities Act and all rules and regulations established there under. Employers must provide reasonable accommodation in all employment activities unless to do so would cause an undue hardship.

9. Selection of Subcontractors, Procurement of Materialsand Leasing of Equipment: The contractor shall notdiscriminate on the grounds of race, color, religion, sex,national origin, age or disability in the selection and retentionof subcontractors, including procurement of materials andleases of equipment. The contractor shall take all necessaryand reasonable steps to ensure nondiscrimination in theadministration of this contract.

a. The contractor shall notify all potential subcontractors andsuppliers and lessors of their EEO obligations under thiscontract.

b. The contractor will use good faith efforts to ensuresubcontractor compliance with their EEO obligations.

10. Assurance Required by 49 CFR 26.13(b):

a. The requirements of 49 CFR Part 26 and the State-approved DBE program are incorporated by

reference.

b. The contractor or subcontractor shall not discriminate onthe basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the contracting agencydeems appropriate.

11. Records and Reports: The contractor shall keep suchrecords as necessary to document compliance with the EEOrequirements. Such records shall be retained for a period ofthree years following the date of the final payment to thecontractor for all contract work and shall be available atreasonable times and places for inspection by authorizedrepresentatives of the contracting agency and the FHWA.

a. The records kept by the contractor shall document thefollowing:

(1) The number and work hours of minority and non-minority group members and women employed in each work classification on the project;

(2) The progress and efforts being made in cooperationwith unions, when applicable, to increase employment opportunities for minorities and women; and

(3) The progress and efforts being made in locating, hiring,training, qualifying, and upgrading minorities and women;

b. The contractors and subcontractors will submit an annualreport to the contracting agency each July for the duration of the project, indicating the number of minority, women, and non-minority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA-1391. The staffing data should represent the project work force on board in all or any part of the last payroll period preceding the end of July. If on-the-job training is being required by special provision, the contractor

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will be required to collect and report training data. The employment data should reflect the work force on board during all or any part of the last payroll period preceding the end of July.

III. NONSEGREGATED FACILITIES

This provision is applicable to all Federal-aid construction contracts and to all related construction subcontracts of $10,000 or more.

The contractor must ensure that facilities provided for employees are provided in such a manner that segregation on the basis of race, color, religion, sex, or national origin cannot result. The contractor may neither require such segregated use by written or oral policies nor tolerate such use by employee custom. The contractor's obligation extends further to ensure that its employees are not assigned to perform their services at any location, under the contractor's control, where the facilities are segregated. The term "facilities" includes waiting rooms, work areas, restaurants and other eating areas, time clocks, restrooms, washrooms, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing provided for employees. The contractor shall provide separate or single-user restrooms and necessary dressing or sleeping areas to assure privacy between sexes.

IV. DAVIS-BACON AND RELATED ACT PROVISIONS

This section is applicable to all Federal-aid construction projects exceeding $2,000 and to all related subcontracts and lower-tier subcontracts (regardless of subcontract size). The requirements apply to all projects located within the right-of-way of a roadway that is functionally classified as Federal-aid highway. This excludes roadways functionally classified as local roads or rural minor collectors, which are exempt. Contracting agencies may elect to apply these requirements to other projects.

The following provisions are from the U.S. Department of

FHWA-1273 format and FHWA program requirements.

1. Minimum wages

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

Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions

of paragraph 1.d. of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph 1.b. of this section) and the Davis-Bacon poster (WH 1321) shall beposted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers.

b.(1) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:

(i) The work to be performed by the classificationrequested is not performed by a classification in the wage determination; and

(ii) The classification is utilized in the area by theconstruction industry; and

(iii) The proposed wage rate, including any bona fidefringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

(2) If the contractor and the laborers and mechanics to beemployed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.

(3) In the event the contractor, the laborers or mechanicsto be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. The Wage and Hour Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or

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will notify the contracting officer within the 30-day period that additional time is necessary.

(4) The wage rate (including fringe benefits whereappropriate) determined pursuant to paragraphs 1.b.(2) or 1.b.(3) of this section, shall be paid to all workers performingwork in the classification under this contract from the firstday on which work is performed in the classification.

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

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

2. Withholding

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

3. Payrolls and basic records

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

Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.

b.(1) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the contracting agency. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee ( e.g. , the last four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH 347 isavailable for this purpose from the Wage and Hour Division Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the contracting agency for transmission to the State DOT, the FHWA or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the contracting agency..

(2) Each payroll submitted shall be accompanied by a

subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:

(i) That the payroll for the payroll period contains theinformation required to be provided under §5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under §5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete;

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

(iii) That each laborer or mechanic has been paid notless than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract.

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(3) The weekly submission of a properly executedcertification set forth on the reverse side of Optional Form WH 347 shall satisfy the requirement for submission of the

this section.

(4) The falsification of any of the above certifications maysubject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code.

c. The contractor or subcontractor shall make the recordsrequired under paragraph 3.a. of this section available for inspection, copying, or transcription by authorized representatives of the contracting agency, the State DOT, the FHWA, or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the FHWA may, after written notice to the contractor, the contracting agency or the State DOT, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12.

4. Apprentices and trainees

a. Apprentices (programs of the USDOL).

Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice.

The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed.

Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly

rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination.

In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

b. Trainees (programs of the USDOL).

Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration.

The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration.

Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed.

In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

c. Equal employment opportunity. The utilization ofapprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30.

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d. Apprentices and Trainees (programs of the U.S. DOT).

Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal-aid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to journeymen shall not be greater than permitted by the terms of the particular program.

5. Compliance with Copeland Act requirements. Thecontractor shall comply with the requirements of 29 CFR part3, which are incorporated by reference in this contract.

6. Subcontracts. The contractor or subcontractor shall insertForm FHWA-1273 in any subcontracts and also require thesubcontractors to include Form FHWA-1273 in any lower tiersubcontracts. The prime contractor shall be responsible for thecompliance by any subcontractor or lower tier subcontractorwith all the contract clauses in 29 CFR 5.5.

7. Contract termination: debarment. A breach of thecontract clauses in 29 CFR 5.5 may be grounds for terminationof the contract, and for debarment as a contractor and asubcontractor as provided in 29 CFR 5.12.

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

9. Disputes concerning labor standards. Disputes arisingout of the labor standards provisions of this contract shall notbe subject to the general disputes clause of this contract. Suchdisputes shall be resolved in accordance with the proceduresof the Department of Labor set forth in 29 CFR parts 5, 6, and7. Disputes within the meaning of this clause include disputesbetween the contractor (or any of its subcontractors) and thecontracting agency, the U.S. Department of Labor, or theemployees or their representatives.

10. Certification of eligibility.

a. By entering into this contract, the contractor certifies thatneither it (nor he or she) nor any person or firm who has aninterest in the contractor's firm is a person or firm ineligible tobe awarded Government contracts by virtue of section 3(a) ofthe Davis-Bacon Act or 29 CFR 5.12(a)(1).

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

c. The penalty for making false statements is prescribed in theU.S. Criminal Code, 18 U.S.C. 1001.

V. CONTRACT WORK HOURS AND SAFETYSTANDARDS ACT

The following clauses apply to any Federal-aid construction contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by 29 CFR 5.5(a) or 29 CFR 4.6. As used in this paragraph, the terms laborers and mechanics include watchmen and guards.

1. Overtime requirements. No contractor or subcontractorcontracting for any part of the contract work which may requireor involve the employment of laborers or mechanics shallrequire or permit any such laborer or mechanic in anyworkweek in which he or she is employed on such work towork in excess of forty hours in such workweek unless suchlaborer or mechanic receives compensation at a rate not lessthan one and one-half times the basic rate of pay for all hoursworked in excess of forty hours in such workweek.

2. Violation; liability for unpaid wages; liquidateddamages. In the event of any violation of the clause set forthin paragraph (1.) of this section, the contractor and anysubcontractor responsible therefor shall be liable for theunpaid wages. In addition, such contractor and subcontractorshall be liable to the United States (in the case of work doneunder contract for the District of Columbia or a territory, to suchDistrict or to such territory), for liquidated damages. Suchliquidated damages shall be computed with respect to eachindividual laborer or mechanic, including watchmen andguards, employed in violation of the clause set forth inparagraph (1.) of this section, in the sum of $10 for eachcalendar day on which such individual was required orpermitted to work in excess of the standard workweek of fortyhours without payment of the overtime wages required by theclause set forth in paragraph (1.) of this section.

3. Withholding for unpaid wages and liquidated damages.The FHWA or the contacting agency shall upon its own actionor upon written request of an authorized representative of theDepartment of Labor withhold or cause to be withheld, fromany moneys payable on account of work performed by thecontractor or subcontractor under any such contract or anyother Federal contract with the same prime contractor, or anyother federally-assisted contract subject to the Contract WorkHours and Safety Standards Act, which is held by the sameprime contractor, such sums as may be determined to benecessary to satisfy any liabilities of such contractor orsubcontractor for unpaid wages and liquidated damages asprovided in the clause set forth in paragraph (2.) of thissection.

4. Subcontracts. The contractor or subcontractor shall insertin any subcontracts the clauses set forth in paragraph (1.)through (4.) of this section and also a clause requiring thesubcontractors to include these clauses in any lower tiersubcontracts. The prime contractor shall be responsible forcompliance by any subcontractor or lower tier subcontractorwith the clauses set forth in paragraphs (1.) through (4.) of thissection.

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VI. SUBLETTING OR ASSIGNING THE CONTRACT

This provision is applicable to all Federal-aid construction contracts on the National Highway System.

1. The contractor shall perform with its own organizationcontract work amounting to not less than 30 percent (or agreater percentage if specified elsewhere in the contract) ofthe total original contract price, excluding any specialty itemsdesignated by the contracting agency. Specialty items may beperformed by subcontract and the amount of any suchspecialty items performed may be deducted from the totaloriginal contract price before computing the amount of workrequired to be performed by the contractor's own organization(23 CFR 635.116).

a. Theto workers employed or leased by the prime contractor, and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of a subcontractor or lower tier subcontractor, agents of the prime contractor, or any other assignees. The term may include payments for the costs of hiring leased employees from an employee leasing firm meeting all relevant Federal and State regulatory requirements. Leased employees may only be included in this term if the prime contractor meets all of the following conditions:

(1) the prime contractor maintains control over thesupervision of the day-to-day activities of the leased employees;

(2) the prime contractor remains responsible for the qualityof the work of the leased employees;

(3) the prime contractor retains all power to accept orexclude individual employees from work on the project; and

(4) the prime contractor remains ultimately responsible forthe payment of predetermined minimum wages, the submission of payrolls, statements of compliance and all other Federal regulatory requirements.

b. "Specialty Items" shall be construed to be limited to workthat requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid or propose on the contract as a whole and in general are to be limited to minor components of the overall contract.

2. The contract amount upon which the requirements set forthin paragraph (1) of Section VI is computed includes the cost ofmaterial and manufactured products which are to bepurchased or produced by the contractor under the contractprovisions.

3. The contractor shall furnish (a) a competent superintendentor supervisor who is employed by the firm, has full authority todirect performance of the work in accordance with the contractrequirements, and is in charge of all construction operations(regardless of who performs the work) and (b) such other of itsown organizational resources (supervision, management, andengineering services) as the contracting officer determines isnecessary to assure the performance of the contract.

4. No portion of the contract shall be sublet, assigned orotherwise disposed of except with the written consent of thecontracting officer, or authorized representative, and suchconsent when given shall not be construed to relieve thecontractor of any responsibility for the fulfillment of thecontract. Written consent will be given only after thecontracting agency has assured that each subcontract is

evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract.

5. The 30% self-performance requirement of paragraph (1) isnot applicable to design-build contracts; however, contractingagencies may establish their own self-performancerequirements.

VII. SAFETY: ACCIDENT PREVENTION

T h i s p r o v i s i o n i s applicable to all Federal-aid construction contracts and to all related subcontracts.

1. In the performance of this contract the contractor shallcomply with all applicable Federal, State, and local lawsgoverning safety, health, and sanitation (23 CFR 635). Thecontractor shall provide all safeguards, safety devices andprotective equipment and take any other needed actions as itdetermines, or as the contracting officer may determine, to bereasonably necessary to protect the life and health ofemployees on the job and the safety of the public and toprotect property in connection with the performance of thework covered by the contract.

2. It is a condition of this contract, and shall be made acondition of each subcontract, which the contractor enters intopursuant to this contract, that the contractor and anysubcontractor shall not permit any employee, in performanceof the contract, to work in surroundings or under conditionswhich are unsanitary, hazardous or dangerous to his/herhealth or safety, as determined under construction safety andhealth standards (29 CFR 1926) promulgated by the Secretaryof Labor, in accordance with Section 107 of the Contract WorkHours and Safety Standards Act (40 U.S.C. 3704).

3. Pursuant to 29 CFR 1926.3, it is a condition of this contractthat the Secretary of Labor or authorized representativethereof, shall have right of entry to any site of contractperformance to inspect or investigate the matter of compliancewith the construction safety and health standards and to carryout the duties of the Secretary under Section 107 of theContract Work Hours and Safety Standards Act (40U.S.C.3704).

VIII. FALSE STATEMENTS CONCERNING HIGHWAYPROJECTS

T h i s p r o v i s i o n i s applicable to all Federal-aid construction contracts and to all related subcontracts.

In order to assure high quality and durable construction in conformity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal-aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, Form FHWA-1022 shall be posted on each Federal-aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project:

18 U.S.C. 1020 reads as follows:

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"Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false statement, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or

Whoever knowingly makes any false statement, false representation, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or

Whoever knowingly makes any false statement or false representation as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal-aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supplemented;

Shall be fined under this title or imprisoned not more than 5 years or both."

IX. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERALWATER POLLUTION CONTROL ACT

This provision is applicable to all Federal-aid construction contracts and to all related subcontracts.

By submission of this bid/proposal or the execution of this contract, or subcontract, as appropriate, the bidder, proposer, Federal-aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows:

1. That any person who is or will be utilized in theperformance of this contract is not prohibited from receiving anaward due to a violation of Section 508 of the Clean Water Actor Section 306 of the Clean Air Act.

2. That the contractor agrees to include or cause to beincluded the requirements of paragraph (1) of this Section X inevery subcontract, and further agrees to take such action asthe contracting agency may direct as a means of enforcingsuch requirements.

X. CERTIFICATION REGARDING DEBARMENT,SUSPENSION, INELIGIBILITY AND VOLUNTARYEXCLUSION

This provision is applicable to all Federal-aid construction contracts, design-build contracts, subcontracts, lower-tier subcontracts, purchase orders, lease agreements, consultant contracts or any other covered transaction requiring FHWA approval or that is estimated to cost $25,000 or more asdefined in 2 CFR Parts 180 and 1200.

1. Instructions for Certification First Tier Participants:

a. By signing and submitting this proposal, the prospectivefirst tier participant is providing the certification set out below.

b. The inability of a person to provide the certification set outbelow will not necessarily result in denial of participation in this

covered transaction. The prospective first tier participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective first tier participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction.

c. The certification in this clause is a material representationof fact upon which reliance was placed when the contracting agency determined to enter into this transaction. If it is later determined that the prospective participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the contracting agency may terminate this transaction for cause of default.

d. The prospective first tier participant shall provideimmediate written notice to the contracting agency to whom this proposal is submitted if any time the prospective first tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

e. The terms "covered transaction," "debarred,""suspended," "ineligible," "participant," "person," "principal," and "voluntarily excluded," as used in this clause, are defined in 2 CFR Parts 180 and 1200.

grantee or subgrantee of Federal funds and a participant (such

the participant who has entered into acovered transaction with a grantee or subgrantee of Federal

covered transaction with a First Tier Participant or other Lower Tier Participants (such as subcontractors and suppliers).

f. The prospective first tier participant agrees by submittingthis proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction.

g. The prospective first tier participant further agrees bysubmitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions," provided by the department or contracting agency, entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions exceeding the $25,000 threshold.

h. A participant in a covered transaction may rely upon acertification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any lower tier prospective participants, each participant may, but is not required to, check the Excluded Parties List System website (https://www.epls.gov/), which is compiled by the General Services Administration.

REQUIRED CONTRACT PROVISIONS FOR FEDERAL AID CONTRACTS

0860 L09/06/12Page 9 of 11

D26441742

i. Nothing contained in the foregoing shall be construed torequire the establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of the prospective participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

j. Except for transactions authorized under paragraph (f) ofthese instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default.

* * * * *

2. Certification Regarding Debarment, Suspension,Ineligibility and Voluntary Exclusion First TierParticipants:

a. The prospective first tier participant certifies to the best ofits knowledge and belief, that it and its principals:

(1) Are not presently debarred, suspended, proposed fordebarment, declared ineligible, or voluntarily excluded fromparticipating in covered transactions by any Federal department or agency;

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

(3) Are not presently indicted for or otherwise criminally orcivilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (a)(2) of this certification; and

(4) Have not within a three-year period preceding thisapplication/proposal had one or more public transactions (Federal, State or local) terminated for cause or default.

b. Where the prospective participant is unable to certify toany of the statements in this certification, such prospectiveparticipant shall attach an explanation to this proposal.

2. Instructions for Certification - Lower Tier Participants:

(Applicable to all subcontracts, purchase orders and other lower tier transactions requiring prior FHWA approval or estimated to cost $25,000 or more - 2 CFR Parts 180 and 1200)

a. By signing and submitting this proposal, the prospectivelower tier is providing the certification set out below.

b. The certification in this clause is a material representationof fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department, or agency with which

this transaction originated may pursue available remedies, including suspension and/or debarment.

c. The prospective lower tier participant shall provideimmediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances.

d. The terms "covered transaction," "debarred,""suspended," "ineligible," "participant," "person," "principal," and "voluntarily excluded," as used in this clause, are defined in 2 CFR Parts 180 and 1200. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations.refers to any covered transaction between a grantee or subgrantee of Federal funds and a participant (such as the

refers to any covered transaction under a First Tier Covered

refers to the participant who has entered into a covered transaction with a grantee or subgrantee of Federal funds

covered transaction with a First Tier Participant or other Lower Tier Participants (such as subcontractors and suppliers).

e. The prospective lower tier participant agrees bysubmitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated.

f. The prospective lower tier participant further agrees bysubmitting this proposal that it will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions exceeding the $25,000 threshold.

g. A participant in a covered transaction may rely upon acertification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any lower tier prospective participants, each participant may, but is not required to, check the Excluded Parties List System website (https://www.epls.gov/), which is compiled by the General Services Administration.

h. Nothing contained in the foregoing shall be construed torequire establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

i. Except for transactions authorized under paragraph e ofthese instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the

REQUIRED CONTRACT PROVISIONS FOR FEDERAL AID CONTRACTS

0860 L09/06/12Page 10 of 11

D264417 43

department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

* * * * *

Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Participants:

1. The prospective lower tier participant certifies, bysubmission of this proposal, that neither it nor its principals ispresently debarred, suspended, proposed for debarment,declared ineligible, or voluntarily excluded from participating incovered transactions by any Federal department or agency.

2. Where the prospective lower tier participant is unable tocertify to any of the statements in this certification, suchprospective participant shall attach an explanation to thisproposal.

* * * * *

XI. CERTIFICATION REGARDING USE OF CONTRACTFUNDS FOR LOBBYING

This provision is applicable to all Federal-aid construction contracts and to all related subcontracts which exceed $100,000 (49 CFR 20).

1. The prospective participant certifies, by signing andsubmitting this bid or proposal, to the best of his or herknowledge and belief, that:

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

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

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

3. The prospective participant also agrees by submitting itsbid or proposal that the participant shall require that thelanguage of this certification be included in all lower tiersubcontracts, which exceed $100,000 and that all suchrecipients shall certify and disclose accordingly.

REQUIRED CONTRACT PROVISIONS FOR FEDERAL AID CONTRACTS

0860 L09/06/12Page 11 of 11

D26441744

INSURANCE COVERAGE

By virtue of the scope, location, type, and/or estimated value, the following types of insurance, listed in the Standard Specifications §107-06B, do not apply to this project and the Contractor is under no obligation to furnish proof of such insurance.

Professional Liability/ Errors and Omissions is not required unless the Contractor intends to include professional services requiring the signature, stamp or certification of a licensed professional, including, without limitation, erection plans, demolition plans, containment plans, coffer dams, and temporary sheeting.

Pollution Liability Insurance is not required unless the Contractor will employ mobile equipment or tanks or facilities for fueling vehicles or equipment on-site. The Contractor will only use licensed and registered vehicles that are covered by a Commercial Automobile Policy or provide the Pollution Liability Insurance.

Marine Protection & Indemnity Insurance is not required because the project scope does not require any Work performed on a navigable waterway using barges or other watercraft.

Builders’ Risk Policy is not required because the project scope does not require the construction of a structure or building and/or the project is valued at less than the threshold amount.

Railroad Protective Liability Insurance is not required because the project scope does not require Work Affecting Railroads as described in §105-09.

D264417 45

LIST OF ADDITIONAL INSURED PARTIES

The following list supplements the required additional insured parties identified in §107-06A.4 - Additional Insureds:

• The State of New York• New York State Department of Transportation• Any consultants working for or on the project, including their agents or employees• [County of Putnam]• [Town of Kent]• [Town of Putnam Valley]

Refer to Standard Specifications §107-06A.4 for requirements regarding these additional insured parties.

D26441746

1100 1 of 1 Per Contracts

L01/10/13 Rev. 1/10/20

New York State Vendor Responsibility Questionnaire For-Profit Construction

(CCA-2)

In accordance with Standard Specification Section 105-05 VENDOR RESPONSIBILITY, “The

Contractor shall at all times during the contract term remain responsible.” Failure to maintain

and provide responsibility documentation may result in non-payment or suspension of work.

A New York State Vendor Responsibility Questionnaire For-Profit Construction (CCA-2)

is the primary tool used to perform this review. An approved CCA-2 must be on file with

NYSDOT to be considered for the award of a contract or for the approval of a subcontract. An

approved CCA-2 covers NYSDOT work for one calendar year.

Forms are available at: http://osc.state.ny.us/vendrep/forms_vendor.htm#Construction.

Firms may file either electronically through the OSC site or can print out the CCA-2, and mail a

signed and notarized original copy to:

New York State Department of Transportation

Contract Management

50 Wolf Road, 1st Floor, Suite 1CM

Albany, NY 12232

Whichever method of submission is selected, the Contractor must complete and include

Attachments A, B and C. Further information can be found at: https://www.dot.ny.gov/bids-and-

lettings/construction-contractors/general-info.

Please note if you file online through the OSC site, a responsibility review must still be

completed by NYSDOT before work can start. Therefore, once certified on-line, you must

notify NYSDOT via email at VendorResponsibility@dot.ny.gov which will initiate the review

process. If you file online and do not notify NYSDOT within 3 months, it may be necessary for

you to resubmit and recertify, restarting the process.

If you are not currently performing work for NYSDOT but anticipate bidding or subcontracting

during the next 12 months, you should complete and submit a CCA-2. Please do not wait until

you are scheduled to work on a project.

Questions may be sent to VendorResponsibility@dot.ny.gov or you may call (518) 457-1564.

D264417 47

3400 Per DQAB L09/04/14

Page 1 of 1

SPECIAL NOTES

Location Maps

Landscape Development Notes

R.O.W.

Thruway

Canal

Funding

Asphalt and Fuel Price Adjustments

Specialty Items

Other Special Notes

Other Project Special Notes

NOTE: This form was developed for repetitive use throughout all contract proposals and may identify items not applicable to this specific project.

D26441748

SPECIAL NOTE TEMPORARY LANE/SHOULDER CLOSURE RESTRICTIONS FOR MAJOR

HOLIDAYS

EI 17-010 Page 1 of 1 L 05/01/18 or earlier 3408

There shall be no temporary lane/shoulder closures on roadway facilities owned and/or maintained by NYSDOT on the major holidays listed below.

Construction activities that will result in temporary lane/shoulder closures shall be suspended to minimize travel delays associated with road work for major holidays as follows:

Exceptions can only be made under the following conditions: Emergency work. Work within long-term stationary lane/shoulder closures. Safety work that does not adversely impact traffic mobility and has been authorized by

the Regional Traffic Engineer.

Note: The Department reserves the right to cancel any work operations, including lane closures and/or total road closures, that would create traffic delays by unforeseen events. The Contractor would be notified at least seven (7) calendar days prior to the proposed work.

Holiday Falls on Temporary lane closures are NOT allowed from

New Year’s Day Independence Day Christmas Day

Sunday or Monday 6:00 AM Friday before to 6:00 AM Tuesday after

Tuesday 6:00 AM Saturday before to 6:00 AM Wednesday after (starting at 6:00 AM Friday before to 6:00 AM Wednesday after for Christmas Day)

Wednesday 6:00 AM Tuesday before to 6:00 AM Thursday after (starting at 6:00 AM Saturday before to 6:00 AM Thursday after for Christmas Day)

Thursday 6:00 AM Thursday to 6:00 AM Monday after (starting at 6:00 AM Wednesday before to 6:00 AM Monday after for Christmas Day)

Friday or Saturday 6:00 AM Thursday before to 6:00 AM Monday after

Holiday Falls on Temporary lane closures are NOT allowed from Memorial Day Labor Day Monday 6:00 AM Friday before to 6:00 AM Tuesday after

Thanksgiving Day Thursday 6:00 AM Wednesday before to 6:00 AM Monday after

D264417 49

SPECIAL NOTE

Diesel Emission Reduction Act (DERA) Regulatory Compliance

3412 Page 1 Per Construction L 05/01/2020 02/25/2020

All NYSDOT prime Contractors are made aware that Environmental Conservation Law (ECL) 19-0323 and New York State Department of Environmental Conservation (NYSDEC) regulation6 NYCRR Part 248 Use of Ultra Low Sulfur Diesel (ULSD) Fuel and Best Available RetrofitTechnology (BART) for Heavy Duty Vehicles requires 100% compliance by December 31, 2019for regulated heavy duty diesel vehicles working on all State awarded contracts. DERA is arequirement of ECL, not a contractual requirement of NYSDOT. NYSDEC is responsible forregulatory enforcement. NYSDOT is responsible for annual Regulatory Entity reporting.

All NYSDOT prime Contractors shall make determinations of regulatory applicability for vehicles in inventory used on active Department contracts beginning January 1st of every year. These determinations shall be based on the definition of Heavy Duty Vehicle (HDV) including on and off road diesel vehicles having gross vehicle weights in excess of 8,500 pounds, excluding vehicles that are exempt as defined in 6 NYCRR 248-1.1(b)(14). Prime Contractors shall also quantify ULSD fuel used by regulated vehicles beginning with active contract work January 1st of every year.

An electronic copy of 6NYCRR Part 248 can be accessed at: https://govt.westlaw.com/nycrr/Browse/Home/NewYork/NewYorkCodesRulesandRegulations?guid=I230dcde07ada11de8a7a9d9968c78f9e&originationContext=documenttoc&transitionType=Default&contextData=(sc.Default)

Electronic copies of the Regulated Entity Vehicle Inventory Form and the Regulated Entity and Contractors Annual Report Form can be accessed under Part 248 Use of Ultra Low Sulfur Diesel Fuel and Best Available Retrofit Technology for Heavy Duty Vehicles at the following link: https://www.dec.ny.gov/chemical/118127.html.

DERA annual reporting by NYSDOT prime Contractors shall be submitted to NYSDOT by October 1st of every year for the previous calendar year, starting with October 1, 2020. The following numbered information shall be submitted:

1. Inclusion of “DERA” and calendar year being reported in subject line of email2. Contact information including firm name, contact person, phone number and e-mail3. Estimated annual total quantity of ULSD fuel used by covered vehicles on NYSDOT

contracts4. Required Fleet information for covered vehicles on NYSDOT contracts

Electronic mail submissions to mo-construction@dot.ny.gov.

D26441750

SPECIAL NOTE OPTIONAL USE OF WARM MIX ASPHALT (WMA) TECHNOLOGIES

3430 Page 1 of 1 EI12008L09/06/12

The contractor has the option of using an Approved WMA Technology in the production of all 402, Hot Mix Asphalt (HMA) items, except SUPERPAVE HMA with Ice Retardant items, Waterproofing Bridge Deck HMA items, and Paver-Placed Surface Treatment items, at no additional cost to the State.

If the contractor chooses to use a WMA technology, the provisions of §401 and §402 shall apply including the following:

Use an approved technology appearing on the Approved List for Technologies for Warm Mix Asphalt. Design a mixture using a WMA Technology in accordance with MM 5.16, Superpave Hot Mix Asphalt Mixture Design and Mixture Verification Procedure. At a minimum, a one point verification of the mixture’s volumetric properties is acceptable for the following situations: When the WMA mix design is based on an existing Production Status HMA mix design. When the WMA mix design is based on, and utilizes a different WMA technology than, an

existing Production Status WMA mix design. Comply with the latest manufacturer’s “Production, Testing, and Compaction Details” from the Approved List for incorporating the WMA technology. Test specimens may be made from plant produced or laboratory prepared WMA. Test specimens must be made from plant produced WMA if adding the WMA technology in the lab does not simulate the production process. The Regional Materials Engineer (RME) may require a State representative be present during the fabrication and testing. Submit the WMA design to the RME for review and verification at least 14 calendar days before production, including: Name of WMA technology and the target dosage rate. If using an additive other than water, o Submit a MSDS for the additive.o Submit either enough of the additive for the laboratory mix design verification, or the

additive pre-blended in the PG Binder at the correct dosage. If the additive is not pre-blended into the PG Binder, include directions for properly incorporating the additive intothe laboratory made mixture.

Prior to the submission of any mix design, contact the RME to determine if there is an increased concern regarding the mixture’s moisture susceptibility based on the WMA technology and/or the type of aggregate being used, or the performance of similar mixes. The RME may require AASHTO T 283 moisture susceptibility test results, meeting a minimum Tensile Strength Ration (TSR) of 80%, as part of the mix design submission.

Submit Production Quality Control Plan revisions incorporating the WMA technology if not previously submitted.

For 80 Series Compaction Method, complete all breakdown roller passes before the mat temperature falls below 230° F, unless approved by the Director, Materials Bureau.

When the asphalt mixture is being placed over a Sheet-Applied Waterproofing Membrane, maintain a minimum delivery temperature in accordance with the Material Detail Sheets prepared by the membrane manufacturer.

D264417 51

HMA WITH CRUSHED GLASS

3440 L07/11/02, L09/06/07, L09/01/15 L07/11/02 Page 1 of 1

SCOPE. This specification covers the requirements for the addition of crushed glass to hot mix asphalt mixtures. The provisions of Section 402 - Hot Mix Asphalt (HMA) Pavements applies except that the Contractor has the option of blending of the crushed glass in the following mixes:

1 1/2 inch Nominal Max. Size 1 inch Nominal Max. Size 3/4 inch Nominal Max. Size Truing and Leveling Course

If the Contractor chooses the crushed glass option, the following modifications to the Standard Specifications shall apply:

MATERIAL REQUIREMENTS

Crushed glass shall be subject to the approval of the Regional Materials Engineer prior to its use. The crushed glass shall contain no more than 1% (by weight) contaminants and shall meet the following gradation:

Sieve Size Percent Passing

3/8 inch 100

1/4 inch 90 - 100

No. 30 0 - 20

Note: The gradation requirements may be modified upon approval by the Regional Materials Engineer.

Crushed glass may be included in the mixture up to 5%, maximum, of the total aggregate weight. The crushed glass, aggregate, and Performance-Graded Binder (PGB) shall meet the requirements specified in the Standard Specification §401-2.01 Hot Mix Asphalt Designs and §401-2.04 Performance-Graded Binder.

CONSTRUCTION DETAILS

The crushed glass shall be proportioned from a separate feed bin approved by the Regional Materials Engineer. In addition, all requirements pertaining to aggregate shall apply to crushed glass including the equipment requirements for automatic proportioning and recording as stipulated for aggregate in §401-3.08.

METHOD OF MEASUREMENT. The provisions of §401-4 and §402-4, Method of Measurement, shall apply.

BASIS OF PAYMENT. The provisions of §402-5, Basis of Payment, shall apply.

D26441752

SPECIAL NOTE: USE OF RECLAIMED ASPHALT SHINGLES (RAS) IN THE PRODUCTION OF

ASPHALT MIXTURES

3445 Page 1 of 2 L09/01/15

DESCRIPTION. The provisions below cover the use of Reclaimed Asphalt Shingles (RAS) in the production of asphalt mixtures. Sections 401 and 402 of the NYS Standard Specifications apply except as modified herein.

MATERIAL REQUIREMENTS

The Contractor has the option of using the following:

Manufactured Waste (MW) RAS may be used in shim, base, binder, and top courses (excluding 6.3 HMA Top Course, Waterproofing Bridge Deck Overlay, and Ice Retardant mixtures).

Post Consumer Waste (PCW) RAS and may be used in shim, base and binder courses.

The RAS must be stockpiled at the plant facility and shall be subject to the approval of the Regional Materials Engineer (RME) prior to its use. RAS shall meet the following requirements:

Shall be from a source that has obtained a beneficial use determination (BUD) from the NYS Department of Environmental Conservation (DEC) as specified in 6 NYCRR 360-1.15.

Shall be certified to be asbestos free. Shall be completely free of nails. In addition, it shall contain no more than 1% by weight

of other deleterious materials such as glass, wood, plastic, etc. Shall meet the following gradation:

Sieve Size Percent Passing Min. Max.

¼ inch (6.3 mm) 100 - #4 (4.75 mm) 90 100 #8 (2.36 mm) 75 90 #16 (1.18 mm) 50 70 #30 (0.600 mm) 30 55 #50 (0.300 mm) 15 40 #100 (0.150 mm) 5 25 #200 (0.075 mm) - 15

The maximum RAS allowed in the mixture is 2% by weight of the total mixture. A Control Plan for using shingles in HMA shall be developed and submitted to the Regional Materials Engineer detailing the control and testing of the stockpiles. RAS shall be uniformly blended with RAP to reduce clumping and must be stockpiled separate from other stockpiles. Other methods of reducing RAS clumping can be utilized with the approval of the RME.

Rejuvenator. A rejuvenator shall be added to PCW RAS using a pugmill or similar equipment to pre-blend and stockpile the rejuvenated PCW RAS. Alternatively, a spray system may be used

D264417 53

SPECIAL NOTE: USE OF RECLAIMED ASPHALT SHINGLES (RAS) IN THE PRODUCTION OF

ASPHALT MIXTURES

3445 Page 2 of 2 L09/01/15

to spray the rejuvenator onto the PCW RAS prior to its introduction into the plant mixer. The rejuvenator shall meet the requirements of ASTM D 4552, Standard Practice for Classifying Hot-Mix Recycling Agents. Other liquid products or methods which facilitate softening of the PCW RAS binder may be used with the approval of the Regional Materials Engineer. The application rate shall be as recommended by the rejuvenator supplier.

Mixture Design. Prior to production of the HMA, the mixture design shall be developed to meet all the requirements in the latest Materials Method (MM) 5.16, Hot Mix Asphalt (HMA) Mixture Design and Mixture Verification Procedures, available on the Department’s website. The mixture design shall also meet the performance test criteria listed in the table below. The testing must be performed by an AASHTO Materials Reference Laboratory (AMRL) approved laboratory that has the capability of performing these tests. When RAS is used in conjunction with RAP, the total percentage of reclaimed material shall not exceed the maximum of 20% for Top Course and Binder Course, and 30% for Base Course currently allowed under the specifications during the production of HMA.

Mixture Performance Test Requirements Tests Specification Criteria

Dynamic Modulus, AASHTO TP 79 Report Flow Number, AASHTO TP 79 200, min. Flexural Beam Fatigue, AASHTO T 321, 750μ-Strains 10,000 cycles, min. Overlay Tester, TxDOT TEX-248F 300 cycles, min.

Reclaimed PG Binder Ratio: The ratio of reclaimed PG binder from the RAP and RAS to the total PG binder content shall not exceed 0.2.

CONSTRUCTION DETAILS

The provisions of Section 401 and Section 402 apply except that the RAP/RAS stockpile shall be tested at a frequency of at least once per day of production to determine the asphalt content and the gradation of the combined reclaimed material.

D26441754

US CUSTOMARY FUEL PRICE ADJUSTMENT

EB 15-010 Page 1 of 2 L 09/01/2015 3520

FUEL PRICE ADJUSTMENT1 CONVERSION FACTORS

MATERIAL DESCRIPTION CONVERSION FACTOR ITEM NUMBER2

Unclassified Excavation 0.35 gal/yd3 203.02

Embankment 0.10 gal/yd3 203.03, 620.xx

Fill 0.45 gal/yd3 203.05, 203.06, 203.07, 203.08xx, 203.20, 203.21, 203.25

Controlled Low Strength Material 1.00 gal/yd3 204.01, 204.02, 204.03, 204.04

Trench/Culvert/Structure Excavation 0.50 gal/yd3 206.01, 206.0201

Bituminous Stabilized Course 1.40 gal/yd3 302.01, 307.01

Sub-base Course 1.00 gal/yd3 304 Items

Hot Mix Asphalt 2.50 gal/ton 402 Items3, 405.01, 608.0201023, 619.06014, 624.02xxxx3,4, 633.143,4, 633.153,4, 633.163,4

Milling 0.10 gal/yd2 490 Items

Portland Cement Concrete Pavement 1.00 gal/yd3 502 Items3, 503.1010, 503.1011, 503.1012

Fill Type Retaining Walls 0.45 gal/yd3 554.30xx5, 554.315, 554.4x5

Footing Concrete & Concrete for Structures - All classes

1.00 gal/yd3 555 Items, 582.05

Approach Slabs 0.33 gal/yd2 557.2001, 557.2002, 557.2003, 557.2009, 557.22

Structural Slabs with bottom formwork

0.25 gal/yd2 557.01xx, 557.07, 557.30

Structural Slabs - no bottom formwork

0.15 gal/yd2 557.05xx, 557.09

Class D Concrete 0.05 gal/yd2 557.13, 584 Items

Concrete Barrier, Type A 0.16 gal/ft 606.3001, 606.3021, 606.3031

Concrete Barrier, Type B 0.19 gal/ft 569.01, 606.3002, 606.3022, 606.3032

Concrete Barrier, Type C 0.22 gal/ft 606.3003, 606.3023, 606.3033

Concrete Barrier, Half Section 0.11 gal/ft 569.02, 606.3004, 606.3024, 606.3034

Concrete Median Barrier, Single Slope

0.23 gal/ft 569.05, 606.3041, 606.3043, 606.3044

Concrete Median Barrier Wide, Single Slope

0.28 gal/ft 606.3051, 606.3053, 606.3054

D264417 55

US CUSTOMARY FUEL PRICE ADJUSTMENT

EB 15-010 Page 2 of 2 L 09/01/2015 3520

FUEL PRICE ADJUSTMENT1 CONVERSION FACTORS

MATERIAL DESCRIPTION CONVERSION FACTOR ITEM NUMBER2

Concrete Barrier Half Single Slope

0.17 gal/ft 569.04, 606.3061, 606.3063, 606.3064

Vertical Faced Concrete Parapet 0.10 gal/ft 569.03

Gravel, Stone, Slag 1.00 gal/yd3 411.01, 411.02, 411.03, 623.1x

Concrete Sidewalks and Driveways 1.00 gal/yd3 608.01xx

Topsoil 0.45 gal/yd3 610.10, 610.11xx, 610.14xx

Notes: 1. In accordance with Standard Specification §698-3.02, the index value for the fuel price adjustment is

the posted price for the month of bid letting.2. Item Number - This is the contract pay item number under which these materials are most

frequently paid. Unless indicated otherwise, materials similar to those indicated under the columnentitled “Material Description” are also eligible for adjustment using the factor listed for a similarmaterial with the same pay units regardless of the actual contract pay item number.

3. Quality Adjustment Items (402/502/608/624) are not eligible for fuel price adjustment.4. Fuel Price Adjustment Conversion Factor based on units of TONS of asphalt placed, not the pay units

of this item.5. Fuel Price Adjustment Conversion Factor based on units of CY of backfill paid under this item, not

the pay units of this item.

D26441756

US CUSTOMARY ASPHALT PRICE ADJUSTMENT

EB 15-010 Page 1 of 2 L 09/01/2015 3530 Rev. 9/17/15

ASPHALT PRICE ADJUSTMENT1 CONVERSION FACTORS

MATERIAL DESCRIPTION CONVERSION FACTOR ITEM NUMBER2

Bituminous Stabilized Course 0.065 t PGB/yd3 302.01

Asphalt Treated Permeable Base, Type 1

0.030 t PGB/t 402.010902

Asphalt Treated Permeable Base, Type 2

0.035 t PGB/t 402.011902

Shim Course 0.0825 t PGB/t 402.058902

6.3 SUPERPAVE HMA 0.067 t PGB/t 402.068xxxx8 RR

9.5 SUPERPAVE HMA 0.062 t PGB/t 402.09xxxx

12.5 SUPERPAVE HMA 0.055 t PGB/t 402.12xxxx

19 SUPERPAVE HMA 0.049 t PGB/t 402.19xxxx

25 SUPERPAVE HMA 0.045 t PGB/t 402.25xxxx

37.5 SUPERPAVE HMA 0.040 t PGB/t 402.37xxxx Paved Placed Surface Treatment, Types A, B, and C

0.064 t PGB/t 415.01xxyy03

Micro-Surfacing, Quick-Set Slurry

0.078 t PGB/t 410.102102 RR, 410.103102 RR, 410.104102 RR, 410.202302 RR, 410.203302 RR

Straight Tack Coat 0.0026 t PGB/gal 407.0103

Asphaltic Sealants (ASTM 6690) 0.0027 t PGB/gal 402.75xx RR, 402.76xx RR, 402.76020018

Chip Seal 0.0027 t PGB/gal 410.0105006, 410.07

Asphalt Emulsion for Cold Recycling 0.0027 t PGB/gal 416.02xx

Fog Seal and Dilute Tack Coat 0.0016 t PGB/gal 407.0102, 416.04, 410.0106006

PG Binder for Cold Recycling 0.0043 t PGB/gal 416.03

Asphaltic Sealant – Clean & Seal 0.225 t PGB/LNMI 402.76030008, 412.76030001

Asphaltic Sealant – Treating Cracks 0.240 t PGB/LNMI 412.76040001

Asphaltic Sealant – Rout & Seal 0.270 t PGB/LNMI 402.76010008 Repair of HMA Pavement, Temporary Asphalt

See Note 4 633.14, 633.15, 633.16, 619.06xx

True and Leveling, Asphalt Sidewalks, Driveways, Bike Paths, Gutters

See Note 5 402.017902, 402.01890xxx, 608.020102, 624.02xx

D264417 57

US CUSTOMARY ASPHALT PRICE ADJUSTMENT

EB 15-010 Page 2 of 2 L 09/01/2015 3530 Rev. 9/17/15

ASPHALT PRICE ADJUSTMENT1 CONVERSION FACTORS

Notes: 1. In accordance with Standard Specification §698-3.01, the index value for the asphalt price

adjustment is the average posted price of Performance Graded Binder (PGB) for the month of bidletting.

2. Item Number - This is the contract pay item number under which these materials are mostfrequently paid. Unless indicated otherwise, materials similar to those indicated under the columnentitled “Material Description” are also eligible for adjustment using the factor listed for a similarmaterial with the same pay units regardless of the actual contract pay item number.

3. Quality Adjustment Items (402/608/624) are not eligible for asphalt price adjustment.4. Asphalt Price Adjustment Conversion Factor based on units of TONS of asphalt placed, not the pay

units of this item. The conversion factor for HMA Pavement Repair and Temporary Asphalt will bebased on the actual asphalt mixture used.

5. The conversion factor for Truing and Leveling, Driveways, and other items that allow asphalt mixoptions, will be based on the actual mixtures used.

6. A two digit suffix (RR) at the end of a contract pay item indicates a special specification.7. The conversion factors for HMA mixed with slag shall be increased by 25%.8. t = tons

D26441758

SPECIAL NOTE

RIGHT-OF-WAY

A. ALL WORK TO BE PERFORMED UNDER THIS CONTRACT WILL BE WITHIN THE PUBLIC RIGHT‐OF‐WAY (ROW) IN ACCORDANCE WITH SECTION 105‐15 OF THE STANDARD SPECIFICATIONS. THECONTRACTOR IS TO ASSURE HIMSELF THAT ALL WORK IS BEING PERFORMED WITHIN THE ROW,INCLUDING BUT NOT LIMITED TO VEHICLE ACCESS; STORAGE OF EQUIPMENT, MATERIALS,DEBRIS AND WASTE; LANDSCAPING; VEGETATION REMOVAL AND MANAGEMENT; GRADING,SEEDING AND THE INSTALLATION OF TURF; AND THE INSTALLATION OF ANY FENCES ORPROTECTIVE BARRIER.

B. IF CONTRACTOR IS UNABLE TO IDENTIFY THE LIMITS OF THE RIGHTS‐OF‐WAY WHEN THECONTRACT CALLS FOR WORK IN THOSE VICINITIES, THE CONTRACTOR MUST CONTACT THEPROJECT ENGINEER FOR DEFINITIVE BOUNDARY DETERMINATIONS BEFORE ANY WORK MAY BEINITIATED AT THOSE LOCATIONS (STANDARD SPECIFICATIONS SECTIONS 105‐10 AND 625).

C. IN ACCORDANCE WITH SECTION 105‐15 OF THE STANDARD SPECIFICATIONS, RELEASES FOR ANYNON‐ESSENTIAL CONTRACT WORK OUTSIDE OF THE EXISTING RIGHTS‐OF‐WAY, INCLUDINGPLANTINGS, LANDSCAPING OR DRIVEWAY ENHANCEMENT, WILL BE PROVIDED BY THE PROJECTENGINEER AND IN NO INSTANCE ARE TO BE SECURED BY THE CONTRACTOR. THE CONTRACTORSHALL NOT INVADE UPON PRIVATE PROPERTIES, LANDS OR BUILDINGS OUTSIDE OF THERIGHTS‐OF‐WAY FOR ANY REASON WITHOUT FIRST SECURING WRITTEN PERMISSION FROM THEPROPERTY OWNER (STANDARD SPECIFICATIONS SECTIONS 105‐15).

D. THE CONTRACTOR WILL BE HELD LIABLE FOR ANY DAMAGES DONE. ANY SUCH INJURIES ORDAMAGES SHALL BE SATISFACTORILY REPAIRED OR ITEMS REPLACED AT THE CONTRACTOR'SEXPENSE (STANDARD SPECIFICATIONS SECTION 107‐08).

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Maps

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Tables

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NOTE: This form was developed for repetitive use throughout all contract proposals and may identify items not applicable to this specific project.

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SPECIAL SPECIFICATIONS

NOTE: This form was developed for repetitive use throughout all contract proposals and may identify items not applicable to this specific project.

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ITEM 203.24010017 - SHOULDER BACKUP MATERIAL

L 01/09/14 Page 1 of 2 Rev. Nov., 2013

DESCRIPTION:

This work shall consist of furnishing, placing, grading, compacting, and trimming shoulder backup material of the type indicated adjacent to shoulders to the lines, grades, and locations indicated in the contract documents or to the lines, grades, and locations directed by the Engineer, in accordance with these specifications and details shown in the plans.

MATERIALS:

General. Except as indicated below, §304-2 shall apply. Where the term “subbase course” is used in that subsection, “shoulder backup material” shall replace it.

Material incorporated into the work need not be stockpiled. The State may test for plasticity, soundness, and gradation at its discretion, or may decide not to test for these properties. Materials incorporated into the work shall consist of uncontaminated materials, free of glass, conforming with these specifications, the contract documents, and the directions of the Engineer.

Unless indicated otherwise in the contract documents, the Contractor may choose the type or types of material to use from the list of types given below. Intermixing of the permitted types, however, will be subject to the approval of the Engineer.

Material that proves to be, or that is determined by the Engineer to be impractical to place, grade, trim or compact as shown in the contract documents or as directed by the Engineer shall not be used.

Type A (Crusher-run, crushed gravel, or crushed stone.) Shoulder backup material of this type shall consist of well graded crusher-run material from a stone quarry or gravel source, or crushed Portland cement concrete. The material shall contain no organic, deleterious, hazardous or toxic material. Gradation shall be subject to the approval of the Engineer, but no material larger than 1 inch in greatest dimension will be allowed. Materials shall not show losses greater than 20% after four cycles of the Magnesium Sulfate Soundness test.

Type B (Subbase Course, Type 2.) Shoulder backup material of this type shall meet the material requirements of Subbase Course, Type 2. The Regional Geotechnical Engineer will examine each proposed source of material for compliance with these specification requirements, and submit an evaluation of the material including any limiting conditions to the Engineer.

Type C (Subbase Course, Type 4.) Shoulder backup material of this type shall meet the material requirements of Subbase Course, Type 4 of the Standard Specifications, except the material furnished shall consist of sand and gravel or a blend of sand and gravel and stone. The Regional Geotechnical Engineer will examine each proposed source of material for compliance with these specification requirements, and submit an evaluation of the material including any limiting conditions to the Engineer.

Type D (Recycled Asphalt Concrete.) Material provided under this option shall consist of uncontaminated recycled asphalt concrete pavement produced on the contract or from other sources as approved by the Engineer. Recycled asphalt concrete pavement shall be substantially free of pieces larger than 4 inches.

Type E (Select Structural or Granular Fill.) Material provided under this option shall consist of material conforming to the soundness, gradation, and pH requirements for Select Structural Fill or Select Granular Fill, except top size shall not exceed that for Type C.

D264417100

ITEM 203.24010017 - SHOULDER BACKUP MATERIAL

L 01/09/14 Page 2 of 2 Rev. Nov., 2013

CONSTRUCTION DETAILS:

The material shall be placed on the grade in a manner to minimize segregation using equipment and procedures approved by the Engineer. Uncontrolled spreading from piles dumped on the grade resulting

in segregation will not be permitted. Maximum loose lift thickness prior to compaction shall be 6 inches. The contractor's compaction methods and equipment shall be approved by the Engineer. After compaction, the finished surface of the compacted material at the shoulder edge shall not extend above the edge of the shoulder nor be more than 0.4 inches below the shoulder. Tolerance elsewhere shall be 1½ inch, except the surface shall be graded to drain at every location.

If the final grade of the material is not in reasonable close conformity to the lines and grades indicated in the contract documents, or to those directed by the Engineer, the material shall be trimmed to achieve reasonably close conformance. Additional material shall be brought in to fill deficiencies, and excess material (trimmings) shall be removed. Trimmings may be incorporated into the shoulder backup work at other locations along the project if such opportunities exist and provided gradation of the resulting material remains in conformance with the gradation requirement for the selected option. When it is not possible to incorporate the trimmings in the shoulder backup work the trimmings shall be disposed of or used elsewhere in the contract in a manner approved by the Engineer.

METHOD OF MEASUREMENT:

Shoulder Backup Material will be measured for payment as the number of tons evidenced by delivery tickets, properly placed, graded, compacted, and trimmed along the edge of shoulder in accordance with these specifications and the directions of the Engineer.

When truck scales are not available within reasonable distance of the source of the material, as determined by the Engineer, the quantity paid for will be determined using conversion factors and the loose volume of shoulder backup material determined by measuring the dump truck bodies. The Contractor shall select the trucks to be used for delivery of the material with the approval of the Engineer. Once the trucks are selected and approved by the Engineer, no other trucks shall be used for delivery of this material. The trucks shall be uniformly loaded to the satisfaction of the Engineer.

Additional material brought in as part of the trimming operation to fill deficiencies will be measured for payment. The quantity of trimmings removed from the shoulder backup operation and not incorporated into the shoulder backup work elsewhere, however, will not be measured for payment under this pay item, and the Engineer will make an appropriate adjustment to the measured quantity.

Unless other conversion factors are indicated in the Contract Documents, the conversion factor will be 0.05tons per cubic foot, loose measure.

BASIS OF PAYMENT:

The unit price bid per ton for Shoulder Backup Material shall include the cost of all labor, materials, and equipment necessary to satisfactorily furnish, place, grade, compact, and trim Shoulder Backup Material.

D264417 101

ITEM 304.11000008 - SUBBASE COURSE (MODIFIED)

Page 1 of 1 Jan 07

Rev. February, 2017

DESCRIPTION:

All the provisions of Section 304 pertaining to Subbase Course, Type 1 shall apply. The

contractor may at their option substitute Subbase Course, Type 2. If Subbase Course, Type 2 is

substituted all the provisions of Section 304 pertaining to Subbase Course, Type 2 shall apply.

D264417102

ITEM 407.01120007 - FOG SEAL

Page 1 of 1 11/2012

DESCRIPTION This work shall consist of fog sealing at the locations indicated in the Contract documents or where directed by the Engineer

MATERIALS The asphalt emulsion shall meet the test requirements in Table 702-7 DILUTED TACK COAT. Other materials may be used with the approval of the Director of the Materials Bureau. Testing and certifying fog seal asphalt emulsion by the supplier and sampling of supplied material by Department representative shall be in accordance with the Department’s Materials Method (MM) 702-2 Asphalt Emulsion - Quality Assurance.

CONSTRUCTION DETAILS

Equipment. Shall meet the requirements detailed in §407-3.01 Equipment.

Application of Fog Seal Asphalt Emulsion. The surface shall be blown clean with compressed air just prior to application of fog seal material. This material shall be uniformly applied by a pressure distributor in a method approved by the Engineer. The fog seal asphalt emulsion shall be applied in a manner to offer the least inconvenience to traffic and to reduce pickup or tracking of the asphalt emulsion.

Fog seal shall not be applied on a wet pavement surface or when the surface temperature is below 45ºF. The temperature and areas to be treated shall be approved by the Engineer prior to application. The application rate shall be 0.05 to 0.15 gallons per square yard as approved by the Engineer. Refer to contract documents for the application area. Do not apply over existing pavement markings unless directed by the Engineer.

METHOD OF MEASUREMENT The quantity to be measured for payment will be the number of gallons of fog seal asphalt emulsion measured at 60ºF to the nearest whole gallon. The following formula will be used to calculate material quantity at 60ºF:

Volume60ºF = VolumeD x [1 - (ΔT x 0.00025)]

ΔT = Delivered Temperature (ºF) - 60 VolumeD = Quantity Delivered (gallons)

BASIS OF PAYMENT The unit price bid per gallon of fog seal shall include the cost of all labor, materials, and equipment necessary to satisfactorily complete the work.

Payment will be made under:

Item No. Item Pay Unit 407.01120007 Fog Seal Gallon

D264417 103

ITEM 604.13000011 – ABANDONING DRAINAGE STRUCTURES

Page 1 of 2 6/12/87 Rev. 8/8/95 U.S. Customary 11/15/10

DESCRIPTION

Under this item, the Contractor shall do all the work and furnish all materials necessary to abandon the drainage structures indicated on the plans.

The work shall include, but not be limited to; demolishing walls to the required depth, plugging pipes, breaking up bottom slabs, disposal of demolished material, filling openings, salvaging and delivering castings to a designated location, installing pavement, curb, sidewalk and lawn as required to replace damaged areas and areas previously occupied by the removed castings in accordance with the plans, specifications and directions of the Engineer.

MATERIALS

All materials shall be in accordance with NYSDOT Standard Specifications.

Subsections 704-01, 704-02, 705-21 and Subsection 203-2.02C of the Standard Specifications apply.

CONSTRUCTION DETAILS

The Contractor shall remove and salvage the castings from the drainage structures to be abandoned and shall deliver them to a designated location to be temporarily stored for ultimate use elsewhere on the project, disposed of off the work site, or pick up by others, as ordered by the Engineer.

The Contractor shall be responsible for carefully removing, loading, transporting and unloading the salvaged castings. Damage caused by the Contractor’s negligence in handling the salvaged castings will be at the Contractor’s expense. The ends of pipes within the drainage structure shall be totally plugged at locations indicated on the plans in a manner approved by the Engineer.

Drainage structures to be abandoned shall be demolished to a depth of at least 2 feet below the subgrade elevation and the demolished material shall be removed for disposal in accordance with the provisions of Subsection 203-3.08, “Disposal of Surplus Excavated Materials”. The bottom slab shall be broken up in such a manner as to prevent water from being trapped. The cavity within the drainage structure shall be filled solidly with select granular fill in accordance with the provisions of Subsection 203-3.12, “Compaction”.

Any pavement courses, subcourses, curbs, sidewalks and lawns removed or damaged during the work of abandoning drainage structures shall be replaced in kind; areas previously occupied by the removed castings shall be restored with pavement, sidewalk, curbs and lawns as required, similar to those adjacent to them as directed by the Engineer.

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ITEM 604.13000011 – ABANDONING DRAINAGE STRUCTURES

Page 2 of 2 6/12/87 Rev. 8/8/95 U.S. Customary 11/15/10

METHOD OF MEASUREMENT

This work shall be measured by the number of drainage structures abandoned.

BASIS OF PAYMENT

The price bid shall include the cost of all labor, materials and equipment necessary to complete the work satisfactorily.

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ITEM 609.12290008 - CONCRETE CURB - REFLECTING TRAVERSABLE TYPE X, 3 INCHES HIGH

Page 1 of 1 8/11/98Rev. USC 3/3/2014

DESCRIPTION:

This work shall consist of constructing concrete curb to the dimensions and shape as shown on the plans. The curb simulates the appearance and function of scored (faceted) reflecting curbs.

MATERIALS:

All the provisions of Section 609 of the Standard specifications shall apply except in the top 1 inch of the curb shall be a sand mix and shall be one part by weight of Portland Cement Type VI and two parts by weight Fine Aggregate for White Portland Cement. The following standard specification sections shall apply:

Section 701-01 - Portland Cement Type VI Section 703-05 - Fine Aggregate for White Portland Cement.

CONSTRUCTION DETAILS:

Reflective curbing may be made by precast, conventionally-formed, or machine formed methods. If conventionally or machined formed, a tool similar to that shown on the drawing may be used to produce the faceted contour. The contractor may demonstrate alternative methods to the Engineer for possible approval.

The contractor shall demonstrate to the Engineer the ability to achieve the required curb and faceted contour by constructing a test section a minimum of 100 feet in length.

No initial set of the lower portion of the concrete curb will be allowed before the placement of the sand mix.

METHOD OF MEASUREMENT:

The work will be measured as the number of linear feet taken along the top front arris line of the curb.

BASIS OF PAYMENT:

The unit price bid per linear foot shall include the cost of all labor, equipment, and materials necessary to complete the work. No payment will be made for the test section.

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ITEM 619.24000008 – NIGHTTIME OPERATIONS (WITH EXCEPTIONS DURING MOVING OPERATIONS)

Page 1 of 3

Revised May 2017

DESCRIPTION Under this work the Contractor shall develop a Nighttime Operations and Lighting Plan; furnish, install, operate, maintain, move and remove lighting equipment for construction operations; construct devices and adapt equipment to be compatible with lighting equipment; and furnish nighttime safety apparel and devices as shown in the contract documents and as directed by the Engineer.

MATERIALS None Specified.

CONSTRUCTION DETAILS A nighttime operations meeting shall be held prior to the start of any nighttime operations. Nighttime operations will consist of work being performed after sunset and before sunrise. The requirements of §619-3.19 Nighttime Operations shall apply. The illumination levels and distance requirements shall not apply to work associated with moving operations, provided that the following exceptions and modifications are met:

Traffic should be maintained in a single lane, and the nighttime lighting system for operations that are moving, such as milling, paving, mechanical sweeping, asphalt rolling, and crack and seat, shall be illuminated by balloon lights mounted to the equipment as the primary source of illumination.

The following equipment shall be equipped with balloon lights: all rollers, pavers, mechanical sweepers, milling machines, material transfer devices, and crack and seat equipment. There shall be a minimum of one balloon light mounted to each piece of equipment. Pavers shall be equipped with a minimum of two balloon lights. Additional balloon lights shall be required, where obstructions exist, to safely and adequately perform the work. The use of traditional light towers to illuminate moving operations in conjunction with a balloon light system used as the primary light source shall not be mixed.

A balloon light shall be defined as a commercially available light source inside a translucent material that produces a low-glare, diffuse light. Equipment mounted balloon lights shall provide illumination to a minimum of 5 foot candles measured at the work surface for a distance of 20 feet from the equipment on sides where workers generally work. Balloon lights shall be located to optimally illuminate the work area, mounted at a minimum height of 10 feet above the ground, and temporarily relocated as necessary so as to not interfere with overhead obstructions. Other types of light sources shall be used as supplemental illumination, where necessary, to safely and adequately carry out the work. The hopper, auger, and screed areas of pavers, and the operator’s controls on all machines shall be uniformly illuminated.

Illumination shall be provided to a minimum of 5 foot candles at all locations where survey and layout tasks are being performed. The illumination shall be accomplished via flood lights or balloon lights mounted to a truck, cart, or terrain vehicle, tow behind trailer lights, lights on light stands, or other suitable means. No production shall be performed without adequate illumination.

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ITEM 619.24000008 – NIGHTTIME OPERATIONS (WITH EXCEPTIONS DURING MOVING OPERATIONS)

Page 2 of 3

Revised May 2017

The Contractor shall furnish all lighting equipment required to provide a work zone safe for workers and motorists. All lights, supplemental and machine mounted, shall be aimed so as to not produce adverse glare to workers or motorists. Material and/or equipment shall be in good operating condition and in compliance with applicable safety and design codes. Lighting equipment shall be sufficiently ballasted and durable to withstand the anticipated weather conditions and vibrations from the host equipment. The Contractor shall provide suitable brackets and hardware to mount lighting fixtures and generators on machines and equipment. Mountings shall be designed so that light fixtures can be aimed and positioned as necessary to reduce glare and to provide the required illumination. Mounting brackets and fixtures shall not interfere with the equipment operator or any overhead structures or utilities, and shall provide for secure connection of the fixtures with minimal vibration.

The Contractor shall furnish adequate illumination for Department construction inspection and quality assurance. The Contractor shall furnish and maintain illumination equipment, and provide a minimum of 10 foot candles in locations where the Department’s representatives will perform tasks such as core drilling, density testing, and concrete testing.

Balloon light towers shall be used during working hours to illuminate areas where motorists are required to respond to changed conditions in the travelled way. These areas shall include near the beginning of lane closure tapers, exit ramps, road closures, and lane shifts greater than 5 feet, and shall be illuminated to a minimum of 5 foot candles.

Vehicles operating on a portion of a closed travel lane shall display rotating amber beacons at all times. Vehicles using headlights, except for rollers and vehicles retrieving work zone traffic control devices, shall travel facing the same direction as normally operating traffic in order to avoid glare and confusion to motorists.

In addition to the Nighttime Lighting Plan requirements of §619-3.19 Nighttime Operations, the Contractor shall include an internal traffic control plan to coordinate the flow of deliveries, moving equipment, workers, and vehicles at the worksite to minimize or eliminate vehicles and employees from crossing paths, and shall communicate this plan to all individuals involved. The Contractor shall designate specific illuminated areas for cleanout, designate specific areas for trucks entering and exiting the work area, and communicate that plan to the truck drivers prior to arrival on site.

In addition to all the requirements of §107-05A High Visibility Apparel, all workers on foot shall wear a personal active safety system that enhances the visibility of the worker from all directions, such as a powered hardhat light ring or a powered safety vest lighting system. The Contractor shall provide the Department with the same personal active safety systems for 20 Department individuals. Workers on foot passing through dark areas shall use a personal headlamp or flashlight producing a minimum of 5 foot candles at the ground to navigate their path.

Flagger stations shall be illuminated to a minimum of 10 foot candles and shall not be backlit, a condition which presents the flagger as a shadow due to a bright light from behind.

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ITEM 619.24000008 – NIGHTTIME OPERATIONS (WITH EXCEPTIONS DURING MOVING OPERATIONS)

Page 3 of 3

Revised May 2017

METHOD OF MEASUREMENT The work under nighttime operations (with exceptions during moving operations) will be measured for payment on a lump sum basis.

BASIS OF PAYMENT The provisions of §619-5.01 General shall apply, including the provisions for Non-Payment, Liquidated Damages, and Major Non-Conformance.

The lump sum price bid for nighttime operations shall include all labor, materials and equipment necessary to satisfactorily complete the work, including the cost to adapt equipment and provide power to light sources. Progress payments will be made based on the lump sum price bid as follows: 20 percent when the Nighttime Operations and Lighting Plan has been accepted and satisfactory lighting of nighttime operations has begun; the remaining 80 percent will be paid in progress payments per week of nighttime operations completed. The amount of such weekly payment will be determined by dividing 80 percent of the lump sum amount bid by the number of weeks of nighttime operations in the approved Nighttime Operations and Lighting Plan.

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ITEM 627.50140008 - CUTTING PAVEMENT

DESCRIPTION:

The contractor shall cut existing asphalt pavement, concrete pavement, asphalt surface course, or asphalt

concrete overlay on concrete pavement at the locations indicated and detailed on the plans and as directed

by the Engineer.

MATERIALS:

None specified.

CONSTRUCTION DETAILS:

Existing pavement and overlay shall be cut perpendicular to the roadway surface along neat lines, and to

the depth indicated on the plans and typical sections, using appropriate equipment. After the pavement

has been cut through, the Contractor may use pry bars, pneumatic tools or other methods, to pry loose the

pavement to be removed from the pavement that is to remain. A pavement breaker may be used to break

up the pavement to be removed after the pavement has been completely cut through and completely free

from the pavement to remain.

When pavement cutting is called for in the Contract documents, if a neat vertical face with minimal

shatter is obtained by performing an adjacent operation (such as milling) which eliminates the need to

perform a separate pavement cutting operation, payment will be made for both the pavement cutting item

and the item for the adjacent operation.

Any existing pavements and curbs not indicated to be removed that are damaged by the contractor's

operations, shall be repaired at no additional cost to the State. Pavement cutting that the contractor

chooses to do for his/her own convenience shall not receive any additional payment from the State.

METHOD OF MEASUREMENT:

The quantity to be measured will be the number of linear feet of pavement cutting satisfactorily

completed.

BASIS OF PAYMENT:

The unit price bid per linear foot of pavement cutting shall include the cost of all labor, materials,

and equipment necessary to satisfactorily complete the work.

Payment for prying, breaking, removal and disposal of cut pavement shall be made through other

appropriate items.

Page 1 of 1 Aug. 2013

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ITEM 633.05040008 - CLEAN AND FILL JOINTS AND CRACKS IN ASPHALT CONCRETE PAVEMENT, AND ASPHALT OVERLAY ON CONCRETE PAVEMENT

01/071 of 1

DESCRIPTION: This work shall consist of cleaning and filling joints and cracks in the existing pavement prior to the application of a new course.

MATERIALS: Materials will conform to the following subsections of the Standard Specifications:

Plant Mix Pavements 401 Bituminous Materials 702 Fine Aggregate 703-01Mineral Filler 703-08

CONSTRUCTION DETAILS: Clean all packed dirt, vegetation and extraneous materials from all unsealed and inadequately sealed joints and cracks greater than ½ inch in width to a depth equal to a minimum of twice the width of the joint or crack. With existing asphalt overlays, the material shall be removed to the full depth of the overlay if the overlay depth is less than twice the width of the crack. This includes loose pieces of asphalt between secondary cracks. All spalls and potholes shall be cleaned to sound Asphalt Concrete or Portland Cement Concrete. This work shall be done prior to shimming wheel ruts and/or T&L.

Keep joints, cracks, spalls, and potholes clean until the filling and paving operations are completed.

Complete all stress relieving pavement repairs, transverse joint repairs, and/or blowup repairs, prior to beginning this work.

Fill all cleaned joints, cracks, spalls, and potholes with asphalt concrete meeting the requirements of Item 402.058901, Shim Course F9, Hot Mix Asphalt.

METHOD OF MEASUREMENT: This work will be measured on a lump sum basis for work satisfactorily completed in a manner approved by the Engineer.

BASIS OF PAYMENT: Payment includes the cost of all labor, materials, and equipment necessary to complete the work.

D264417 111

ITEM 685.1X010004 - EPOXY PAINT WITH WET-NIGHT REFLECTIVE ELEMENTS,

20 MILS (GROOVED PAVEMENT METHOD)

Page 1 of 8 8/6/2012

Rev December, 2016

DESCRIPTION

Under this work the contractor shall install grooves at locations where long-line pavement

markings will be applied on asphalt pavements, at locations given in the contract documents and

as directed by the Engineer, in accordance with this specification. Apply epoxy pavement markings

within the grooves with a combination of wet-night reflective elements and standard glass beads

in accordance to this specification, the contract documents, the MUTCD with the NYS supplement

and as directed by the Engineer.

MATERIALS

Materials shall conform to the requirements of §727-03 White and Yellow Epoxy Reflectorized

Pavement Markings and of §727-05 Glass Beads for Pavement Markings.

Wet-Night Reflective Elements:

The Wet-Night Reflective Elements shall be composed of microcrystalline ceramic beads and

designed to be applied to epoxy pavement marking paint. The ceramic elements shall have a

minimum index of refraction of 2.30 when tested using the liquid oil immersion method. The

ceramic beads shall be either clear or yellow tinted as required. For white stripes, 3M Series 70E

ceramic beads or approved equal shall be used. For yellow stripes, 3M Series 71E ceramic beads

or approved equal shall be used.

Packaging and Shipment. Shipped and packaged in accordance with commercially accepted

standards. Clearly display the name of the product, the name and address of the manufacturer, the

quantity of material, the date of manufacture, and the date of expiration or the shelf life, on each

container or on the shipping invoice.

Basis of Approval. Approvals will be based upon independent lab analysis and field testing in

accordance to this specification and Department directives. The Contractor shall submit

independent lab analysis to Director of Materials and arrange for field testing through the General

Engineering Section of the Materials Bureau. If the product passes the requirements of this

specification, it will be added to the Department’s Approved List.

Basis of Acceptance. Epoxy Paint and Glass Beads for Pavement markings will be accepted on

the basis of the appearance of the product on the Department’s Approved List. Wet-Night

Reflective Elements will be accepted based on manufacturer’s certification that the product meets

the requirements of this specification.

D264417112

ITEM 685.1X010004 - EPOXY PAINT WITH WET-NIGHT REFLECTIVE ELEMENTS,

20 MILS (GROOVED PAVEMENT METHOD)

Page 2 of 8 8/6/2012

Rev December, 2016

Grooving Equipment:

Equipment used for grinding in grooves shall meet the following minimum requirements:

• Free-floating cutting or grinding head providing a consistent groove depth over irregular

pavement surfaces.

• Diamond saw blades, steel star cutters and/or carbide tipped star cutters.

Epoxy Paint Application Equipment

Mobile applicating equipment for the placement of epoxy reflectorized pavement markings shall

be approved by the Director (Materials Bureau) prior to the start of work.

In general, a mobile applicator shall be a truck mounted, self–contained pavement marking

machine, specifically designed to apply epoxy resin materials and reflective glass spheres in

continuous and skip–line patterns. The applicating equipment shall be maneuverable to the

extent that straight lines can be followed and normal curves can be made in true arc. In addition,

the truck mounted unit shall be provided with accessories to allow for the marking of legends,

symbols, crosswalks, and other special patterns.

At any time throughout the duration of the project, the Contractor shall provide free access to

his/hers epoxy applicating equipment for inspection by the Engineer or his authorized

representative.

The Engineer may approve the use of a portable applicator in lieu of mobile truck mounted

accessories for use in applying special markings only, provided such equipment can demonstrate

satisfactory application of reflectorized epoxy markings in accordance with these specifications.

The applicating equipment shall be capable of installing a minimum of 100,000 feet of epoxy

reflectorized pavement markings in an eight hour day and shall include the following features:

1. Individual tanks for the storage of Part A and Part B of the epoxy resin.

2. Individual tanks for the storage of Standard Glass beads for epoxy paint and Wet-Night

Reflective Elements. Each tank shall have a minimum capacity of 3000 lbs.

3. Heating equipment of sufficient capacity to maintain the individual epoxy resin

components at the manufacturer's recommended temperature for spray application.

4. Individual dispensers for the simultaneous application of Standard Glass Beads for epoxy

paint and Wet-Night Reflective Elements. Each dispenser shall be capable of applying

spheres at a minimum rate of 10 lbs/gal of epoxy resin composition.

D264417 113

ITEM 685.1X010004 - EPOXY PAINT WITH WET-NIGHT REFLECTIVE ELEMENTS,

20 MILS (GROOVED PAVEMENT METHOD)

Page 3 of 8 8/6/2012

Rev December, 2016

5. Metering devices or pressure gauges on the proportioning pumps, positioned to be readily

visible to the Engineer.

6. All necessary spray equipment, mixers, compressors, and other appurtenances for the

placement of epoxy reflectorized pavement markings in a simultaneous sequence of

operations as described in Construction Details of this specification.

Supply the Engineer with two accurate, easily readable gauges with which to verify groove depth.

The gauges shall be delivered no less than one week prior to the anticipated beginning of grooving

operations. Gauges shall be accompanied by manufacturer’s instructions for their use, if such

instructions are necessary for proper understanding of the gauge’s function.

CONSTRUCTION DETAILS

General

Before any pavement marking work is begun, contractor shall submit a schedule of operations for

the approval of the Engineer.

At least five (5) days prior to the start or work, the Contractor shall provide the Engineer with the

manufacturer's written instructions for:

Grinding pavement

Applying epoxy paint with wet-night reflective elements including but not be limited to,

material mixing ratios and application temperatures

The Contractor shall provide and retain an on site manufacturer’s representative to provide

guidance regarding the grooving equipment, construction methods, and oversight of wet-night

reflective elements application. The services of the manufacturer’s representative shall be

retained by the Contractor until the release by the Engineer.

When grinding and pavement markings operations are carried out under traffic, the Contractor

shall provide all necessary flags, markers, signs, etc. in accordance with the MUTCD to maintain

and protect traffic, and to protect marking operations and the markings until thoroughly set as per

manufacturer’s procedures.

Grooving Operation

Do not grind grooves over longitudinal pavement joints. Locate the grooves at least 4 to 5 in. away

from longitudinal pavement joints when possible.

D264417114

ITEM 685.1X010004 - EPOXY PAINT WITH WET-NIGHT REFLECTIVE ELEMENTS,

20 MILS (GROOVED PAVEMENT METHOD)

Page 4 of 8 8/6/2012

Rev December, 2016

Install wet-reflective epoxy in such a manner as to prevent damage to the surrounding pavement

or pavement joints. Repair all damaged pavement surfaces that result from improper installation,

or installation of wet-reflective epoxy in unauthorized areas. Remove and repair damaged

pavement surfaces to meet the pavement condition prior to grinding areas at no additional cost to

the State. Groove edge lines, skip lines and double center lines at the locations specified in the

contract documents. Mill, grind or cut a groove of the following dimensions, into the pavement:

Groove Width: Pavement Marking Width plus 1 inch.

5 in. width for 4 in. markings

7 in. width for 6 in. markings

Depth: 0.080 in. ± 0.020 in.

Conduct pavement cutting operations and pavement cleaning work in such a manner as to

minimize airborne dust and similar debris and prevent a hazard to workers, motor vehicle

operation, or nuisance to property.

Verify the specified groove depth at the start of the grooving operation and periodically throughout

the operation. Regrind areas where any groove depth measurement does not meet the minimum

specified depth. Grooves that exceed the specified maximum shall be repaired to the satisfaction

of the Engineer at no additional cost to the State. This may include relaying a full width section of

pavement as deemed necessary by the Engineer.

When necessary, establish marking line points at thirty (30) ft intervals throughout the length of

the pavement or as directed by the Engineer.

Wet Saw Blade Operation:

When water is used to cool the saw blades, flush the groove with high pressure water immediately

following the cut to avoid build-up and hardening of the slurry in the groove. Allow the surface

to dry, to satisfaction of the Engineer, before application of any pavement markings. If the

Engineer determines that the groove surfaces have become contaminated during the dry time, it

must be cleaned again as per this specification.

Dry Saw Blade Operation:

After grooving with dry saw blades, immediately vacuum all debris and dust from the recess.

Collect all debris resulting from the pavement cutting operation, by vacuuming the pavement cut

and adjacent pavement surface.

Disposal of Waste Material:

Remove and collect debris resulting from the grooving/grinding operation prior to opening the

roadway to traffic and prior to the application of a surface preparation adhesive. Dispose of

collected debris in accordance with §107-10 Managing Surplus Material and Waste.

D264417 115

ITEM 685.1X010004 - EPOXY PAINT WITH WET-NIGHT REFLECTIVE ELEMENTS,

20 MILS (GROOVED PAVEMENT METHOD)

Page 5 of 8 8/6/2012

Rev December, 2016

Allow the surface to dry before application of any pavement markings when using water or other

lubricants for grinding or cleaning the grooves, allow the surface to dry to the satisfaction of the

Engineer before application of any pavement markings. If the Engineer determines that the groove

surfaces become contaminated during the dry time, it must be cleaned again as per this

specification.

Epoxy Paint Application

Pavement markings shall be applied in the general direction of traffic. Applications against the

direction of traffic flow shall not be allowed.

Atmospheric Conditions

Epoxy pavement markings shall only be applied during conditions of dry weather and on

thoroughly dry pavement surfaces. At the time of installation the pavement surface temperature

shall be a minimum of 50oF and the ambient temperature shall be a minimum of 50oF and rising.

The Engineer shall be the sole determiner as to when atmospheric conditions and pavement surface

conditions are such to produce satisfactory results.

Surface Preparation

The Contractor shall clean all surfaces of the groove by air blasting to remove all loose residues.

Include power brooming or manual brooming, if necessary, to remove all loose residue from the

groove. Make sure all pavement surfaces are free of oil, dirt, dust, grease, salt, and similar foreign

materials at the time of application. The cost of cleaning these contaminants shall be included in

the bid price of this item. If water blasting is used, allow the surface to thoroughly dry to the

satisfaction of the Engineer, before application of any epoxy paint.

Application of Epoxy Reflectorized Pavement Markings

Epoxy reflectorized pavement markings shall be applied within the grooves as centered as

possible, at the width, thickness, and pattern designated in the Contract Documents.

Marking operations shall not begin until applicable surface preparation work is completed and

approved by the Engineer, and the atmospheric conditions are acceptable to the Engineer.

Pavement markings shall be applied by the following simultaneous operation:

1. The pavement surface is air-blasted to remove dirt and residues.

D264417116

ITEM 685.1X010004 - EPOXY PAINT WITH WET-NIGHT REFLECTIVE ELEMENTS,

20 MILS (GROOVED PAVEMENT METHOD)

Page 6 of 8 8/6/2012

Rev December, 2016

2. The epoxy resin, mixed and heated in accordance with the manufacturer's

recommendations, is uniformly hot-sprayed onto the pavement surface at the minimum

specified thickness. Epoxy paint shall be applied at the wet film thickness specified in the

contract documents.

3. Standard Glass Beads for epoxy paint and Wet-Night Reflective Elements are injected into

or dropped onto the liquid epoxy marking. The glass beads and wet-night reflective

elements shall be applied to the hot epoxy paint using a double drop system, in the amount

per unit length of stripe as recommended by the wet-night element manufacturer.

4. The Contractor shall be responsible for removing, to the satisfaction of the Engineer, all

tracking marks, spilled epoxy, and epoxy markings applied in unauthorized areas.

Defective Epoxy Pavement Markings

Repair defective markings, as determined by the Engineer and at no additional cost to the State, as

follows:

1. Repair Method for insufficient film thickness, line width, glass bead coverage and/or

inadequate glass bead retention:

Prepare the surface of the defective epoxy marking by grinding or blast cleaning. No other

cleaning methods will be allowed. Surface preparation shall be performed to the extent

that a substantial amount of the reflective glass spheres are removed and a roughened epoxy

marking surface remains as determined by the Engineer.

Remove loose particles and foreign debris by brooming or blasting with compressed air

just prior to reapplication of markings in accordance with this specification.

2. Repair Method for uncured or discolored epoxy and/or insufficient bond to pavement

surface or existing durable marking:

Uncured epoxy shall be defined as applied material that fails to cure (dry) in accordance

with the requirements of §727-03 Epoxy Paint or applied material that fails to cure (dry)

within a reasonable time period under actual field conditions, as defined by the Engineer.

Discoloration shall be defined as localized areas or patches of brown, grayish or black

colored epoxy marking material. These areas often occur in a cyclic pattern and often are

not visible until several days or weeks after markings are applied.

D264417 117

ITEM 685.1X010004 - EPOXY PAINT WITH WET-NIGHT REFLECTIVE ELEMENTS,

20 MILS (GROOVED PAVEMENT METHOD)

Page 7 of 8 8/6/2012

Rev December, 2016

The defective epoxy marking shall be completely removed and cleaned to the underlying

pavement surface in accordance with the requirements of Section 635 - Cleaning and

Preparation of Pavement Surfaces, at the Contractor's expense.

The extent of removal shall be the defective area plus any adjacent epoxy pavement

marking material extending one meter in any direction.

After surface preparation work is complete, repair shall be made by reapplying epoxy over

the cleaned pavement surface in accordance with the requirements of this specification.

Other defects not noted above, but determined by the Engineer to need repair, shall be repaired or

replaced as directed by and to the satisfaction of the Engineer. All work in conjunction with the

repair or replacement of defective epoxy reflectorized pavement markings shall be performed by

the Contractor at no additional cost to the State.

METHOD OF MEASUREMENT The Engineer will measure the length in feet of grooves satisfactorily installed. The Engineer will

measure grooves with a plan width greater than the standard 4 in. using the following method:

Plan Width of Striping (inches) x Feet

4 inches

Epoxy paint striping will be measured in feet along the centerline of the pavement stripe and will

be based on a 4-in wide stripe. Measurement for striping with a width greater than the basic 4

inches, as shown on the plans or directed by the Engineer will be made by the following method:

Plan Width of Striping (inches) x Feet

4 inches

BASIS OF PAYMENT

The unit bid price, shall include all labor, materials, and equipment to complete the work including

the cost of grooving, cleaning and waste disposal associated with the preparation, installation and

application of epoxy paint with standard glass beads and wet-night reflective elements.

D264417118

ITEM 685.1X010004 - EPOXY PAINT WITH WET-NIGHT REFLECTIVE ELEMENTS,

20 MILS (GROOVED PAVEMENT METHOD)

Page 8 of 8 8/6/2012

Rev December, 2016

The work will be paid under:

Item No. Item Pay Unit

685.16010004 White, Epoxy Paint With White Wet-Night Reflective

Elements - 20 mils (Grooved Pavement Method)

Foot

685.17010004 Yellow, Epoxy Paint With Yellow Wet-Night Reflective

Elements -20 mils (Grooved Pavement Method)

Foot

685.18010004 White, Epoxy Paint With White Wet-Night Reflective

Elements - 20 mils (Hand Work - Grooved Pavement Method)

Foot

685.19010004 Yellow, Epoxy Paint With Yellow Wet-Night Reflective

Elements -20 mils (Hand Work - Grooved Pavement Method)

Foot

D264417 119

ITEM 698.93940008 - INCENTIVE PAYMENTS/DISINCENTIVE ASSESSMENTS FOR WORK SUBJECT TO THE SPECIAL NOTE “INCENTIVE/DISINCENTIVE CLAUSE”

Page 1 of 1 12/19/2013

DESCRIPTION. There is no physical work to be accomplished under this item. This item will enable the Department to make incentive payments to (or disincentive assessments against) the Contractor for early substantial completion (or late completion) of work included in the special note titled AIncentive/Disincentive Clause@ based on the time or times specified in that special note.

MATERIALS. None specified.

CONSTRUCTION DETAILS. There are no construction details for this item.

METHOD OF MEASUREMENT. The method of measurement shall be lump sum. Actual payments-incentive (or deductions-disincentive) made under this item shall be as stated below.

BASIS OF PAYMENT. The amount set forth in the proposal is a fixed price for all bidders. Any bid, other than the specified amount shown in the itemized proposal, will be adjusted by the Department to the fixed price.

The actual lump sum payment-incentive will be made for each calendar day the ID work is completed prior to the Incentive Milestone date. The maximum number of days for the incentive payment and the daily cost for the incentive is shown in the Special Note Description of I/D Work. The actual lump sum deduction-disincentive will be made for each calendar day the I/D work is not completed after the Disincentive Milestone date. The disincentive daily cost is shown in the Special Note Description of the I/D work.

D264417120

4000 Page 1 of 1 Per DQAB L05/07/09

PREVAILING WAGE RATES

NOTE: This form was developed for repetitive use throughout all contract proposals and may identify items not applicable to this specific project.

D264417 121

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D264417122

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D264417124

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D264417136

STATE PREVAILING WAGE RATES

4025 Page 1 of 1 EB 06-035 L 01/06/11 9/15/11

The New York State Department of Labor (NYSDOL) has issued a project-specific prevailing wage rate schedule for this Contract. The New York State Labor Law requires the Contractor and all subcontractors to ensure that all workers employed in the performance of a public work contract are paid not less than the prevailing wage rate and supplemental (fringe) benefits in the locality where the work is performed.

The project-specific prevailing wage rate schedule, together with all updates and amendments, is incorporated by reference in this Contract, and made a part hereof, as though fully set forth herein. The schedule may be accessed by visiting the NYSDOL website, navigating to the appropriate web page for prevailing wages, and entering the Prevailing Rate Case Number (PRC#). The PRC# is found on NYSDOL Form PW-200, the following page in this Contract Proposal. The project-specific prevailing wage rate schedule and all wage rate amendments are annexed electronically through the following link:

www.labor.ny.gov

It is the obligation of the Contractor and all subcontractors to obtain all updated prevailing wage rate schedules and to pay all workers in accordance with the periodic wage rate schedule updates issued by the NYSDOL. Any changes or clarifications of labor classifications, and information on the applicability of particular prevailing wage rates, must be obtained from the Office of the Director of the Bureau of Public Work at the New York State Department of Labor.

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PREVAILING WAGE SCHEDULE FOR ARTICLE 8 PUBLIC WORK PROJECT

Attached is the current schedule(s) of the prevailing wage rates and prevailing hourlysupplements for the project referenced above. A unique Prevailing Wage Case Number(PRC#) has been assigned to the schedule(s) for your project.

The schedule is effective from July 2020 through June 2021. All updates, corrections, postedon the 1st business day of each month, and future copies of the annual determination areavailable on the Department's website www.labor.ny.gov. Updated PDF copies of yourschedule can be accessed by entering your assigned PRC# at the proper location on thewebsite.

It is the responsibility of the contracting agency or its agent to annex and make part, theattached schedule, to the specifications for this project, when it is advertised for bids and /orto forward said schedules to the successful bidder(s), immediately upon receipt, in order toinsure the proper payment of wages.

Please refer to the "General Provisions of Laws Covering Workers on Public WorkContracts" provided with this schedule, for the specific details relating to otherresponsibilities of the Department of Jurisdiction.

Upon completion or cancellation of this project, enter the required information and mail ORfax this form to the office shown at the bottom of this notice, OR fill out the electronicversion via the NYSDOL website.

NOTICE OF COMPLETION / CANCELLATION OF PROJECT

Date Completed: Date Cancelled:

Name & Title of Representative:

Phone: (518) 457-5589 Fax: (518) 485-1870 W. Averell Harriman State Office Campus, Bldg. 12, Room 130, Albany, NY 12240

www.labor.ny.gov. PW 200 Ask.PWAsk@labor.ny.gov

Andrew M. Cuomo, Governor Roberta Reardon, Commissioner

NYSDOT

NEIL SERGOTT, DQAB PS&E UNITNYSDOTPOD 2350 WOLF ROADALBANY NY 12232

Schedule Year 2020 through 2021Date Requested 11/06/2020PRC# 2020011339

Location PutnamProject ID# D264417Project Type Resurface Taconic State Parkway. Improved shoulder treatments and drainage. Restore the condition of

the roadway to good riding condition and increase the longevity of the roadway using cost

D264417138

General Provisions of Laws Covering Workers on Article 8 Public Work Contracts

Introduction

The Labor Law requires public work contractors and subcontractors to pay laborers, workers, or mechanics employed inthe performance of a public work contract not less than the prevailing rate of wage and supplements (fringe benefits) in thelocality where the work is performed.

Responsibilities of the Department of Jurisdiction

A Department of Jurisdiction (Contracting Agency) includes a state department, agency, board or commission: a county,city, town or village; a school district, board of education or board of cooperative educational services; a sewer, water, fire,improvement and other district corporation; a public benefit corporation; and a public authority awarding a public workcontract.

The Department of Jurisdiction (Contracting Agency) awarding a public work contract MUST obtain a Prevailing RateSchedule listing the hourly rates of wages and supplements due the workers to be employed on a public work project.This schedule may be obtained by completing and forwarding a "Request for wage and Supplement Information" form (PW39) to the Bureau of Public Work. The Prevailing Rate Schedule MUST be included in the specifications for the contract tobe awarded and is deemed part of the public work contract.

Upon the awarding of the contract, the law requires that the Department of Jurisdiction (Contracting Agency) furnish thefollowing information to the Bureau: the name and address of the contractor, the date the contract was let and theapproximate dollar value of the contract. To facilitate compliance with this provision of the Labor Law, a copy of theDepartment's "Notice of Contract Award" form (PW 16) is provided with the original Prevailing Rate Schedule.

The Department of Jurisdiction (Contracting Agency) is required to notify the Bureau of the completion or cancellation ofany public work project. The Department's PW 200 form is provided for that purpose.

Both the PW 16 and PW 200 forms are available for completion online.

Hours

No laborer, worker, or mechanic in the employ of a contractor or subcontractor engaged in the performance of any publicwork project shall be permitted to work more than eight hours in any day or more than five days in any week, except incases of extraordinary emergency. The contractor and the Department of Jurisdiction (Contracting Agency) may apply tothe Bureau of Public Work for a dispensation permitting workers to work additional hours or days per week on a particularpublic work project.

There are very few exceptions to this rule. Complete information regarding these exceptions is available on the "Requestfor a dispensation to work overtime" form (PW30) and "4 Day / 10 Hour Work Schedule" form (PW 30.1).

Wages and Supplements

The wages and supplements to be paid and/or provided to laborers, workers, and mechanics employed on a public workproject shall be not less than those listed in the current Prevailing Rate Schedule for the locality where the work isperformed. If a prime contractor on a public work project has not been provided with a Prevailing Rate Schedule, thecontractor must notify the Department of Jurisdiction (Contracting Agency) who in turn must request an original PrevailingRate Schedule form the Bureau of Public Work. Requests may be submitted by: mail to NYSDOL, Bureau of Public Work,State Office Bldg. Campus, Bldg. 12, Rm. 130, Albany, NY 12240; Fax to Bureau of Public Work (518) 485-1870; orelectronically at the NYSDOL website www.labor.ny.gov.

Upon receiving the original schedule, the Department of Jurisdiction (Contracting Agency) is REQUIRED to providecomplete copies to all prime contractors who in turn MUST, by law, provide copies of all applicable county schedules toeach subcontractor and obtain from each subcontractor, an affidavit certifying such schedules were received. If the originalschedule expired, the contractor may obtain a copy of the new annual determination from the NYSDOL websitewww.labor.ny.gov.

The Commissioner of Labor makes an annual determination of the prevailing rates. This determination is in effect fromJuly 1st through June 30th of the following year. The annual determination is available on the NYSDOL websitewww.labor.ny.gov.

Payrolls and Payroll Records

Every contractor and subcontractor MUST keep original payrolls or transcripts subscribed and affirmed as true underpenalty of perjury. As per Article 6 of the Labor law, contractors and subcontractors are required to establish, maintain,and preserve for not less than six (6) years, contemperaneous, true, and accurate payroll records. At a minimum, payrollsmust show the following information for each person employed on a public work project: Name, Address, Last 4 Digits ofSocial Security Number, Classification(s) in which the worker was employed, Hourly wage rate(s) paid, Supplements paid

D264417 139

or provided, and Daily and weekly number of hours worked in each classification.

The filing of payrolls to the Department of Jurisdiction is a condition of payment.Every contractor and subcontractor shallsubmit to the Department of Jurisdiction (Contracting Agency), within thirty (30) days after issuance of its first payroll andevery thirty (30) days thereafter, a transcript of the original payrolls, subscribed and affirmed as true under penalty ofperjury. The Department of Jurisdiction (Contracting Agency) shall collect, review for facial validity, and maintain suchpayrolls.

In addition, the Commissioner of Labor may require contractors to furnish, with ten (10) days of a request, payroll recordssworn to as their validity and accuracy for public work and private work. Payroll records include, but are not limited to timecards, work description sheets, proof that supplements were provided, cancelled payroll checks and payrolls. Failure toprovide the requested information within the allotted ten (10) days will result in the withholding of up to 25% of thecontract, not to exceed $100,000.00. If the contractor or subcontractor does not maintain a place of business in New YorkState and the amount of the contract exceeds $25,000.00, payroll records and certifications must be kept on the projectworksite.

The prime contractor is responsible for any underpayments of prevailing wages or supplements by any subcontractor.

All contractors or their subcontractors shall provide to their subcontractors a copy of the Prevailing Rate Schedulespecified in the public work contract as well as any subsequently issued schedules. A failure to provide these schedulesby a contractor or subcontractor is a violation of Article 8, Section 220-a of the Labor Law.

All subcontractors engaged by a public work project contractor or its subcontractor, upon receipt of the original scheduleand any subsequently issued schedules, shall provide to such contractor a verified statement attesting that thesubcontractor has received the Prevailing Rate Schedule and will pay or provide the applicable rates of wages andsupplements specified therein. (See NYS Labor Laws, Article 8 . Section 220-a).

Determination of Prevailing Wage and Supplement Rate Updates Applicable to All Counties

The wages and supplements contained in the annual determination become effective July 1st whether or not the newdetermination has been received by a given contractor. Care should be taken to review the rates for obvious errors. Anycorrections should be brought to the Department's attention immediately. It is the responsibility of the public workcontractor to use the proper rates. If there is a question on the proper classification to be used, please call the districtoffice located nearest the project. Any errors in the annual determination will be corrected and posted to the NYSDOLwebsite on the first business day of each month. Contractors are responsible for paying these updated rates as well,retroactive to July 1st.

When you review the schedule for a particular occupation, your attention should be directed to the dates above thecolumn of rates. These are the dates for which a given set of rates is effective. To the extent possible, the Departmentposts rates in its possession that cover periods of time beyond the July 1st to June 30th time frame covered by aparticular annual determination. Rates that extend beyond that instant time period are informational ONLY and may beupdated in future annual determinations that actually cover the then appropriate July 1st to June 30th time period.

Withholding of Payments

When a complaint is filed with the Commissioner of Labor alleging the failure of a contractor or subcontractor to pay orprovide the prevailing wages or supplements, or when the Commissioner of Labor believes that unpaid wages orsupplements may be due, payments on the public work contract shall be withheld from the prime contractor in a sufficientamount to satisfy the alleged unpaid wages and supplements, including interest and civil penalty, pending a finaldetermination.

When the Bureau of Public Work finds that a contractor or subcontractor on a public work project failed to pay or providethe requisite prevailing wages or supplements, the Bureau is authorized by Sections 220-b and 235.2 of the Labor Law toso notify the financial officer of the Department of Jurisdiction (Contracting Agency) that awarded the public work contract.Such officer MUST then withhold or cause to be withheld from any payment due the prime contractor on account of suchcontract the amount indicated by the Bureau as sufficient to satisfy the unpaid wages and supplements, including interestand any civil penalty that may be assessed by the Commissioner of Labor. The withholding continues until there is a finaldetermination of the underpayment by the Commissioner of Labor or by the court in the event a legal proceeding isinstituted for review of the determination of the Commissioner of Labor.

The Department of Jurisdiction (Contracting Agency) shall comply with this order of the Commissioner of Labor or of thecourt with respect to the release of the funds so withheld.

Summary of Notice Posting Requirements

The current Prevailing Rate Schedule must be posted in a prominent and accessible place on the site of the public workproject. The prevailing wage schedule must be encased in, or constructed of, materials capable of withstanding adverseweather conditions and be titled "PREVAILING RATE OF WAGES" in letters no smaller than two (2) inches by two (2)inches.

D264417140

The "Public Work Project" notice must be posted at the beginning of the performance of every public work contract, oneach job site.

Every employer providing workers. compensation insurance and disability benefits must post notices of such coverage inthe format prescribed by the Workers. Compensation Board in a conspicuous place on the jobsite.

Every employer subject to the NYS Human Rights Law must conspicuously post at its offices, places of employment, oremployment training centers, notices furnished by the State Division of Human Rights.

Employers liable for contributions under the Unemployment Insurance Law must conspicuously post on the jobsite noticesfurnished by the NYS Department of Labor.

Apprentices

Employees cannot be paid apprentice rates unless they are individually registered in a program registered with the NYSCommissioner of Labor. The allowable ratio of apprentices to journeyworkers in any craft classification can be no greaterthan the statewide building trade ratios promulgated by the Department of Labor and included with the Prevailing RateSchedule. An employee listed on a payroll as an apprentice who is not registered as above or is performing work outsidethe classification of work for which the apprentice is indentured, must be paid the prevailing journeyworker's wage rate forthe classification of work the employee is actually performing.

NYSDOL Labor Law, Article 8, Section 220-3, require that only apprentices individually registered with the NYSDepartment of Labor may be paid apprenticeship rates on a public work project. No other Federal or State Agency ofoffice registers apprentices in New York State.

Persons wishing to verify the apprentice registration of any person must do so in writing by mail, to the NYSDOL Office ofEmployability Development / Apprenticeship Training, State Office Bldg. Campus, Bldg. 12, Albany, NY 12240 or by Faxto NYSDOL Apprenticeship Training (518) 457-7154. All requests for verification must include the name and socialsecurity number of the person for whom the information is requested.

The only conclusive proof of individual apprentice registration is written verification from the NYSDOL ApprenticeshipTraining Albany Central office. Neither Federal nor State Apprenticeship Training offices outside of Albany can provideconclusive registration information.

It should be noted that the existence of a registered apprenticeship program is not conclusive proof that any person isregistered in that program. Furthermore, the existence or possession of wallet cards, identification cards, or copies ofstate forms is not conclusive proof of the registration of any person as an apprentice.

Interest and Penalties

In the event that an underpayment of wages and/or supplements is found:

- Interest shall be assessed at the rate then in effect as prescribed by the Superintendent of Banks pursuant tosection 14-a of the Banking Law, per annum from the date of underpayment to the date restitution is made.

- A Civil Penalty may also be assessed, not to exceed 25% of the total of wages, supplements, and interest due.

Debarment

Any contractor or subcontractor and/or its successor shall be ineligible to submit a bid on or be awarded any public workcontract or subcontract with any state, municipal corporation or public body for a period of five (5) years when:

- Two (2) willful determinations have been rendered against that contractor or subcontractor and/or its successorwithin any consecutive six (6) year period.

- There is any willful determination that involves the falsification of payroll records or the kickback of wages orsupplements.

Criminal Sanctions

Willful violations of the Prevailing Wage Law (Article 8 of the Labor Law) may be a felony punishable by fine orimprisonment of up to 15 years, or both.

Discrimination

No employee or applicant for employment may be discriminated against on account of age, race, creed, color, nationalorigin, sex, disability or marital status.

No contractor, subcontractor nor any person acting on its behalf, shall by reason of race, creed, color, disability, sex ornational origin discriminate against any citizen of the State of New York who is qualified and available to perform the workto which the employment relates (NYS Labor Law, Article 8, Section 220-e(a)).

D264417 141

No contractor, subcontractor, nor any person acting on its behalf, shall in any manner, discriminate against or intimidateany employee on account of race, creed, color, disability, sex, or national origin (NYS Labor Law, Article 8, Section 220-e(b) ).

The Human Rights Law also prohibits discrimination in employment because of age, marital status, or religion.

There may be deducted from the amount payable to the contractor under the contract a penalty of $50.00 for eachcalendar day during which such person was discriminated against or intimidated in violation of the provision of the contract (NYS Labor Law, Article 8, Section 220-e(c) ).

The contract may be cancelled or terminated by the State or municipality. All monies due or to become due thereundermay be forfeited for a second or any subsequent violation of the terms or conditions of the anti-discrimination sections ofthe contract (NYS Labor Law, Article 8, Section 220-e(d) ).

Every employer subject to the New York State Human Rights Law must conspicuously post at its offices, places ofemployment, or employment training centers notices furnished by the State Division of Human Rights.

Workers' Compensation

In accordance with Section 142 of the State Finance Law, the contractor shall maintain coverage during the life of thecontract for the benefit of such employees as required by the provisions of the New York State Workers' CompensationLaw.

A contractor who is awarded a public work contract must provide proof of workers' compensation coverage prior to beingallowed to begin work.

The insurance policy must be issued by a company authorized to provide workers' compensation coverage in New YorkState. Proof of coverage must be on form C-105.2 (Certificate of Workers' Compensation Insurance) and must name thisagency as a certificate holder.

If New York State coverage is added to an existing out-of-state policy, it can only be added to a policy from a companyauthorized to write workers' compensation coverage in this state. The coverage must be listed under item 3A of theinformation page.

The contractor must maintain proof that subcontractors doing work covered under this contract secured and maintained aworkers' compensation policy for all employees working in New York State.

Every employer providing worker's compensation insurance and disability benefits must post notices of such coverage inthe format prescribed by the Workers' Compensation Board in a conspicuous place on the jobsite.

Unemployment Insurance

Employers liable for contributions under the Unemployment Insurance Law must conspicuously post on the jobsite noticesfurnished by the New York State Department of Labor.

D264417142

To all State Departments, Agency Heads and Public Benefit Corporations IMPORTANT NOTICE REGARDING PUBLIC WORK ENFORCEMENT FUND

Budget Policy & Reporting Manual

B-610Public Work Enforcement Fund

effective date December 7, 2005

1. Purpose and Scope:

This Item describes the Public Work Enforcement Fund (the Fund, PWEF) and itsrelevance to State agencies and public benefit corporations engaged in construction orreconstruction contracts, maintenance and repair, and announces the recently-enactedincrease to the percentage of the dollar value of such contracts that must be deposited intothe Fund. This item also describes the roles of the following entities with respect to theFund:

- New York State Department of Labor (DOL),- The Office of the State of Comptroller (OSC), and- State agencies and public benefit corporations.

2. Background and Statutory References:

DOL uses the Fund to enforce the State's Labor Law as it relates to contracts forconstruction or reconstruction, maintenance and repair, as defined in subdivision two ofSection 220 of the Labor Law. State agencies and public benefit corporations participatingin such contracts are required to make payments to the Fund.

Chapter 511 of the Laws of 1995 (as amended by Chapter 513 of the Laws of 1997,Chapter 655 of the Laws of 1999, Chapter 376 of the Laws of 2003 and Chapter 407 of theLaws of 2005) established the Fund.

3. Procedures and Agency Responsibilities:

The Fund is supported by transfers and deposits based on the value of contracts forconstruction and reconstruction, maintenance and repair, as defined in subdivision two ofSection 220 of the Labor Law, into which all State agencies and public benefit corporationsenter.

Chapter 407 of the Laws of 2005 increased the amount required to be provided to this fundto .10 of one-percent of the total cost of each such contract, to be calculated at the timeagencies or public benefit corporations enter into a new contract or if a contract is amended.The provisions of this bill became effective August 2, 2005.

D264417 143

To all State Departments, Agency Heads and Public Benefit Corporations IMPORTANT NOTICE REGARDING PUBLIC WORK ENFORCEMENT FUND

OSC will report to DOL on all construction-related ("D") contracts approved during themonth, including contract amendments, and then DOL will bill agencies the appropriateassessment monthly. An agency may then make a determination if any of the billedcontracts are exempt and so note on the bill submitted back to DOL. For any instancewhere an agency is unsure if a contract is or is not exempt, they can call the Bureau ofPublic Work at the number noted below for a determination. Payment by check or journalvoucher is due to DOL within thirty days from the date of the billing. DOL will verify theamounts and forward them to OSC for processing.

For those contracts which are not approved or administered by the Comptroller, monthlyreports and payments for deposit into the Public Work Enforcement Fund must be providedto the Administrative Finance Bureau at the DOL within 30 days of the end of each monthor on a payment schedule mutually agreed upon with DOL.

Reports should contain the following information:

- Name and billing address of State agency or publicbenefit corporation;

- State agency or public benefit corporation contact andphone number;

- Name and address of contractor receiving the award;- Contract number and effective dates;- Contract amount and PWEF assessment charge (if

contract amount has been amended, reflect increase ordecrease to original contract and the adjustment in thePWEF charge); and

- Brief description of the work to be performed under eachcontract.

Checks and Journal Vouchers, payable to the "New York State Department of Labor"should be sent to:

Department of LaborAdministrative Finance Bureau-PWEF Unit

Building 12, Room 464State Office CampusAlbany, NY 12240

Any questions regarding billing should be directed to NYSDOL's Administrative FinanceBureau-PWEF Unit at (518) 457-3624 and any questions regarding Public Work Contractsshould be directed to the Bureau of Public Work at (518) 457-5589.

D264417144

Introduction to the Prevailing Rate Schedule

Information About Prevailing Rate Schedule

This information is provided to assist you in the interpretation of particular requirements for each classification of worker contained in theattached Schedule of Prevailing Rates.

Classification

It is the duty of the Commissioner of Labor to make the proper classification of workers taking into account whether the work is heavy andhighway, building, sewer and water, tunnel work, or residential, and to make a determination of wages and supplements to be paid orprovided. It is the responsibility of the public work contractor to use the proper rate. If there is a question on the proper classification to beused, please call the district office located nearest the project. District office locations and phone numbers are listed below.

Prevailing Wage Schedules are issued separately for "General Construction Projects" and "Residential Construction Projects" on a county-by-county basis.

General Construction Rates apply to projects such as: Buildings, Heavy & Highway, and Tunnel and Water & Sewer rates.

Residential Construction Rates generally apply to construction, reconstruction, repair, alteration, or demolition of one family, two family, rowhousing, or rental type units intended for residential use.

Some rates listed in the Residential Construction Rate Schedule have a very limited applicability listed along with the rate. Rates foroccupations or locations not shown on the residential schedule must be obtained from the General Construction Rate Schedule. Pleasecontact the local Bureau of Public Work office before using Residential Rate Schedules, to ensure that the project meets the required criteria.

Payrolls and Payroll Records

Contractors and subcontractors are required to establish, maintain, and preserve for not less that six (6) years, contemporaneous, true, andaccurate payroll records.

Every contractor and subcontractor shall submit to the Department of Jurisdiction (Contracting Agency), within thirty (30) days after issuanceof its first payroll and every thirty (30) days thereafter, a transcript of the original payrolls, subscribed and affirmed as true under penalty ofperjury.

Paid Holidays

Paid Holidays are days for which an eligible employee receives a regular day's pay, but is not required to perform work. If an employeeworks on a day listed as a paid holiday, this remuneration is in addition to payment of the required prevailing rate for the work actuallyperformed.

Overtime

At a minimum, all work performed on a public work project in excess of eight hours in any one day or more than five days in any workweek isovertime. However, the specific overtime requirements for each trade or occupation on a public work project may differ. Specific overtimerequirements for each trade or occupation are contained in the prevailing rate schedules.

Overtime holiday pay is the premium pay that is required for work performed on specified holidays. It is only required where the employeeactually performs work on such holidays.

The applicable holidays are listed under HOLIDAYS: OVERTIME. The required rate of pay for these covered holidays can be found in theOVERTIME PAY section listings for each classification.

Supplemental Benefits

Particular attention should be given to the supplemental benefit requirements. Although in most cases the payment or provision ofsupplements is straight time for all hours worked, some classifications require the payment or provision of supplements, or a portion of thesupplements, to be paid or provided at a premium rate for premium hours worked. Supplements may also be required to be paid or providedon paid holidays, regardless of whether the day is worked. The Overtime Codes and Notes listed on the particular wage classification willindicate these conditions as required.

Effective Dates

When you review the schedule for a particular occupation, your attention should be directed to the dates above the column of rates. Theseare the dates for which a given set of rates is effective. The rate listed is valid until the next effective rate change or until the new annualdetermination which takes effect on July 1 of each year. All contractors and subcontractors are required to pay the current prevailing ratesof wages and supplements. If you have any questions please contact the Bureau of Public Work or visit the New York State Department ofLabor website (www.labor.ny.gov) for current wage rate information.

Apprentice Training Ratios

The following are the allowable ratios of registered Apprentices to Journey-workers.

For example, the ratio 1:1,1:3 indicates the allowable initial ratio is one Apprentice to one Journeyworker. The Journeyworker must be inplace on the project before an Apprentice is allowed. Then three additional Journeyworkers are needed before a second Apprentice isallowed. The last ratio repeats indefinitely. Therefore, three more Journeyworkers must be present before a third Apprentice can be hired,and so on.

Please call Apprentice Training Central Office at (518) 457-6820 if you have any questions.

Page 18

Prevailing Wage Rates for 07/01/2020 - 06/30/2021 Published by the New York State Department of LaborLast Published on Nov 01 2020 PRC Number 2020011339

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Title (Trade) Ratio

Boilermaker (Construction) 1:1,1:4

Boilermaker (Shop) 1:1,1:3

Carpenter (Bldg.,H&H, Pile Driver/Dockbuilder) 1:1,1:4

Carpenter (Residential) 1:1,1:3

Electrical (Outside) Lineman 1:1,1:2

Electrician (Inside) 1:1,1:3

Elevator/Escalator Construction & Modernizer 1:1,1:2

Glazier 1:1,1:3

Insulation & Asbestos Worker 1:1,1:3

Iron Worker 1:1,1:4

Laborer 1:1,1:3

Mason 1:1,1:4

Millwright 1:1,1:4

Op Engineer 1:1,1:5

Painter 1:1,1:3

Plumber & Steamfitter 1:1,1:3

Roofer 1:1,1:2

Sheet Metal Worker 1:1,1:3

Sprinkler Fitter 1:1,1:2

If you have any questions concerning the attached schedule or would like additional information, please contact the nearest BUREAU ofPUBLIC WORK District Office or write to:

New York State Department of LaborBureau of Public WorkState Office Campus, Bldg. 12Albany, NY 12240

District Office Locations: Telephone # FAX #

Bureau of Public Work - Albany 518-457-2744 518-485-0240

Bureau of Public Work - Binghamton 607-721-8005 607-721-8004

Bureau of Public Work - Buffalo 716-847-7159 716-847-7650

Bureau of Public Work - Garden City 516-228-3915 516-794-3518

Bureau of Public Work - Newburgh 845-568-5287 845-568-5332

Bureau of Public Work - New York City 212-932-2419 212-775-3579

Bureau of Public Work - Patchogue 631-687-4882 631-687-4902

Bureau of Public Work - Rochester 585-258-4505 585-258-4708

Bureau of Public Work - Syracuse 315-428-4056 315-428-4671

Bureau of Public Work - Utica 315-793-2314 315-793-2514

Bureau of Public Work - White Plains 914-997-9507 914-997-9523

Bureau of Public Work - Central Office 518-457-5589 518-485-1870

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Prevailing Wage Rates for 07/01/2020 - 06/30/2021 Published by the New York State Department of LaborLast Published on Nov 01 2020 PRC Number 2020011339

D264417146