NY State Transportation Project: DB Agreement - Contract Obligations & Provisions, Study Guides, Projects, Research of Innovation

Download NY State Transportation Project: DB Agreement - Contract Obligations & Provisions and more Study Guides, Projects, Research Innovation in PDF only on Docsity! HUNTS POINT INTERSTATE ACCESS IMPROVEMENT PROJECT – CONTRACT 1 PIN X731.63, Contract D900047 DESIGN-BUILD CONTRACT DOCUMENTS PART 1 DB AGREEMENT Draft November 16, 2018 This page is intentionally left blank. New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 1 Draft November 16, 2018 DESIGN-BUILD (DB) AGREEMENT Contract: D900047, PINX731.63 County(s): Bronx THIS DB AGREEMENT, made by and between THE PEOPLE OF THE STATE OF NEW YORK, hereinafter referred to as the “State,” acting by and through the New York State Department of Transportation, pursuant to the New York State Highway Law, and _________________________________________________________________________________,  A corporation organized and existing under the laws of the State of _______________, or  A partnership, consisting of _______________________________________________, or  A Limited Liability Company (LLC), organized and existing under the laws of the State of ____________________________, or  A joint venture, consisting of ______________________________________________, or  An individual conducting business as _________________________________________, the location of whose principal office is ______________________________________________, WITNESSETH: That the State and the Design-Builder (hereinafter referred-to as the “Design-Builder” in the contract documents), for the consideration hereinafter named agree as follows: ARTICLE 1. COMPENSATION Article 1.1. Contract Price As full compensation for the Work, the Department will pay the Design-Builder a lump sum of $________.__, which shall equal the total lump sum proposal price for the Project, as agreed to by the Department, less the unused portion of the lump sum price for the Design-Build – Force Account Work (Item 800.04000015). See also DB Section 109-9. The Contract Price may be subject to adjustment from time to time by Orders on Contract. See DB Section 101-3 for definitions of Contract, Contract Price, and Work. Article 1.2. Executory Clause In accordance with Section 41 of the New York State Finance Law, this Contract shall be deemed executory only to the extent of money available to the State for the performance of the terms hereof and no liability on account thereof shall be incurred by the State beyond moneys available for the purpose thereof. ARTICLE 2. CONTRACT TIME Article 2.1. Notice To Proceed The Design-Builder agrees that it will begin the Work herein embraced upon receipt of the Notice To Proceed (NTP), unless the consent of the State, in writing, is given to begin at a later date, and that it will prosecute the same so that the Interim Completion Milestone Date(s) shown Article 2.2, if applicable, New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 2 Draft November 16, 2018 shall be achieved, and that the Project shall be fully completed on or before the Project Completion Date set forth in Article 2.3. See DB Section 100 General Provisions, section 101-3 for the definition of Project Completion. Article 2.2 Interim Completion Milestone Date(s) The Project’s Interim Completion Milestone Date shall be based on the Design-Builder’s proposal, more specifically the number of calendar days past the Notice to Proceed (NTP) date issued by the Department. The number of calendar days past the NTP is found on the Schedule of Contract Durations form SCD as part of the Design-Builder’s proposal. No extension beyond the Interim Completion Milestone Date(s) fixed by the terms of this Contract shall be effective unless in writing signed by the State in accordance with the terms of State Finance Law 112. Any extension shall be for such time and terms and conditions as shall be fixed by the State, which may include the assessment of liquidated damages and a charge for engineering charges associated with Quality Assurance of design and construction activities or other expenses. Notice of application for such extension shall be filed with the Department’s Project Manager at least 15 days prior to the Interim Completion Milestone Date(s) fixed by the terms of this Contract. Article 2.3 Project Completion Date The Project’s Completion Date shall be based on the Design-Builder’s proposal, more specifically the number of calendar days past the Notice to Proceed (NTP) date issued by the Department. The number of calendar days past the NTP is found on the Schedule of Contract Durations form SCD as part of the Design-Builder’s proposal. See DB Section 101 for the definition of “Project Completion”. No extension beyond the Project Completion Date fixed by the terms of this Contract shall be effective unless in writing signed by the State. Any extension shall be for such time and terms and conditions as shall be fixed by the State, which may include the assessment of liquidated damages and a charge for engineering, inspection, or other expenses. Notice of application for such extension shall be filed with the Department’s Project Manager at least 15 days prior to the Project Completion Date fixed by the terms of this Contract. Article 2.4 Final Acceptance When in the opinion of the Department’s Project Manager the Design-Builder has fully performed the Work under this Contract, the Department’s Project Manager shall recommend to the Regional Director and the Commissioner of Transportation the Final Acceptance of the Work so completed. If the Commissioner accepts the recommendation of the Department’s Project Manager, he/she shall thereupon by letter notify the Design-Builder of such Final Acceptance, and copies of such Final Acceptance shall be sent to other interested parties. Final Acceptance shall be final and conclusive except for: defects not readily ascertainable by the State; actual or constructive fraud; gross mistakes amounting to fraud; other errors which the Design-Builder knew or should have known about; or the State’s rights under any Warranty or guarantee. Final Acceptance may be revoked by the State at any time prior to the issuance of the final check by the New York State Office of the Comptroller upon the State's discovery of such defects, mistakes, fraud, or errors in the Work. ARTICLE 3. WORK TO BE DONE The Design-Builder shall furnish all the Materials, appliances, tools, and labor of every kind required, and construct and complete in the most substantial and skillful manner, the design, construction, improvement, or reconstruction of the Project on or before the dates defined above in Article 2 and as New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 3 Draft November 16, 2018 specifically identified and shown in the Scope of Work to this Agreement and elsewhere in the Contract Documents. ARTICLE 4. LICENSING Any professional services regulated by Articles 145, 147, and 148 of the New York State Education Law to be performed under this Contract shall be performed by a professional licensed in accordance with such articles. ARTICLE 5. DOCUMENTS FORMING THE CONTRACT The Contract shall include and incorporate the executed DB Agreement (which includes Appendix A Standard Clauses for New York State Contracts, Appendix B Federal Requirements, and Appendix C State Prevailing Wage Rates; DB Section 100 General Provisions (Part 2 of RFP); the Project Requirements (Part 3 of RFP); the Utility Requirements (Part 4 of RFP); the Special Provisions (Part 5 of RFP); the Directive Plans included in the RFP Plans (Part 6 of RFP); the Engineering Data (Part 7 of RFP); the Special Specifications (Part 8 of RFP); and the Design-Builder’s Proposal, including all addenda or appendices thereto (Part 9 of RFP); RFP Addenda (Part 10 of RFP); the Standard Specifications of the New York State Department of Transportation, Sections 200 through 700, in effect as of the Proposal Due Date, except to the extent that they are modified by the Special Provisions (Part 5 of RFP); RFP Instructions to Proposers; any RFP Addenda; any supplemental agreements, amendments, Orders on Contract, Contract modifications, including those made after execution of the Contract; and all provisions required by law to be inserted in the Contract, whether actually inserted or not. The components of the Contract Documents are intended to be complementary and to describe and provide for a complete Project. The following components of the Contract Documents complement one another in the following declining order of precedence: A) Appendix A, Standard Clauses for New York State Contracts; B) Appendix B Federal Requirements (including Attachment 1, FHWA Form 1273; Attachment 2, Federal Prevailing Wage Rate; Attachment 3, Goals for Equal Employment Opportunity (EEO) Participation; Attachment 4, Goals for Disadvantaged/Minority/Women’s Business Enterprise (D/M/WBE) Participation; and Attachment 5, Supplemental Title VI Provisions (Civil Rights Act)); and Attachment 6, Cargo Preference Act Requirements. C) Appendix C State Prevailing Wage Rates; D) Appendix D Ensuring Pay Equity by State Contractors; E) DB Agreement (other than Appendix A, B, and C); F) Parts 3 through 8 of RFP and Part 10 of RFP; G) DB Section 100 General Provisions (Part 2 of RFP); H) The Standard Specifications of the New York State Department of Transportation, current on the Proposal Due Date, Sections 200 through 700; I) The RFP Instructions to Proposers; any other RFP Addenda; and J) Design-Builder’s Proposal, including all addenda or appendices thereto (Part 9) (except as provided below). However, where the Design-Builder’s Proposal presents Work or products of a higher quality than that shown elsewhere in the Contract Documents, and the Department has accepted the proposed change to the Work and products to that of a higher quality, the Design-Builder’s Proposal will take precedence for that specific higher quality Work and products, as applicable. Additionally, subject to Part 2, DB Section 100 General Provisions, DB Section 104-4.6, where the Design-Builder’s Proposal includes an approved Alternative Technical Concept, the Design-Builder’s Proposal (including the approved Alternative Technical Concept) will take precedence for that specific Work that is the subject of the approved Alternative Technical Concept. New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 6 Draft November 16, 2018 Name: ___________________________ Address: _________________________ Telephone number: _________________ Email address: _______________________ Article 16.2. Design-Builder’s Project Organization The following information is the contact information for the Design-Builder’s Project Manager. The Design-Builder’s Project Manager will serve as the main point of contact for the State. All notices should be sent to the Design-Builder’s Project Manager at the following address: Name: ____________________________ Address: __________________________ Telephone number: __________________ Email address: ________________________ ARTICLE 17. INSURANCE PROGRAM The Design-Builder shall procure, at its own sole cost and expense, and shall maintain in force at all times during the term of this contract including any extensions or renewals until Final Acceptance of the Contract, the policies of insurance, set forth below covering all operations under the Contract, whether performed by it or its subcontractors. The insurance policies must be written by companies authorized by the New York State Insurance Department to issue insurance in the State of New York and that have an A.M. Best Company rating of (A -) or better or approved by the Department. The Department may, at its sole discretion, permit the placement of policies with a non-authorized carrier or carriers upon request by the Design-Builder accompanied by the documentation required by 11 NYCRR §27.0 et seq.; provided that nothing herein shall be construed to require the Department to accept insurance placed with a non- authorized carrier under any circumstances. The Design-Builder shall deliver to the Department evidence of such policies as the Department deems necessary to verify that the required insurance is in effect. A. Conditions Applicable to Insurance. All policies of insurance required by this agreement must meet the following requirements: 1. Coverage Types and Policy Limits. The types of coverage and policy limits required from the Design-Builder are specified in Paragraph B Insurance Requirements below. General liability insurance shall apply separately on a per-job or per-project basis. 2. Policy Forms. Except as may be otherwise specifically provided herein or agreed in writing by the Department, policies must be written on an occurrence basis. In the event that occurrence-based coverage is not commercially available, claims-made policy forms will be considered provided that, at minimum, it includes provisions that allow for (a) reporting circumstances or incidents that may give rise to future claims and (b) an extended reporting period of not less than three (3) years with respect to events that occurred but were not reported during the term of the policy. 3. Certificates of Insurance/Notices. Design-Builder shall provide a Certificate or Certificates of Insurance, in a form satisfactory to the Commissioner, before commencing any work under this contract. Certificates or transmittal correspondence shall reference the NYSDOT Contract Number for this Project. Certificates shall be e-mailed to insur.constr.contr@dot.ny.gov or mailed to the: New York State Department of Transportation Contract Management Bureau 50 Wolf Road, First Floor, Suite 1CM Albany, NY 12232 New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 7 Draft November 16, 2018 Unless otherwise agreed, policies shall be written so as to require that the policy will not be (i) canceled, (ii) materially changed or (iii) permitted to expire or lapse for any reason except upon thirty (30) days’ prior written notice to the Department by Certified Mail, Return Receipt Requested at the address stated above. If requested by the Department, the Design-Builder shall deliver to the Department within forty-five (45) days a copy of any or all policies of insurance not previously provided, certified by the insurance carrier as true and complete. Certificates of Insurance shall: a. Be in the form (ACORD 25 and ACORD 855 NY) unless the Department specifically approves a different form. b. Be signed by an authorized representative of the insurance carrier or producer and be acknowledged before a notary public. c. Disclose any deductible, self-insured retention, aggregate limit or any exclusion to the policy that materially changes the coverage required by the contract. d. Specify the Additional Insureds and Named Insureds as required herein. e. Refer to this Contract by the number on the face of the certificate, and f. Expressly reference the inclusion of all required endorsements. If at any time during the term of this contract, it shall come to the attention of the Department that required insurance is not in effect or that adequate proof of insurance has not been provided, the Department may, at its option: a. Direct the Design-Builder to suspend work and not re-enter the premises, with no additional payment or extension of time due on account thereof, or b. May withhold further contract payments in accordance with Article 10 No Periodic Payment Due to Design-Builder’s Non-Compliance of the contract agreement, or c. Treat such failure as a breach or default of the contract. 4. Additional Insured. Unless otherwise stated, all insurance policies required by these specifications, except workers’ compensation and professional liability shall be endorsed to provide coverage to the People of the State of New York, the State of New York, the Commissioner of Transportation, all employees of the Department of Transportation both officially and personally, any municipality in which the work is being performed, any public benefit corporation, railroad, public utility whose property or facilities are affected by the work, any consultant inspecting engineer or inspector working for or on the contract, and their agents or employees with respect to any claim arising from the Design-Builder’s Work under this contract or as a result of the Design-Builder’s activities. The endorsement shall be effected by endorsement of the applicable policy using ISO form CG 20 10 11 85, CG 20 37 07 04, CG 20 33 07 98 when used in combination with CG 20 37 07 04, or CG 20 33 10 01 or a form(s) that provides equivalent coverage. 5. Primary Coverage. All insurance policies, excepting workers’ compensation, shall provide that the required coverage shall be primary as to any other insurance that may be available to the Department for any claim arising from the Design-Builder’s Work under this contract, or as a result of the Design-Builder’s activities. 6. Waiver of Subrogation. As to every type and form of insurance coverage required from the Design-Builder, there shall be no right of subrogation against the State of New York, the New York State Department of Transportation, its agents or employees. To the extent that any of Design-Builder’s policies of insurance prohibit such a waiver of subrogation, Design- Builder shall secure the necessary permission to make this waiver. New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 8 Draft November 16, 2018 7. Policy Renewal/Expiration. At least thirty (30) calendar days prior to the expiration of any policy required by this contract, evidence of renewal or replacement policies of insurance with terms no less favorable to the Department than the expiring policies shall be delivered to the Department in the manner required for service of notice in Paragraph A.3. Certificates of Insurance/Notices above. 8. Self-Insured Retention/Deductibles. Design-Builders utilizing self-insurance programs are required to provide a description of the program for Department approval. Collateralized deductible and self-insured retention programs administered by a third party may be approved. Design-Builder or third-party-administered insurance deductible shall be limited to the amount of the bid deposit or $100,000.00, whichever is less. Security is not required if it is otherwise provided to an administrator for an approved risk management program. The Department will not accept a self-insured retention program without security being posted to assure payment of both the self-insured retention limit and the cost of adjusting claims. The Design-Builder shall be solely responsible for all claim expense and loss payments within any permitted deductible or self-insured retention. If the Design-Builder’s deductible in a self-administered program exceeds the amount of the bid deposit, the Design-Builder shall furnish an irrevocable Letter of Credit as collateral to guarantee its obligations. Such Letter of Credit or other collateral as may be approved by Department must be issued by a guarantor or surety with an AM Best Company rating of (A -) or better. If, at any time during the term of this agreement, the Department, in its sole discretion, determines that the Design-Builder is not paying its deductible, it may require the Design-Builder to collateralize all or any part of the deductible or self-insured retention on any or all policies of insurance or, upon failure to promptly do so, the same may be withheld from payments due the Design-Builder. 9. Waiver of Indemnities. The Design-Builder waives any right of action it and/or its insurance carrier might have against the Department (including its employees, officers, commissioners or agents) for any loss that is covered by a policy of insurance that is required by this contract, where that right of action is based upon an indemnification from the Department or any third party. The Design- Builder waives any right of action it and/or its insurance carrier might have against the Department (including its employees, officers, commissioners or agents) for any loss, whether or not such loss is insured, where that right of action is based upon an indemnification from the Department or any third party. 10. Subcontractor’s Liability Insurance. In the event that any portion of the work described in this contract is performed by a subcontractor, the insurance requirements of this Article shall be incorporated into the subcontract agreement. Subcontractor insurance requirements shall include the requirements for Workers’ Compensation, Commercial General Liability, and, if applicable, Commercial Auto and/or Professional Liability. Excess or umbrella insurance is not required for subcontractors. Design-Builder shall require that Certificates of Insurance, meeting the requirements of the Department are provided to the Department documenting the insurance coverage for each and every subcontractor employed by them to do work under this contract. B. Insurance Requirements. The types of insurance and minimum policy limits shall be as follows: 1. Workers’ Compensation and Disability Insurance. As required by State Finance Law §142, the Design-Builder shall maintain in force workers’ compensation insurance upon forms required by or acceptable to the Workers Compensation Board for all of Design-Builder’s employees. Design-Builder shall also maintain disability insurance as required by the Disability Benefits Law of the State of New York. 2. Commercial General Liability Insurance. The Design-Builder shall maintain an occurrence form commercial general liability policy or policies insuring against liability arising New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 11 Draft November 16, 2018 policies shall follow the same form as the primary policy. Any insurance maintained by the Department or any additional insured shall be considered excess of and shall not contribute with any other insurance procured and maintained by the Design-Builder including the marine policy, regardless of the “other insurance” clause contained in either parties’ policy. To the extent marine operations are to be conducted by a Subcontractor and not the Design-Builder directly, the Design-Builder may cause the Subcontractor to provide and maintain the requisite Marine Protective and Indemnity coverage. 9. Pollution Legal Liability. The Design-Builder shall procure, or otherwise obtain and maintain in full force and effect throughout the term of the contract, and for two years after completion hereof, pollution legal liability insurance with limits of not less than $1,000,000 providing coverage for bodily injury and property damage, including loss of use of damaged property or of property that has not been physically injured. Such policy shall provide coverage for actual, alleged or threatened emission, discharge, dispersal, seepage, release or escape of pollutants or in the investigation, settlement or defense of any claim, suit, or proceedings against the Department arising from the Design-Builder’s work. Such policy shall contain an extended reporting period of three years following Final Acceptance. 10. Umbrella or Excess Liability Insurance. The Design-Builder shall maintain an occurrence form umbrella liability policy or policies insuring against liability arising from premises (including loss of use thereof), operations, independent Design-Builders, products completed operations, personal injury, advertising injury, liability insured under an insured contract (including the tort liability of another assumed in a business contract) occurring on or in any way related to the premises or occasioned by reason of the operations of Design-Builder, or arising from automobile liability as described above. Such coverage shall be written on an ISO occurrence form CU 00 01 12 07 or a policy form providing equivalent coverage. In the event that umbrella coverage is unavailable, equivalent excess coverage may be substituted. The minimum required limits for the umbrella/excess coverage shall be sufficient to provide, when combined with the Commercial General Liability Insurance, a total of not less than the provisions called for in DB 107-27.3 and required under Table 107-1. 11. Other Insurance. The Design-Builder shall be responsible for obtaining any insurance it deems necessary to cover its own risks, including without limitation: (a) business interruption, such as gross earnings, extra expense, or similar coverage, (b) personal property, and/or (c) automobile physical damage and/or theft. In no event shall the Department be liable for any damage to, or loss of, personal property, or damage to, or loss of, an automobile that is covered by a policy of insurance that is required by this agreement, even if such loss is caused by the negligence of the Department. ARTICLE 18. INDEMNIFICATION The Design-Builder shall be responsible for all damage to life and property due to negligent or otherwise tortious acts, errors or omissions of the Design-Builder in connection with its services under the Contract Documents. To the fullest extent permitted by law: (a) the Design-Builder shall indemnify, hold harmless, and release the Department and/or the State of New York, any municipality in which the Work is being performed; and/or any public benefit corporation, railroad or public utility whose property or facilities are affected by the Work from suits, claims, actions, damages, and costs of every name and description resulting from the Work under this Contract and until the Final Acceptance thereof; (b) with respect to personal injury or property damage occurring after Final Acceptance and not covered by the indemnity in clause Article 18(a), the Design-Builder shall indemnify, hold harmless, and release the Department and/or the State of New York, any municipality in which the Work is being performed; and/or any public benefit corporation, railroad or public utility from suits, claims, actions, damages, and New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 12 Draft November 16, 2018 costs of every name and description resulting from negligent or otherwise tortious acts, errors or omissions of the Design-Builder in connection with its services under the Contract Documents; and (c) the Design-Builder shall indemnify, hold harmless, and release the Department’s Inspector from suits, claims, actions, damages, and costs involving personal injury and property damage resulting from the Design-Builder’s Work under the Contract during its prosecution and until the Final Acceptance thereof. The Department may retain such monies from the amount due the Design-Builder as may be necessary to satisfy any claim for damages recovered against the Department. any municipality in which the Work is being performed, any public benefit corporation, railroad, or public utility whose property or facilities are affected by the Work, or the Department’s Inspectors. The Design-Builder’s obligation under this paragraph shall not be deemed waived by the failure of the Department to retain the whole or any part of such monies due the Design-Builder, or where such suit, action, damages, and/or costs have not been resolved or determined prior to release of any monies to the Design-Builder under the Contract. Such obligation shall not be deemed limited or discharged by the enumeration or procurement of any insurance for liability for damages imposed by law upon the Design-Builder, Subcontractors, the Department, the State, any municipality in which the Work is being performed, any public benefit corporation, railroad, or public utility whose property or facilities are affected by the Work, or any Department consultants or contractors working relative to the Project. The Design-Builder has the obligation, at its own expense, for the defense of any action or proceeding which may be brought against the parties specified in this Article. This obligation shall include the cost of attorney fees, disbursements, costs, and other expenses incurred in connection with such action or proceeding. The provisions of this Article shall survive the expiration or termination of the Contract. Without limiting the generality of the foregoing, Design-Builder’s obligation to indemnify, save harmless and release the Persons identified in this Article 18 specifically includes any suits, claims, actions, damages, and costs of every name and description resulting from any spill or release or threatened spill or release of a Hazardous Material (i) attributable to the negligence, willful misconduct or breach of contract by Design-Builder, its Subcontractors or agents, or (ii) which was brought onto the Site by Design- Builder or any of its Subcontractors or agents. Notwithstanding the foregoing, the Department reserves the right to join such action, at its sole expense, when it determines there is an issue involving a significant public interest. Such obligation does not extend to those suits, actions, damages, and costs of every name which arise out of the sole negligence of the Department, the State of New York, any municipality in which the Work is being performed, any public benefit corporation, railroad, or public utility whose property or facilities are affected by the Work of the Project, or any Department consultants or contractors working relative to the Project, their agents, or their employees. ARTICLE 19. LIQUIDATED DAMAGES Time is an essential element of the Contract, and it is important that the Work be pursued vigorously to completion. The public is subject to detriment and inconvenience when full use of infrastructure cannot be made because of an incomplete Project. The Design-Builder agrees to the liquidated damages provisions in Contract Document, Part 5 – Special Provisions, SP-6, and Contract Document, Part 2, DB Section 108-5. ARTICLE 20. INDEPENDENT CONTRACTOR. The Design-Builder Agrees to the terms as an Independent Contractor described in Part 2, DB Section 107-1(b). New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 13 Draft November 16, 2018 ARTICLE 21. NO CONFLICT OF INTEREST The Design-Builder hereby agrees that this Contract has been secured without any apparent or real conflict of interest that would (1) compromise the integrity and fairness of the procurement process; (2) create circumstances where the Design-Builder obtained or appeared to obtain an unfair competitive advantage in accordance with 23 CFR 1.33 and 23 CFR 636.116; or (3) compromise the interests of the Department and the People of the State of New York. The Design-Builder further agrees that the Contract was secured without collusion or fraud and that neither any officer nor employee of the Department of Transportation has or shall have a financial interest in the performance of the Contract or in the supplies, work or business to which it relates, or in any portion of the profits thereof. (See also §139-a and §139-b of the State Finance Law.) ARTICLE 22. FEDERAL REQUIREMENTS This Contract is a Federal-aid contract. Please refer to Appendix B for the required federal requirements (including Attachment 1, FHWA Form 1273; Attachment 2, Federal Prevailing Wage Rate; Attachment 3, Goals for Equal Employment Opportunity (EEO) Participation; Attachment 4, Goals for Disadvantaged/Minority/Women’s Business Enterprise (D/M/WBE) Participation; and Attachment 5, Supplemental Title VI Provisions (Civil Rights Act)). See also Article 5 regarding the precedence of the federal requirements to the rest of the Contract Documents. ARTICLE 23. SELF PERFORMANCE. Design-Builder self performance. The Design-Builder shall perform with its own organization Contract Work amounting to not less than 51 percent of the original total Contract Price. The Design-Builder’s own organization shall be construed to include only Workers employed and paid directly by the Design-Builder and Equipment owned or rented by it, with or without operators. The Design-Builder’s own organization does not include employees or Equipment of a Subontractor, assignee, or agent of the Design-Builder and/or its Principal Participants, and any firm(s) performing Design, Construction Inspection and Quality Control Services. The Contract amount upon which the 51 percent requirement is computed includes the cost of Materials and manufactured products which are to be purchased or produced by the Design-Builder under the Contract provisions. ARTICLE 24. INTERNATIONAL BOYCOTT PROHIBITION In accordance with §139-h of State Finance Law, the Design-Builder hereby promises, asserts and represents that neither the Design-Builder nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating or shall participate in an international boycott in violation of the provisions of the United States Export Administration Act of 1969, as amended, or the United States Export Administration Act of 1979, or the effective Regulations of the United States Department of Commerce promulgated under either act. It is understood further that the State in awarding a contract does so in material reliance upon the promise and representation made by the Design-Builder in the forgoing paragraph and that such contract shall be rendered forfeit and void by the State Comptroller if subsequent to the bid execution date, the Design-Builder or such owned or affiliated person, firm, partnership or corporation has been convicted of a violation of the aforesaid Acts or Regulations or has been found upon final determination of the United States Commerce Department or any other appropriate agency of the United States to have violated such Acts or Regulations. New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 16 Draft November 16, 2018 IN WITNESS WHEREOF, this Contract has been executed by the State, acting by and through the Commissioner of Transportation, and the Design-Builder or its appointed representative, which has executed this Contract on the day and year first written above. New York State Department of Transportation Design-Builder _____________________________________ ________________________________ _____________________________________ ________________________________ Title Title __________________ __________________ Date Date New York State Attorney General Office of the New York State Comptroller __________________ __________________ Date Date (Acknowledgment by individual Design-Builder) STATE OF NEW YORK ss. : COUNTY OF On this day of , 20__ before me personally came and appeared to me known to be the person described in and who executed the foregoing instrument, and acknowledged that he/she executed the same. ____________________________________ Notary Public County (Acknowledgment by co-partnership Design-Builder) STATE OF NEW YORK ss.: COUNTY OF On this day of , 20__ before me personally came and appeared to me known to be the person who executed the above instrument, who, being duly sworn by me, did for himself/herself depose and say that he/she is a member of the firm of , consisting of himself/herself and and that he/she executed the foregoing instrument in the firm name of and that he/she had authority to sign same, and he/she did duly acknowledge to me that he/she executed the same as the act and deed of said firm of , for the uses and purposes mentioned therein. ____________________________________ Notary Public New York State Department of Transportation Hunts Point Interstate Access Improvement Project- Contract 1 Part 1 - DB Agreement PIN X731.63, Contract D900047 17 Draft November 16, 2018 [Acknowledgment by Limited Liability Company (LLC) Design-Builder] STATE OF NEW YORK ss.: COUNTY OF On this day of , 20__, before me personally came and appeared to me known to be the person who executed the above instrument, who, being duly sworn by me, did for himself/herself depose and say that he/she is a member of the LLC of and that he/she executed the foregoing instrument in the LLC’s name of and that he/she had authority to sign same, and he/she did duly acknowledge to me that he/she executed the same as the act and deed of said LLC of , for the uses and purposes mentioned therein. ____________________________________ Notary Public (Acknowledgment by Design-Builder, if a corporation) STATE OF NEW YORK ss.: COUNTY OF On this day of , 20__, before me personally came to me known, who being duly sworn, did depose and say that he/she resides in that he/she is the of the , the corporation described in and which executed the foregoing instrument and that he/she signed his/her name thereto by order of the board of directors of said corporation. ____________________________________ Notary Public (Acknowledgment by Design-Builder, if a joint venture) STATE OF NEW YORK ss.: COUNTY OF On this day of , 20__ before me personally came to me known, who being duly sworn, did depose and say that he/she resides in that he/she is the of the , the joint venture described in and which executed the foregoing instrument, and that he/she signed his/her name thereto by Power of Attorney granted by that joint venture. ____________________________________ Notary Public This page is intentionally left blank. STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A Page 3 January 2014 STANDARD CLAUSES FOR NYS CONTRACTS The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which are hereby made a part of the contract (the word "Contractor" herein refers to any party other than the State, whether a contractor, licenser, licensee, lessor, lessee or any other party): 1. EXECUTORY CLAUSE. In accordance with Section 41 of the State Finance Law, the State shall have no liability under this contract to the Contractor or to anyone else beyond funds appropriated and available for this contract. 2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without the State’s previous written consent, and attempts to do so are null and void. Notwithstanding the foregoing, such prior written consent of an assignment of a contract let pursuant to Article XI of the State Finance Law may be waived at the discretion of the contracting agency and with the concurrence of the State Comptroller where the original contract was subject to the State Comptroller’s approval, where the assignment is due to a reorganization, merger or consolidation of the Contractor’s business entity or enterprise. The State retains its right to approve an assignment and to require that any Contractor demonstrate its responsibility to do business with the State. The Contractor may, however, assign its right to receive payments without the State’s prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance Law. 3. COMPTROLLER'S APPROVAL. In accordance with Section 112 of the State Finance Law (or, if this contract is with the State University or City University of New York, Section 355 or Section 6218 of the Education Law), if this contract exceeds $50,000 (or the minimum thresholds agreed to by the Office of the State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000, it shall not be valid, effective or binding upon the State until it has been approved by the State Comptroller and filed in his office. Comptroller's approval of contracts let by the Office of General Services is required when such contracts exceed $85,000 (State Finance Law Section 163.6-a). However, such pre-approval shall not be required for any contract established as a centralized contract through the Office of General Services or for a purchase order or other transaction issued under such centralized contract. 4. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law. 5. NON-DISCRIMINATION REQUIREMENTS. To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex (including gender identity or expression), national origin, sexual orientation, military status, age, disability, predisposing genetic characteristics, marital status or domestic violence victim status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall by reason of race, creed, color, national origin, age, sex or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent violation. 6. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor Department in accordance with the Labor Law. Additionally, effective April 28, 2008, if this is a public work contract covered by Article 8 of the Labor Law, the Contractor understands and agrees that the filing of payrolls in a manner consistent with Subdivision 3-a of Section 220 of the Labor Law shall be a condition precedent to payment by the State of STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A Page 4 January 2014 any State approved sums due and owing for work done upon the project. 7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor affirms, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Contractor further affirms that, at the time Contractor submitted its bid, an authorized and responsible person executed and delivered to the State a non- collusive bidding certification on Contractor's behalf. 8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-f of the Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affiliates of Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the contract's execution, such contract, amendment or modification thereto shall be rendered forfeit and void. The Contractor shall so notify the State Comptroller within five (5) business days of such conviction, determination or disposition of appeal (2NYCRR 105.4). 9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory rights of set-off. These rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any other contract with any State department or agency, including any contract for a term commencing prior to the term of this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto. The State shall exercise its set-off rights in accordance with normal State practices including, in cases of set-off pursuant to an audit, the finalization of such audit by the State agency, its representatives, or the State Comptroller. 10. RECORDS. The Contractor shall establish and maintain complete and accurate books, records, documents, accounts and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the Records"). The Records must be kept for the balance of the calendar year in which they were made and for six (6) additional years thereafter. The State Comptroller, the Attorney General and any other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from public disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided that: (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's right to discovery in any pending or future litigation. 11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION. (a) Identification Number(s). Every invoice or New York State Claim for Payment submitted to a New York State agency by a payee, for payment for the sale of goods or services or for transactions (e.g., leases, easements, licenses, etc.) related to real or personal property must include the payee's identification number. The number is any or all of the following: (i) the payee’s Federal employer identification number, (ii) the payee’s Federal social security number, and/or (iii) the payee’s Vendor Identification Number assigned by the Statewide Financial System. Failure to include such number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or Claim for Payment, must give the reason or reasons why the payee does not have such number or numbers. (b) Privacy Notification. (1) The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5 of the State Tax Law. Disclosure of this information by the seller or lessor to the State is mandatory. The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the Commissioner of Taxation and Finance. The information will be used for tax administration purposes and for any other purpose authorized by law. (2) The personal information is requested by the purchasing unit of the agency contracting to purchase the goods or services or lease the real or personal property covered by this contract or lease. The information is maintained in the Statewide Financial System by the Vendor Management Unit within the Bureau of State Expenditures, Office of the State Comptroller, 110 State Street, Albany, New York 12236. 12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN. In accordance with Section 312 of the Executive Law and 5 NYCRR 143, if this contract is: (i) a written agreement or purchase order instrument, providing for a total expenditure in excess of $25,000.00, STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A Page 5 January 2014 whereby a contracting agency is committed to expend or does expend funds in return for labor, services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or (iii) a written agreement in excess of $100,000.00 whereby the owner of a State assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then the following shall apply and by signing this agreement the Contractor certifies and affirms that it is Contractor’s equal employment opportunity policy that: (a) The Contractor will not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability or marital status, shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on State contracts and will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination. Affirmative action shall mean recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation; (b) at the request of the contracting agency, the Contractor shall request each employment agency, labor union, or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, to furnish a written statement that such employment agency, labor union or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the Contractor's obligations herein; and (c) the Contractor shall state, in all solicitations or advertisements for employees, that, in the performance of the State contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. Contractor will include the provisions of "a", "b", and "c" above, in every subcontract over $25,000.00 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work") except where the Work is for the beneficial use of the Contractor. Section 312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii) employment outside New York State. The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of this section. The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful rules and regulations of the Department of Economic Development’s Division of Minority and Women's Business Development pertaining hereto. 13. CONFLICTING TERMS. In the event of a conflict between the terms of the contract (including any and all attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of this Appendix A shall control. 14. GOVERNING LAW. This contract shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise. 15. LATE PAYMENT. Timeliness of payment and any interest to be paid to Contractor for late payment shall be governed by Article 11-A of the State Finance Law to the extent required by law. 16. NO ARBITRATION. Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of competent jurisdiction of the State of New York. 17. SERVICE OF PROCESS. In addition to the methods of service allowed by the State Civil Practice Law & Rules ("CPLR"), Contractor hereby consents to service of process upon it by registered or certified mail, return receipt requested. Service hereunder shall be complete upon Contractor's actual receipt of process or upon the State's receipt of the return thereof by the United States Postal Service as refused or undeliverable. Contractor must promptly notify the State, in writing, of each and every change of address to which service of process can be made. Service by the State to the last known address shall be sufficient. Contractor will have thirty (30) calendar days after service hereunder is complete in which to respond. 18. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and warrants that all wood products to be used under this contract award will be in accordance with, but not limited to, the specifications and provisions of Section 165 of the State Finance Law, (Use of Tropical Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted, by the State or any governmental agency or political subdivision or public benefit corporation. Qualification for an exemption under this law will be the responsibility of the contractor to establish to meet with the approval of the State. This page is intentionally left blank. APPENDIX B FEDERAL REQUIREMENTS Attachment 1: FHWA Form 1273 Attachment 2 – Federal Prevailing Wage Rate Attachment 3 – Goals for Equal Employment Opportunity (EEO) Participation Attachment 4 – Goals for Disadvantaged/Minority/Women’s Business Enterprise (D/M/WBE) Participation Attachment 5 - Supplemental Title VI Provisions (Civil Rights Act) APPENDIX B ATTACHMENT 1 FHWA Form 1273 3 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 requirements and 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 assistance in accordance with 23 U.S.C. 140(a). c. The contractor will advise employees and applicants for employment of available training programs and entrance requirements for each. d. The contractor will periodically review the training and promotion 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 upon unions as a source of employees, the contractor will use good faith efforts to obtain the cooperation of such unions to increase opportunities for minorities and women. Actions by the contractor, either directly or through a contractor's association acting as agent, will include the procedures set forth below: a. The contractor will use good faith efforts to develop, in cooperation 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 an EEO 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 referral practices 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 contractor with 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 Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procurement of materials and leases of equipment. The contractor shall take all necessary and reasonable steps to ensure nondiscrimination in the administration of this contract. a. The contractor shall notify all potential subcontractors and suppliers and lessors of their EEO obligations under this contract. b. The contractor will use good faith efforts to ensure subcontractor 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 on the 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 agency deems appropriate. 11. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following the date of the final payment to the contractor for all contract work and shall be available at reasonable times and places for inspection by authorized representatives of the contracting agency and the FHWA. a. The records kept by the contractor shall document the following: (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 cooperation with 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 annual report 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 4 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 upon the site of the work, will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph 1.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 be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. 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 classification requested is not performed by a classification in the wage determination; and (ii) The classification is utilized in the area by the construction industry; and (iii) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (2) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), 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 mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the 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 5 will notify the contracting officer within the 30-day period that additional time is necessary. (4) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs 1.b.(2) or 1.b.(3) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. c. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. d. If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. 2. Withholding The 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, or helper, 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 be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) 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 is available 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 the information 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 each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3; (iii) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. 8 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 organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the contracting agency. Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor's own organization (23 CFR 635.116). a. The to 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 the supervision of the day-to-day activities of the leased employees; (2) the prime contractor remains responsible for the quality of the work of the leased employees; (3) the prime contractor retains all power to accept or exclude individual employees from work on the project; and (4) the prime contractor remains ultimately responsible for the 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 work that 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 forth in paragraph (1) of Section VI is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions. 3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract requirements, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the contracting officer determines is necessary to assure the performance of the contract. 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the contracting 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) is not applicable to design-build contracts; however, contracting agencies may establish their own self-performance requirements. 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 shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surroundings or under conditions which are unsanitary, hazardous or dangerous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3704). 3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C.3704). VIII. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS 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: 9 "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 FEDERAL WATER 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 the performance of this contract is not prohibited from receiving an award due to a violation of Section 508 of the Clean Water Act or Section 306 of the Clean Air Act. 2. That the contractor agrees to include or cause to be included the requirements of paragraph (1) of this Section X in every subcontract, and further agrees to take such action as the contracting agency may direct as a means of enforcing such requirements. X. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION 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 as defined in 2 CFR Parts 180 and 1200. 1. Instructions for Certification First Tier Participants: a. By signing and submitting this proposal, the prospective first tier participant is providing the certification set out below. b. The inability of a person to provide the certification set out below 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 representation of 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 provide immediate 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 a covered 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 submitting 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 entering into this transaction. g. The prospective first tier participant further agrees by submitting 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 a certification 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. 10 i. Nothing contained in the foregoing shall be construed to require 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) of these 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 Tier Participants: a. The prospective first tier participant certifies to the best of its knowledge and belief, that it and its principals: (1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency; (2) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; 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 or civilly 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 this application/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 to any of the statements in this certification, such prospective participant 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 prospective lower tier is providing the certification set out below. b. The certification in this clause is a material representation of 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 provide immediate 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 by submitting 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 by submitting 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 a certification 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 to require 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 of these 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 APPENDIX B ATTACHMENT 2 Federal Prevailing Wage Rate Latest Davis-Beacon wage rates can be found at the following web site: http://www.wdol.gov/dba.aspx General Decision Number: NY180003 11/02/2018 NY3 Superseded General Decision Number: NY20170003 State: New York Construction Types: Building, Heavy, Highway and Residential Counties: Bronx, Kings, New York, Queens and Richmond Counties in New York. BUILDING & RESIDENTIAL CONSTRUCTION PROJECTS (includes single family homes and apartments up to and including 4 stories), HEAVY AND HIGHWAY CONSTRUCTION PROJECTS Note: Under Executive Order (EO) 13658, an hourly minimum wage of $10.35 for calendar year 2018 applies to all contracts subject to the Davis-Bacon Act for which the contract is awarded (and any solicitation was issued) on or after January 1, 2015. If this contract is covered by the EO, the contractor must pay all workers in any classification listed on this wage determination at least $10.35 per hour (or the applicable wage rate listed on this wage determination, if it is higher) for all hours spent performing on the contract in calendar year 2018. The EO minimum wage rate will be adjusted annually. Please note that this EO applies to the above-mentioned types of contracts entered into by the federal government that are subject to the Davis-Bacon Act itself, but it does not apply to contracts subject only to the Davis-Bacon Related Acts, including those set forth at 29 CFR 5.1(a)(2)-(60). Additional information on contractor requirements and worker protections under the EO is available at www.dol.gov/whd/govcontracts. Modification Number Publication Date 0 01/05/2018 1 01/12/2018 2 01/19/2018 3 02/09/2018 4 02/16/2018 5 04/06/2018 6 04/20/2018 7 05/18/2018 8 05/25/2018 9 06/29/2018 10 07/27/2018 11 08/17/2018 12 08/31/2018 13 09/07/2018 14 10/12/2018 15 11/02/2018 ASBE0012-001 01/01/2018 Rates Fringes and repair work.............$ 28.50 51.243%+7.50+a PAID HOLIDAYS: a. New Years Day, Martin Luther King, Jr.'s Birthday, Washington's Birthday, Memorial Day, Independence Day, Labor Day, Columbus Day, Election Day, Thanksgiving Day, the day after Thanksgiving Day, and Christmas Day ---------------------------------------------------------------- ELEC1049-001 04/02/2017 QUEENS COUNTY Rates Fringes Line Construction (Substation and Switching structures pipe type cable installation and maintenance jobs or projects; Railroad electrical distribution/transmission systems maintenance (when work is not performed by railroad employees) Overhead and Underground transmission/distribution line work. Fiber optic, telephone cable and equipment) Groundman...................$ 32.31 21.94 Heavy Equipment Operator....$ 43.08 25.27 Lineman and Cable Splicer...$ 53.85 28.62 Tree Trimmer................$ 30.09 14.12 ---------------------------------------------------------------- ELEV0001-002 03/17/2018 Rates Fringes ELEVATOR MECHANIC Elevator Constructor........$ 64.48 42.103+a+b Modernization and Repair....$ 50.49 40.399+a+b FOOTNOTE: a. PAID HOLIDAYS: New Year's Day, Good Friday, President's Day, Memorial Day, Independence Day, Labor Day, Columbus Day, Veteran's Day, Thanksgiving Day, Friday after Thanksgiving, and Christmas Day. b. PAID VACATION: An employee who has worked less than 5 years shall recieve vacation pay credit on the basis of 4% of his hourly rate for all hours worked; an employee who has worked 5 to 15 years shall receive vacation pay credit on the basis of 6% of his hourly rate for all hours worked; an employee who has worked 15 or more years shall receive vacation pay credit on the basis of 8% of his hourly rate for all hours worked. ---------------------------------------------------------------- ENGI0014-001 07/01/2016 Rates Fringes POWER EQUIPMENT OPERATOR (HEAVY & HIGHWAY) GROUP 1....................$ 92.76 31.15 GROUP 2....................$ 76.51 31.15 GROUP 3....................$ 78.96 31.15 GROUP 4....................$ 77.07 31.15 GROUP 5....................$ 75.55 31.15 GROUP 6....................$ 72.53 31.15 GROUP 7....................$ 73.90 31.15 GROUP 8....................$ 71.78 31.15 GROUP 9....................$ 70.24 31.15 GROUP 10....................$ 67.16 31.15 GROUP 11....................$ 62.73 31.15 GROUP 12....................$ 64.13 31.15 GROUP 13....................$ 64.63 31.15 GROUP 14....................$ 48.73 31.15 GROUP 15....................$ 45.27 31.15 POWER EQUIPMENT OPERATOR (PAVEMENT-HEAVY & HIGHWAY) Asphalt Plants..............$ 59.14 31.15+a Asphalt roller..............$ 69.91 31.15+a Asphalt spreader............$ 71.78 31.15+a POWER EQUIPMENT OPERATOR (STEEL ERECTION) Compressors, Welding Machines....................$ 45.34 31.15 Cranes, Hydraulic Cranes, 2 drum derricks, Forklifts, Boom Trucks......$ 76.43 31.15 Three drum derricks.........$ 79.54 31.15 POWER EQUIPMENT OPERATOR (UTILITY) Horizontal Boring Rig.......$ 68.25 31.15 Off shift compressors.......$ 56.70 31.15 Utility Compressors.........$ 44.98 31.15 POWER EQUIPMENT OPERATOR CLASSIFICATIONS GROUP 1: Tower crane GROUP 2: Rubber Tire Backhoes over 37,000 lbs, Track Backhoes, power shovel, Hydraulic clam shells, moles and machines of a similar type GROUP 3: Mine hoists and crane, etc. used as mine hoists GROUP 4: Gradalls, keystones, cranes (with digging buckets), bridge cranes, trenching machines, vermeer cutter and machines of a similar nature GROUP 5: Piledrivers, derrick boats, tunnel shovels GROUP 6: All drills, and machines of a similar nature GROUP 7: Back filling machines, cranes, mucking machines, dual drum pavers GROUP 8: Mixers (concrete w/loading attachments), concrete pavers, cableways, land derricks, power house (low pressure units), concrete pumps GROUP 9: Concrete plants, well drilling machines, stone crushers double drum hoist, power house (other than above) GROUP 10: Concrete mixers GROUP 11: Elevators GROUP 12: Concrete breaking machine, Hoists (single drum), load masters, locomotive and dinkies over 10 tons GROUP 13: Vibratory console GROUP 14: Compressors (portable 3 or more in battery), tugger machine (caissons), well point pumps, chum drill GROUP 15: Boilers, (high pressure, compressors (portable, single, or 2 in battery, not over 100' apart), pumps (river cofferdam and welding machines (except where arc is operated by members of local 15) push button machines, all engines irrespective of power (power pac) used to drive auxilliary equipment, air, hydraulic etc. PREMIUMS ON CRANES (Crawler or Truck): 100' to 149' boom - add .50 150' to 249' boom - add .75 250' to 349' boom - add 1.00 350' to 450' boom - add 1.50 Premiums for Cranes on Steel Erection: 100' to 149' boom - add 1.75 150' to 249' boom - add 2.00 250' to 349' boom - add 2.25 350' to 450' boom - add 2.75 Tower crane - add 2.00 FOOTNOTE: a. Paid Holidays: New Year's Day; Lincoln's Birthday; Washington's Birthday; Memorial Day; Independence Day; Labor Day; Veterans Day; Columbus Day; Election Day; Thanksgiving Day; and Christmas Day; provided the employee works one day the payroll week in which the holiday occurs. ---------------------------------------------------------------- ENGI0014-002 07/01/2016 Rates Fringes Power Equipment Operator BUILDING & RESIDENTIAL GROUP 1....................$ 71.85 31.15+a GROUP 3....................$ 57.42 32.95 POWER EQUIPMENT OPERATORS CLASSIFICATIONS GROUP 1: Oiler GROUP 2: Oilers on Crawler Cranes, Backhoes, Trenching machines, Gunite machines, Compressors (3 or more in Battery) GROUP 3: Gradalls: Concrete Pumps, Power Houses - All equipment in same is manned by two (2) men only, Driving Truck Cranes FOOTNOTE: a. PAID HOLIDAYS: New Year's Day, Lincoln's Birthday, Memorial Day, Independence Day, Labor Day, Veteran's Day, Columbus Day, Election Day, Thanksgiving Day, and Christmas Day, provided the employee works one day in the payroll week in which the holiday occurs ---------------------------------------------------------------- IRON0040-002 07/01/2018 BRONX, NEW YORK, RICHMOND Rates Fringes IRONWORKER, STRUCTURAL...........$ 50.70 75.42 ---------------------------------------------------------------- IRON0046-003 07/01/2018 Rates Fringes IRONWORKER METALLIC LATHERS AND REINFORCING IRONWORKERS.....$ 56.28 22.62 ---------------------------------------------------------------- IRON0197-001 07/01/2018 Rates Fringes IRONWORKER STONE DERRICKMAN............$ 49.34 39.46 ---------------------------------------------------------------- IRON0361-002 07/01/2018 KINGS, QUEENS Rates Fringes Ironworkers: (STRUCTURAL)................$ 50.70 75.42 ---------------------------------------------------------------- IRON0580-001 07/01/2018 Rates Fringes IRONWORKER, ORNAMENTAL...........$ 44.65 53.62 ---------------------------------------------------------------- LABO0006-001 07/01/2016 Rates Fringes LABORER (Cement and Concrete Workers).........................$ 42.48 17.35 ---------------------------------------------------------------- LABO0029-001 07/01/2017 Rates Fringes Laborers: Heavy Blasters (hydraulic trac drill).....................$ 47.15 35.49 Blasters...................$ 46.27 35.49 Hydraulic Trac Drill.......$ 41.29 35.49 Jackhammers, Chippers, Spaders, Concrete Breakers, All Other Pneumatic Tools, Walk Behind Self-Propelled Hydraulic Asphalt and Concrete Breaker...........$ 39.34 35.49 Powder Carriers............$ 35.17 35.49 ---------------------------------------------------------------- LABO0078-001 12/01/2016 Rates Fringes LABORERS BUILDING CONSTRUCTION ASBESTOS (Removal, Abatement, Encapsulation or Decontamination of asbestos); LEAD; & HAZARDOUS WASTE LABORERS (Hazardous Waste, Hazardous Materials, Biochemical and Mold Remediation, HVAC, Duct Cleaning, Re-spray Fireproofing, etc).........$ 36.00 16.20 ---------------------------------------------------------------- * LABO0079-001 01/01/2018 Rates Fringes LABORER (Building Construction) Demolition Laborers (Interior) Tier A.....................$ 37.44 23.60 Tier B.....................$ 26.63 17.57 Mason Tender/General Laborer.....................$ 40.65 28.85 CLASSIFICATIONS TIER A: Responsible for the removal of all interior petitions and structural petitions that can consist of sheet rock, block or masonry. Also, all structural slab openings for ducts, mechanical, shafts, elevators, slab openings and exterior walls where the building is not being completely demolitioned. TIER B: Responsible for shoveling of debris into containers, pushing containers from the inside to the outside of the building. ---------------------------------------------------------------- LABO0147-001 07/01/2016 Rates Fringes LABORERS (FREE AIR & TUNNEL).....$ 72.67 47.72 Maintenance Men, Inside Muck Lock Tenders, Pump Men, Electricians, Cement Finishers, Caulkers, Hydraulic Men, Shield Men, Monorail Operators, Motor Men, Conveyor Men, Powder Carriers, Pan Men, Riggers, Chuck Tenders, Track Men Painters, Nippers, Brakemen, Cable Men, Hose Men, Grout Men, Gravel Men, Form Workers, Concrete Workers, Tunnel Laborers, Mole Nipper (one (1) Mole Sipper per Working Shaft per Shift for up to and including Two (2) Moles ---------------------------------------------------------------- LABO0731-001 07/01/2016 Rates Fringes LABORER Building, Heavy and Residential Construction LABORER: (Asbestos, Lead, Hazardous Waste Removal (including soil)/CEMENT/CONCRETE......$ 41.00 38.53 UTILITY LABORER............$ 40.85 38.53 Paid Holidays: Labor Day and Thanksgiving Day ---------------------------------------------------------------- LABO1010-001 07/01/2018 Rates Fringes Laborers: HIGHWAY CONSTRUCTION Fence Installer & Repairer.$ 42.48 42.21 FORMSETTERS................$ 46.35 42.21 LABORERS...................$ 42.48 42.21 Landscape Planting & Maintenance................$ 42.48 42.21 Maintenance Safety Surface.$ 42.48 42.21 Slurry/Sealcoater/Play Equipment Installer........$ 42.48 42.21 Small Equipment Operator (Not Operating Engineer)...$ 42.48 42.21 Rates Fringes SHEET METAL WORKER BUILDING CONSTRUCTION.......$ 50.91 36.70 RESIDENTIAL CONSTRUCTION....$ 27.22 16.48 ---------------------------------------------------------------- TEAM0282-001 07/01/2018 Rates Fringes TRUCK DRIVER Asphalt.....................$ 43.43 48.7025+a Euclids & Turnapulls........$ 43.53 48.7025+a High Rise...................$ 51.36 48.7025+a FOOTNOTES: PAID HOLIDAYS: New Year's Day, Presidents' Day, Memorial Day, Independence Day, Labor Day, Columbus Day, Election Day, Veterans' Day (Armistice Day), Thanksgiving Day, Day after Thanksgiving and Christmas Day. Employees working two (2) days in the calendar week in which a holiday falls are to be paid for such holiday, provided that they shape each remaining workday during such calendar week. ---------------------------------------------------------------- WELDERS - Receive rate prescribed for craft performing operation to which welding is incidental. ================================================================ Note: Executive Order (EO) 13706, Establishing Paid Sick Leave for Federal Contractors applies to all contracts subject to the Davis-Bacon Act for which the contract is awarded (and any solicitation was issued) on or after January 1, 2017. If this contract is covered by the EO, the contractor must provide employees with 1 hour of paid sick leave for every 30 hours they work, up to 56 hours of paid sick leave each year. Employees must be permitted to use paid sick leave for their own illness, injury or other health-related needs, including preventive care; to assist a family member (or person who is like family to the employee) who is ill, injured, or has other health-related needs, including preventive care; or for reasons resulting from, or to assist a family member (or person who is like family to the employee) who is a victim of, domestic violence, sexual assault, or stalking. Additional information on contractor requirements and worker protections under the EO is available at www.dol.gov/whd/govcontracts. Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (ii)). ---------------------------------------------------------------- The body of each wage determination lists the classification and wage rates that have been found to be prevailing for the cited type(s) of construction in the area covered by the wage determination. The classifications are listed in alphabetical order of "identifiers" that indicate whether the particular rate is a union rate (current union negotiated rate for local), a survey rate (weighted average rate) or a union average rate (weighted union average rate). Union Rate Identifiers A four letter classification abbreviation identifier enclosed in dotted lines beginning with characters other than "SU" or "UAVG" denotes that the union classification and rate were prevailing for that classification in the survey. Example: PLUM0198-005 07/01/2014. PLUM is an abbreviation identifier of the union which prevailed in the survey for this classification, which in this example would be Plumbers. 0198 indicates the local union number or district council number where applicable, i.e., Plumbers Local 0198. The next number, 005 in the example, is an internal number used in processing the wage determination. 07/01/2014 is the effective date of the most current negotiated rate, which in this example is July 1, 2014. Union prevailing wage rates are updated to reflect all rate changes in the collective bargaining agreement (CBA) governing this classification and rate. Survey Rate Identifiers Classifications listed under the "SU" identifier indicate that no one rate prevailed for this classification in the survey and the published rate is derived by computing a weighted average rate based on all the rates reported in the survey for that classification. As this weighted average rate includes all rates reported in the survey, it may include both union and non-union rates. Example: SULA2012-007 5/13/2014. SU indicates the rates are survey rates based on a weighted average calculation of rates and are not majority rates. LA indicates the State of Louisiana. 2012 is the year of survey on which these classifications and rates are based. The next number, 007 in the example, is an internal number used in producing the wage determination. 5/13/2014 indicates the survey completion date for the classifications and rates under that identifier. Survey wage rates are not updated and remain in effect until a new survey is conducted. Union Average Rate Identifiers Classification(s) listed under the UAVG identifier indicate that no single majority rate prevailed for those classifications; however, 100% of the data reported for the classifications was union data. EXAMPLE: UAVG-OH-0010 08/29/2014. UAVG indicates that the rate is a weighted union average rate. OH indicates the state. The next number, 0010 in the example, is an internal number used in producing the wage determination. 08/29/2014 indicates the survey completion date for the classifications and rates under that identifier. A UAVG rate will be updated once a year, usually in January of each year, to reflect a weighted average of the current negotiated/CBA rate of the union locals from which the rate is based. ---------------------------------------------------------------- WAGE DETERMINATION APPEALS PROCESS 1.) Has there been an initial decision in the matter? This can be: * an existing published wage determination * a survey underlying a wage determination * a Wage and Hour Division letter setting forth a position on a wage determination matter * a conformance (additional classification and rate) ruling On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour Regional Office for the area in which the survey was conducted because those Regional Offices have responsibility for the Davis-Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and 3.) should be followed. With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to: Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to: Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 The request should be accompanied by a full statement of the interested party's position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue. 3.) If the decision of the Administrator is not favorable, an GOALS FOR EQUAL EMPLOYMENT OPPORTUNITY (EEO) PARTICIPATION 00820 = 2006/2008:Proposal EI 05-005, Per Construction L01/08/09 Page 1 of 1 GOALS FOR MINORITY PARTICIPATION COUNTY % COUNTY % COUNTY % Albany …..……………..3.2 Allegany……..…………6.3 Broome ……..………….1.1 * Bronx Cattaraugus …..………..6.3 Cayuga ………..……….2.5 Chautauqua …..………..6.3 Chemung ……..………..2.2 Chenango ……..……….1.2 Clinton ……..………….2.6 Columbia …...………….2.6 Cortland ……..………...2.5 Delaware ……..………..1.2 Dutchess ……...………..6.4 Erie ……….…..………..7.7 Essex ………...………...2.6 Franklin ……...………...2.5 Fulton ………...………..2.6 Genesee ……...………...5.9 Greene ………...……….2.6 Hamilton ……..………..2.6 Herkimer ………………2.1 Jefferson ……………….2.5 * Kings Lewis …………………..2.5 Livingston ……………..5.3 Madison ……………….3.8 Monroe ………………...5.3 Montgomery …………...3.2 Nassau …………………5.8 * New York Niagara ………………...7.7 Oneida …………………2.1 Onondaga ……………...3.8 Ontario ………………...5.3 Orange ………………..17.0 Orleans ………………...5.3 Oswego ………………..3.8 Otsego …………………1.2 Putnam ……………….22.6 * Queens Rensselaer ……………..3.2 * Richmond Rockland ……….…….22.6 St. Lawrence ….……….2.5 Saratoga ……….………3.2 Schenectady ….………..3.2 Schoharie …….………..2.6 Schuyler ……….………1.2 Seneca ……….………...5.9 Steuben …….………….1.2 Suffolk ……….………..5.8 Sullivan ……….……...17.0 Tioga ………….……….1.1 Tompkins ……….……..1.2 Ulster ………………...17.0 Warren ………………...2.6 Washington ……………2.6 Wayne …………………5.3 Westchester …………..22.6 Wyoming …...…………6.3 Yates ……...…………...5.9 * The following goal ranges are applicable to the indicated trades in the Counties of Bronx, Kings, New York, Queens and Richmond. Electricians................................... 9.0 to 10.2 Carpenters .................................. 27.6 to 32.0 Steam fitters ............................... 12.2 to 13.5 Metal lathers............................... 24.6 to 25.6 Painters....................................... 26.0 to 28.6 Operating engineers ................... 25.6 to 26.0 Plumbers .................................... 12.0 to 14.5 Iron workers (structural) ............ 25.9 to 32.0 Elevator constructors ..................... 5.5 to 6.5 Bricklayers..................................13.4 to 15.5 Asbestos workers........................22.8 to 28.0 Roofers ...........................................6.3 to 7.5 Iron workers (ornamental) ..........22.4 to 23.0 Cement masons...........................23.0 to 27.0 Glaziers.......................................16.0 to 20.0 Plasterers ....................................15.8 to 18.0 Teamsters....................................22.0 to 22.5 Boilermakers ..............................13.0 to 15.5 All others ....................................16.4 to 17.5 GOAL FOR PARTICIPATION OF WOMEN The last publication of a goal for the participation of women was April 7, 1978 (43 FR 14888, 14900). Pursuant to 41CFR 60-4.6, the 6.9% goal published on that date is hereby made the goal for all contracts and grant agreements, until further notice. APPENDIX B ATTACHMENT 4 Goals for Disadvantaged/Minority/Women’s Business Enterprise (D/M/WBE) Participation GOALS FOR DISADVANTAGED/MINORITY/WOMEN’S BUSINESS ENTERPRISE (D/M/WBE) PARTICIPATION 00821 = 2006/2008:Proposal Page 1 of 1 EI 05-005, Per Construction L01/08/09 The Department has established the following utilization goal(s) for this contract, expressed as a percentage of the total contract bid amount. For clarification of Disadvantaged Business Enterprise (DBE) Utilization, Minority Business Enterprise (MBE) Utilization or Women's Business Enterprise (WBE) Utilization requirements refer to §102-12 D/M/WBE Utilization of the Standard Specifications. Disadvantaged Business Enterprise (DBE) Utilization Goal % (Federal-Aid Only) Minority Business Enterprise (MBE) Utilization Goal % (Non Federal-Aid Only) Women's Business Enterprise (WBE) Utilization Goal % (Non Federal-Aid Only) Directories and/or Information related to the current certification status of Disadvantaged Business Enterprises can be obtained from the NYS Unified Certification Program website at: http://biznet.nysucp.net Direct questions concerning Disadvantaged Business Enterprise Utilization to: NYS Department of Transportation Office of Construction 50 Wolf Road Pod 51 Albany, New York 12232 (518) 457-6472 Direct questions concerning Disadvantaged Business Enterprise Certification to: NYS Department of Transportation Contract Audit Bureau DBE Certification 50 Wolf Road, 1st Floor South Albany, New York 12232 (518) 457-3180 Directories and/or information related to the current certification status of Minority and Women's Business Enterprises, can be obtained by contacting the: Empire State Development Corporation Office of Minority and Women's Business Development 30 S. Pearl Street Albany, NY 12245 (518) 292-5250 www.empire.state.ny.us/Small_and_Growing_Businesses/mwbe.asp The contractor shall take such action with respect to any subcontractor procurement as NYSDOT or the FHWA may direct as a means of enforcing such provisions including sanctions for non-compliance: Provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or supplier as a result of such direction, the contractor may request NYSDOT to enter into such litigation to protect the interests of NYSDOT, and, in addition, the contractor may request the United States to enter into such litigation to protect the interests of the United States. APPENDIX B ATTACHMENT 6 CARGO PREFERENCE ACT REQUIREMENTS Use of United States-flag vessels: The contractor agrees- (1) To utilize privately owned United States-flag commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material, or commodities pursuant to this contract, to the extent such vessels are available at fair and reasonable rates for United States-flag commercial vessels. 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