8762.65_Aspinwall Rd Proposal Book.pdf

US CUSTOMARY UNITS

PIN: 8762.65

LD040786

Sponsor Contract No.:

FEDERAL AID PROJECT

Submitted in accordance with the Highway Law and the Standard Specifications officially finalized and adopted on September 1, 2026 as posted on New York State Department of Transportation’s website.

Proposal Description:

Replacement of Aspinwall Road Bridge (BIN 2262850) Over Saw Kill Town of Red Hook, Dutchess County

Letting Time and Date: Thursday October 08, 2026 at 10:00 AM

Letting Location:

Town of Red Hook 7340 South Broadway Red Hook, NY 12571

BOOK 1 OF 1

TABLE OF CONTENTS

PROPOSAL SECTION PAGE NO.

IMPORTANT BIDDER INFORMATION 4

SPONSOR ADVERTISEMENT 6

PROJECT TITLE SHEET (With Uniform Contracting Questionnaire Note) 9

SECTION 1 - CONTRACTOR’S BID PACKAGE CONTENTS 10

• DBE COMMITMENT (Appendix 12-10) 11

• APPENDIX 12-1 12

o Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion o Certification Regarding use of Contract Funds for Lobbying 15 o False Claims Certification 16 o Non-Collusive Bidding Certification (SFL/GML) 17 o Non-Collusive Bidding Certification (49 CFR) 18 o Reporting Violations of Non-Collusive Bidding Procedures 19 o New York State Office of the Inspector General Hotline 19 o Goals for Equal Employment Opportunity (EEO) Participation 20 o Required Contract Provisions Federal-Aid Construction Contract (FHWA-1273 – Revised May 1, 2012)

• APPENDIX 12-1A 43

o Non-Collusive Bidding Certification – Bidder Information 46 o Offerer Disclosure of Prior Non-Responsibility Determinations 47 o Combined Certification Form – By Executing this Document 48

• BID BOND 50

• ESTIMATE OF QUANTITIES 53

• ITEMIZED PROPOSAL 54

SECTION 2 - REQUIRED CONTRACT PROVISIONS 70

• DBE/MBE/WBE/SDVOB GOALS 71

• EQUAL EMPLOYMENT OPPORTUNITY (EEO) GOALS 72

• STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS 73

• SUPPLEMENTAL TITLE VI PROVISIONS – Appendix A-1 80

SECTION 3 - SUPPLEMENTAL INFORMATION 81

• EARTHWORK SUMMARY SHEETS 82

• CONR 9 - Supplemental Information Available to Bidders 84

• SUBSURFACE INFORMATION 85

• QUANTITY WORKUPS 93

• PERMITS 164

SECTION 4 - SPECIAL NOTES 177

SECTION 6 SECTION 5 - SPECIAL SPECIFICATIONS & REVISIONS TO STANDARD

SPECIFICATIONS

SECTION 6 - PREVAILING WAGE RATES 210

• NEW YORK STATE WAGE RATES 211

• FEDERAL WAGE RATES 292

SECTION 7 - SPONSOR CONTRACT AGREEMENT 329

SECTION 8 – TOWN’S STANDARD CLAUSES 333

IMPORTANT BIDDER INFORMATION

1. Familiarize Yourself with the Standard Specifications. Make sure to use the current version of the

NYSDOT Standard Specifications, as stipulated on the front cover of this Project Proposal.

Standard Specifications may be accessed at:

www.dot.ny.gov/main/business-center/engineering/specifications/busi-e-standards-usc.

2. Upcoming Projects/Contract Documents/Letting Results.

Advertisements are available at: www.nyscr.ny.gov

Contract Documents at: www.nyscr.ny.gov

3. Procurement Lobbying Law. NYS Finance Law restricts communication with NYSDOT personnel on procurements; contact can only be made with designated persons.

Contact with non-designated persons or other involved Agencies may result in disqualification.

Project-related technical questions or comments should submitted by email to James Curra, P.E.at:

Jcurra@hveapc.com

All other questions should be submitted to the Town of Red Hook Supervisor, (845) 758-4622.

4. DOL Contractor Certification. Contractors must be registered with the NYS Dept. of Labor (DOL) prior to submitting a bid. Bids from unregistered Contractors shall be declared Informal.

www.dol.ny.gov/public-work-contractor-and-subcontractor-registry-landing.

5. DBE/MBE/WBE/SDVOB Goals. Federally funded contracts have a Disadvantaged Business Enterprise

(DBE) goal, and 100% State funded contracts have Minority Business Enterprise (MBE), Women’s

Business Enterprise (WBE) and Service-Disabled Veteran-Owned Business (SDVOB) goals.

Effective as of February 20, 2025, for Federally funded contracts, all Bidders are required to submit a complete DBE Participation Package, which includes a Summary of DBE Commitments, DBE confirmations, and Good Faith Effort documentation (if required) with their bid, as well as a Bidder’s

List (i.e., a completed CONR 80 form with information about all quotes from DBE and non-DBE

Subcontractors received prior to letting).

MBE/WBE/SDVOB Participation Packages must be submitted to the Town of Red Hook in accordance with §102-12 DBE/MBE/WBE/SDVOB Participation. Solicitation of DBEs, MBEs, WBEs, and

SDVOBs should begin as soon as the contract is advertised for letting.

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

7. Bid Security. Every bid must be accompanied by a bid bond, certified check or bank cashier's check payable to the Town of Red Hook, in the sum of the amount shown on the proposal title page. Bonds must be on form CONR 391.

0790 1 of 1 Per Contract Management

05/01/25

8. New York State Can Help You Secure Surety Bonding. The NYS Surety Bond Assistance Program

(NYSBAP) provides technical and financial assistance to help New York State small business or

M/WBE contractors secure bonding. Contractors may be eligible to receive a guarantee of up to 30% to secure a surety bond line, bid bond or a performance and payment bond on State projects. Training is also available to contractors requiring technical support on how to become bond-ready.

For more information visit:

https://esd.ny.gov/doing-business-ny/new-york-state-surety-bond-assistance-program or contact Ms. Huey-Min Chuang at Empire State Development, (212) 803-3238, BAP@esd.ny.gov.

9. The Contractor is Responsible for Ensuring that All Amendments Have Been Incorporated into

Its Bid. Amendments are posted at: www.nyscr.ny.gov/

Do not alter the Bid Proposal unless directed to do so by Amendment. Unauthorized alterations could lead to your bid being declared Informal (§102-05 Proposal Submission).

Zero-dollar bids are not allowed for any item.

Bid on all items and sign the bid. (§102-04 Proposal Content).

10. Bids Should Be Submitted in a Sealed Envelope (a.k.a., a Paper Bid).

Bids Should Be Submitted in a Sealed Envelope prominently labeled “BID: REPLACEMENT OF

ASPINWALL ROAD BRIDGE (BIN 2262850) OVER SAW KILL”, addressed to Town of Red

Hook, 7340 S. Broadway, Red Hook, NY 12571 and delivered prior to the due date and time, during normal business hours (Monday through Friday, 8:30 am to 4:00 pm). Clearly identify the

Contractor Name, Address, Federal Identification Number, Project Number and Project

Description on the envelope

The same Federal Identification number should be used on both the envelope and contractor requests to be added to the Planholders List.

Low bidders must have a current NYS For-Profit Construction Vendor Responsibility Questionnaire

(CCA-2) on file or submit one within 10 days of receipt of the contract. Questionnaires are available at:

www.dot.ny.gov/bids-and-lettings/construction-contractors/general-info.

Please call the Town at (845) 758-4622 if a reasonable accommodation is needed to participate in the

Letting.

0790 2 of 2 Per Contract Management

05/01/25

Revised September 2026

Notice to Bidders – Advert isement of Bid

Notice to Bidders – Advertisement of Bid

Notice is hereby given that the Town of Red Hook will accept sealed bids for:

Replacement of Aspinwall Road Bridge (BIN 2262850) Over Saw Kill

PIN 8762.65

LD040786

The Owner is the Town of Red Hook and the work site is/are located in the Town of Red Hook. The projects limits extend from the West Bard Avenue and Aspinwall Road intersection to the Manor Road and Aspinwall Road intersection.

The work includes providing all labor, materials, machinery, tools, equipment and other means of construction necessary and incidental to the completion of the work shown on the plans and described in these specifications including, but not necessarily limited to the following: replacement of existing steel jack arch bridge with a 42ft clear span precast three-sided structure, spread footing and drilled shaft foundation installation, and stone faced concrete parapet and moment slab installation.

This is a Federal Aid Project and NYSDOT Standard Specifications, officially finalized and adopted on September 1, 2026 as posted on the New York State Department of Transportation’s website must be followed by the successful bidder.

The DBE goal for this project is: 0% There are no MBE/WBE/SDVOB goals for this project.

The EEO Employment goals for this project are: 6.4% Minority Employment Goal 6.9% Women Employment Goal

The use of the NYSDOT approved civil rights reporting software, Equitable Business Opportunities (EBO), is required. Access authorization to EBO can be found at https://ebo.dot.ny.gov/.

No residential or geographical restrictions will be in effect for this project. Applicable Federal requirements take precedence over State and local requirements unless state and local requirements are deemed to be more stringent.

Contract Documents, including Invitation to Bidders, Instructions to Bidders, Wage Rates, Bid Documents, Agreement, Special Notes, Specifications, Contract Drawings, and any Addenda, may be examined, at no expense, at the office of: Red Hook Town Hall, 7340 South Broadway, Red Hook, NY 12571 between the hours of 09:00am and 04:00pm Monday through Friday. Contract Documents are also available at the New York State Contract Reporter.

No questions or inquiries regarding this bid will be accepted within three (3) business days prior to the bid opening.

Contractors that obtain Contract Documents from a source other than the issuing office must notify the issuing office in order to be placed on the official Plan Holder List, to receive Addenda and any other Bid correspondence. Bids received from Contractors other than those on the official Plan Holders List will not be accepted.

Addenda will be emailed from HVEA Engineers to Bidders listed on the official Plan Holders List. An emailed response from the Bidder to the Addendum sent by HVEA Engineers will act as proof that the Bidder received the Addendum. In addition to an emailed response, Bidders must acknowledge receipt of all Addenda by signing and dating each Addendum on page A-1 of the bid form and the Acknowledgement of Receipt of Addenda, page A-1. Failure of any Bidder to receive any such Addendum or interpretation shall not relive such Bidder from any obligation under this Bid submittal.

All Addenda so issued shall become part of the Contract Documents.

Questions regarding the Contract Documents should be directed to James Curra, P.E., HVEA Engineers either through email at: jcurra@hveapc.com or by telephone at 845-838-3600. Bidders shall promptly notify James Curra of any errors, omissions, conflicts or ambiguity within the Contract Documents at least 3 days prior to bid opening.

All bids must include the completed Bid Form, Non-Collusive Bidding and Disbarment Certifications, Lobbying Certifications, and for federally funded contracts the completed DBE Participation Package (i.e., Summary of DBE commitments, DBE confirmations, and/or good faith effort (if required), as well as, the Bidder’s List (CONR 80LL) with information about all quotes received from DBE and non-DBE Subcontractors prior to letting.

This is a unit price bid as described in the Instructions to Bidders. No bidder may withdraw his/her bid within forty-five (45) calendar days after the actual date of the opening thereof.

Each bid must be accompanied by security in an amount not less than five percent (5%) of the amount of the bid in the form and subject to the conditions provided in the Instructions to Bidders.

Bids to be considered must be received in a sealed envelope at the office of the Red Hook Town Clerk, Red Hook Town Hall, 7340 South Broadway, Red Hook, NY 12571 by 10:00 AM, local time, on Thursday October 08, 2026 at which time they will be publicly opened and read aloud. Bids received after the above noted time will not be accepted. All sealed envelopes should be clearly labeled “BID: REPLACEMENT OF ASPINWALL ROAD BRIDGE (BIN 2262850) OVER SAW KILL” along with the bidders name, address, Federal Identification Number, and project number (PIN 8762.65).

For bids to be considered, the Bidder must be registered with the NYS Department of Labor (DOL) prior to submitting a bid. Bids from unregistered Contractors shall be declared non-responsive.

The Bidder to whom the Contract is awarded will be required to furnish Performance and Payment Bonds guaranteeing performance of work and prompt payment from an acceptable Surety Company for an amount not less than 100% of the accepted bid. The successful Bidder and all subcontractors must have an approved CCA-2 on file with NYSDOT prior to being awarded a contract. If the successful Bidder does not currently have a CCA-2 on file with NYSDOT, the Bidder may find the CCA-2 forms and instruction for completion online at https://www.osc.state.ny.us/state-vendors/vendrep/vendor-responsibility-forms?redirect=legacy#Construction.

The successful Bidder will be required to comply with all provisions of the Federal Government Equal Employment Opportunity clauses issued by the Secretary of Labor on May 2,1968 and published in the Federal Register (41 CFR Part 60-1, 33 F.2 7804). Successful bidders will be required to pay NYS and Federal prevailing wage rates on this contract.

The Town of Red Hook reserves the right to consider the bids for forty-five (45) days after receipt before awarding any Contract, and to waive any minor informalities in, and to reject, any and all bids.

All bids are subject to final review and approval by the Town of Red Hook Town Board before any award of contract may be made. Receipt of bids by the Town of Red Hook shall not be construed as authority to bind the Town of Red Hook.

The work will be substantially completed 365 calendar days from Notice to Proceed and completed and ready for final payment on January 1, 2028.

The New York State Department of Transportation, in accordance with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C 2000d to 2000d-4 and Title 49 Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in Federally-assisted programs of the Department of Transportation and Title 23 Code of Federal Regulations, Part 200, Title VI Program and Related Statutes, as amended, issued pursuant to such Act, hereby notifies all who respond to the related solicitation, request for proposal or invitation to bid that it will affirmatively insure that in any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, national origin, sex, age, disability/handicap and income status in consideration for an award.

Owners Contact (Town of Red Hook) Engineer’s Contact (HVEA Engineers) Robert McKeon James Curra, P.E.

Town Supervisor Project Engineer 7340 S Broadway, Red Hook, NY 12571 560 Route 52, Suite 201, Beacon NY, 12508

(845) 758-4622 (845) 838-3600 supervisor@redhookny.gov jcurra@hveapc.com

LD040786

PROJECT TITLE SHEET

Town of Red Hook

New York

PIN: 8762.65

LD040786

Sponsor Contract No.:

COUNTY(IES): Dutchess

FEDERAL AID PROJECT

Proposal Description: Replacement of Aspinwall Road Bridge (BIN 2262850) Over Saw Kill, Town of Red Hook, Dutchess County

Deposit Required: 5%

Completion Date: 365 Calendar days from NTP

Questions During Bidding: No interpretation of the meaning of the plans, specifications or other contract documents will be made to any bidder orally. Every request for such interpretation shall be in writing addressed to: HVEA Engineers.

Addenda to Bid Documents: Addenda to the Bid Documents will be emailed to the plan holders.

FEDERAL REQUIREMENTS

1. This is a federal-aid contract subject to the approval of the Federal Highway Administration

(FHWA) and the New York State Department of Transportation (NYSDOT).

2. Federal Contract Requirements are contained in Section 1.

3. The BUY AMERICA provisions in Section 106-11 of the NYSDOT Standard Specifications apply to this contract.

4. Whenever local and/or New York State requirements differ from Federal requirements, the

Federal requirements will prevail.

5. There are no residence, geographical restrictions, or preferences contained in this contract.

6. There are no M/WBE/SDVOB requirements or preferences contained in this contract.

NEW YORK STATE DEPARTMENT OF TRANSPORTATION REQUIREMENTS

1. The NYSDOT Standard Specifications September 1, 2026, as amended, govern work performed under this contract. This shall include Sections 100 through 799, inclusive.

2. The low bidder must have an approved New York State Uniform Contracting Questionnaire (CCA-2 Form) on file with NYSDOT prior to an award being made. The CCA-2 form is available online at https://www.dot.ny.gov/bids-and-lettings/construction-contractors/general-info or by calling the NYSDOT Office of Contract Management at (518) 457-1564.

Letting Date

Sponsor's Name:

Address:

, New York

RE: Project Description:

Project Location:

PIN

Contract

DBE Goal as Stated in the Advertisement

Dear

We hereby submit a DBE commitment of for the above-referenced project.

Identified below are the commitment(s) to certified* DBEs for this contract:

*Only submit DBE(s) that you have verified are certified to perform/supply the identified commitments. Total Commitment:

** Work Category:

Material Supplier = 60% Credit

Distributor = 40% Credit

Broker (Fees and Commissions Only) = 100% Credit

Submitted By:

Name:

Company Federal Tax ID

PIN NYSDOT AAP14LL*

*Note: This form is the local-let version of the NYSDOT AAP 14. It was modified to capture specific language used when administering local-let federal aid projects.

Title:

NOTE: In addition to the summary of commitments shown above, you shall submit DBE commitments/confirmations (i.e., AAP 20, AAP22, or AAP 23 depending on Work

Category) with your bid submission for each DBE firm listed above. All Bidders are to submit a completed CONR 80LL. In addition, if you do not meet the DBE Goal, you shall submit sufficient Good Faith Effort documentation with your bid submission. No supplemental information will be considered after Letting.

Work Category**

Construction

DBE Credit $

(AxB)

$ Commitment

(B)

$1,120,000$1,120,000

% DBE Credit

(A)

I hereby confirm that the DBEs are certified to perform the commitments shown above. Upon notification that my commitments and/or Good Faith

Efforts have been accepted by the Sponsor, I shall enter exactly (as shown) all of the DBE commitments identified here, into Equitable Business

Opportunity Solution (EBO), with no additions, substitutions, or reductions.

Appendix 12-10

Summary of Federal DBE Commitments and Bid Requirements

= 100% Credit

Example DBE Name: Drainage R Us

Address: 2543 Lexington Street, Troy, NY 12180

Address:

Address:

Address:

Address:

Address:

Address:

Address:

DBE Name and Address:

Construction, Manufacturers, Fabricators, Professional Service, Work Service, Trucking Firm

APPENDIX 12-1

CONSTRUCTION CONTRACT REQUIREMENTS

REVISED October 2023

This page has been left intentionally blank.

CONTENTS

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY, AND VOLUNTARY

EXCLUSION (FHWA Section 1273 X)

CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING(FHWA 1273 Section

XI)

FALSE CLAIMS CERTIFICATION (31 USC §3729, NYS Finance Law Article 13)

REPORTING VIOLATIONS OF NON-COLLUSIVE BIDDING PROCEDURES,

GOALS FOR EQUAL EMPLOYMENT OPPORTUNITY (EEO) PARTICIPATION

REQUIRED CONTRACT PROVISIONS

ALL FORMS MUST BE INCLUDED IN ALL FEDERAL AID CONTRACTS AND MUST BE INCLUDED

IN EACH BID PROPOSAL.

Appendix 12-1.1

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY, AND VOLUNTARY

EXCLUSION (FHWA Section 1273 X)

A. The prospective bidder certifies to the best of its knowledge and belief that they and their 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 a 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 the 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 Bidder is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING (FHWA 1273 Section

XI)

A. The prospective bidder certifies, by signing and submitting this bid or proposal, to the best of his/her knowledge and belief, that:

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

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

B. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

C. The prospective bidder also agrees by submitting his/her bid or proposal that he/she shall require that the language of this certification be included in all lower tier subcontracts which exceed $100,000 and that such subrecipients shall certify and disclose accordingly.

THESE MUST BE INCLUDED IN ALL FEDERAL AID CONTRACTS AND MUST BE INCLUDED IN

EACH BID PROPOSAL.

Appendix 12-1.2

FALSE CLAIMS CERTIFICATION (31 USC §3729, NYS Finance Law Article 13)

Under the Federal False Claims Act, 31 U.S. Code §3729, any person or entity who knowingly presents, or causes to be presented to the Federal Government, a false or fraudulent claim for payment or approval is liable to the United States Government for a civil penalty of not less than $5,000 and not more than $10,000, plus three times the amount of damages the Government sustains.

Under the New York State False Claims Act, NYS Finance Law Article 13, any person or entity who knowingly presents or causes to be presented to the State of New York or Local Governments within the State of New York, a false or fraudulent claim for payment or approval is liable to the Government for a civil penalty of not less than $6,000 and not more than $12,000, plus three times the amount of damages the Government sustains.

“Knowingly” is defined as (1) actual knowledge; (2) acting in deliberate ignorance of the truth or falsity of information; or (3) acting in reckless disregard of the truth or falsity of information. No proof of specific intent to defraud is required.

The Contractor to whom the above-identified contract is to be awarded does hereby certify to the New York State Department of Transportation that it understands the prohibitions under the Federal and New York State False Claims acts and that it has not and will not submit or cause to be submitted any fraudulent claims in the submission of this bid or in connection with the above-identified contract.

The Contractor further certifies that it understands retaliatory actions against employees and officers who initiate a qui tam (public) action on behalf of the government or cooperate in the investigation of a false claim are prohibited and are subject to an assessment of damages and penalties under the provisions of the Federal and New York State False Claims Acts.

THIS MUST BE INCLUDED IN ALL FEDERAL AID CONTRACTS AND MUST BE INCLUDED IN

EACH BID PROPOSAL.

Appendix 12-1.3

NON-COLLUSIVE BIDDING CERTIFICATION

(NYS Finance Law §139-d and General Municipal Law §103-d)

1. By submission of this bid:

(a) Each bidder and each person signing on behalf of any bidder certifies, and in the case of a joint bid, each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief:

(1) The prices in this bid have been arrived at independently without collusion, consultation, communication, or agreement, for the purpose of restricting competition, as to any matter relating to such prices with any other bidder or with any competitor.

(2) Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the bidder and will not knowingly be disclosed by the bidder prior to opening, directly or indirectly, to any other bidder or to any competitor; and

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

(b) A bid shall not be considered for award, nor shall any award be made where (a)(1)(2) and (3) above have not been complied with; provided, however, that if in any case, the bidder cannot make the foregoing certification, the bidder shall so state and shall furnish with the bid a signed statement which sets forth in detail the reasons, therefore. Where (a)(1)(2) and (3) above have not been complied with, the bid shall not be considered for award, nor shall any award be made unless the head of the purchasing unit of the state, public department, or agency to which the bid is made, or his designee, determines that such disclosure was not made for the purpose of restricting competition.

The fact that the bidder (a) has published price lists, rates, or tariffs covering items being procured, (b) has informed prospective customers of proposed or pending publication of new or revised pricelists for such items, or (c) has sold the same items to other customers at the same prices being bid, does not constitute, without more, a disclosure within the meaning of subparagraph one (a).

2. Any bid hereafter made to the state or any public department, agency, or official thereof by a corporate bidder for work or services performed or to be performed or goods sold or to be sold, where competitive bidding is required by statute, rule, or regulation, and where such bid contains the certification referred to in subdivision one of this section, shall be deemed to have been authorized by the board of directors of the bidder and such authorization shall be deemed to have included the signing and submission of the bid and the inclusion therein of the certificate as to non-collusion as the act and deed of the corporation."

STATE NON-COLLUSIVE BIDDING CERTIFICATIONS MUST BE INCLUDED IN EVERY BID

PROPOSAL REGARDLESS OF WHETHER NYSDOT SPECIFICATIONS OR LOCAL

SPECIFICATIONS ARE USED.

Appendix 12-1.4

NON-COLLUSIVE BIDDING CERTIFICATION (2 CFR 1200)

"By submission of this bid, the Bidder does hereby tender to the Owner this sworn statement pursuant to Section 1128 of Title 23, U. S. Code-Highways and does hereby certify, in conformance with said Section 112 of Title 23, U. S. Code-Highways that the said Contractor has not, either directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of free competitive bidding in connection with the above contract."

The signatory to the proposal, being duly sworn, certifies that, EXCEPT AS NOTED BELOW, his/her company and any person associated therewith in the capacity of owner, partner, director, officer, or major stockholder (of five percent or more ownership):

1. Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any Federal agency,

2. Has not been suspended, debarred, voluntarily excluded, or determined ineligible by any Federal agency within the past three years,

3. Does not have a proposed debarment pending; and

4. Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three years.

EXCEPTIONS: The Contractor should list any relevant information, attaching additional sheets to the proposal if necessary. (Exceptions will not necessarily result in disapproval but will be considered in determining responsibility. For any exception noted, the Contractor should indicate to whom it applies, the initiating agency, and the dates of actions. Providing false information may result in criminal prosecution or administrative sanctions).

FEDERAL NON-COLLUSIVE BIDDING CERTIFICATION MUST BE INCLUDED IN EVERY BID

PROPOSAL REGARDLESS OF WHETHER NYSDOT SPECIFICATIONS OR LOCAL

SPECIFICATIONS ARE USED.

Appendix 12-1.5

REPORTING VIOLATIONS OF NON-COLLUSIVE BIDDING PROCEDURES,

MISCONDUCT OR OTHER PROHIBITED CONTRACT ACTIVITIES

US DEPARTMENT OF TRANSPORTATION

OFFICE OF INSPECTOR GENERAL - FRAUD, WASTE & ABUSE HOTLINE

The U.S. Department of Transportation (USDOT) Office of Inspector General (OIG) maintains a Hotline for receiving allegations of fraud, waste, abuse, or mismanagement in USDOT programs or operations.

Persons with knowledge of bid collusion (i.e., contractors, suppliers, work persons, etc.), or other questionable contract-related practices (inadequate materials, poor workmanship, theft of materials, etc.), are encouraged to report such activities by calling the Hotline at 1-800-424-9071, emailing hotline@oig.dot.gov, or writing to the USDOT Inspector General, 1200 New Jersey Ave SE, West Bldg.

7th Floor, Washington, DC 20590. Allegations may be reported 24 hours a day, seven days a week by DOT employees, contractors, or the general public.

NEW YORK STATE OFFICE OF THE INSPECTOR GENERAL HOTLINE

The New York State Office of the Inspector General maintains a Hotline for receiving allegations of governmental misconduct. Reports of New York State governmental misconduct may be made in strict confidence to the Toll-Free 24-hour Statewide HOTLINE at 1-800-DO RIGHT (1-800-367-4448), the online complaint form at www.ig.ny.gov or in writing to the New York State Office of the Inspector General, Empire State Plaza, Agency Building 2 - 16th Floor, Albany, New York 12223.

THIS PAGE MUST BE INCLUDED IN ALL FEDERAL AID CONTRACTS AND MUST BE INCLUDED

IN EACH BID PROPOSAL.

mailto:hotline@oig.dot.gov http://www.ig.ny.gov/

Appendix 12-1.6

GOALS FOR EQUAL EMPLOYMENT OPPORTUNITY (EEO) PARTICIPATION

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

GOALS FOR PARTICIPATION OF MINORITIES

COUNTY % COUNTY % COUNTY %

Albany 3.2 Herkimer 2.1 Richmond Table

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

Hamilton 2.6 Rensselaer 3.2

(45 FR 65976 – 10/3/1980)

GOALS FOR PARTICIPATION OF MINORITIES

BRONX, KINGS, NEW YORK, QUEENS, AND RICHMOND COUNTIES

Electricians 9.0 to 10.2 Bricklayers 13.4 to 15.5

Carpenters 27.6 to 32.0 Asbestos workers 22.8 to 28.0 Steam fitters 12.2 to 13.5 Roofers 6.3 to 7.5 Metal lathers 24.6 to 25.6 Iron workers (ornamental) 22.4 to 23.0 Painters 26.0 to 28.6 Cement masons 23.0 to 27.0 Operating engineers 25.6 to 26.0 Glaziers 16.0 to 20.0 Plumbers 12.0 to 14.5 Plasterers 15.8 to 18.0 Iron workers (structural) 25.9 to 32.0 Teamsters 22.0 to 22.5

Elevator constructors 5.5 to 6.5 Boilermakers 13.0 to 15.5 All others 16.4 to 17.5

(43 FR 14888 – 4/7/1978)

GOAL FOR PARTICIPATION OF WOMEN

The goal for the participation of women is 6.9%.

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

Appendix 12-1.7

FHWA-1273 – Revised October 23, 2023

REQUIRED CONTRACT PROVISIONS

FEDERAL-AID CONSTRUCTION CONTRACTS

I. General II. Nondiscrimination III. Non-segregated Facilities IV. Davis-Bacon and Related Act Provisions V. Contract Work Hours and Safety Standards Act Provisions VI. Subletting or Assigning the Contract VII. Safety: Accident Prevention VIII. False Statements Concerning Highway Projects IX. Implementation of Clean Air Act and Federal Water Pollution Control Act X. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion XI. Certification Regarding Use of Contract Funds for Lobbying XII. Use of United States-Flag Vessels:

ATTACHMENTS

A. Employment and Materials Preference for Appalachian Development Highway System or Appalachian Local Access Road Contracts (included in Appalachian contracts only)

I. GENERAL

1. Form FHWA-1273 must be physically incorporated in each construction contract funded under title 23, United States Code, as required in 23 CFR 633.102(b) (excluding emergency contracts solely intended for debris removal). The contractor (or subcontractor) must insert this form in each subcontract and further require its inclusion in all lower tier subcontracts (excluding purchase orders, rental agreements and other agreements for supplies or services). 23 CFR 633.102(e). The applicable requirements of Form FHWA-1273 are incorporated by reference for work done under any purchase order, rental agreement or agreement for other services. The prime contractor shall be responsible for compliance by any subcontractor, lower-tier subcontractor or service provider. 23 CFR 633.102(e).

Form FHWA-1273 must be included in all Federal-aid design-build contracts, in all subcontracts and in lower tier subcontracts (excluding subcontracts for design services, purchase orders, rental agreements and other agreements for supplies or services) in accordance with 23 CFR 633.102. The design-builder shall be responsible for compliance by any subcontractor, lower-tier subcontractor or service provider.

Contracting agencies may reference Form FHWA-1273 in solicitation-for-bids or request-for-proposals documents, however, the Form FHWA-1273 must be physically incorporated (not referenced) in all contracts, subcontracts and lower-tier subcontracts (excluding purchase orders, rental agreements and other agreements for supplies or services related to a construction contract). 23 CFR 633.102(b).

2. Subject to the applicability criteria noted in the following sections, these contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superintendence and to all work performed on the contract by piecework, station work, or by subcontract. 23 CFR 633.102(d).

3. A breach of any of the stipulations contained in these Required Contract Provisions may be sufficient grounds for withholding of progress payments, withholding of final payment, termination of the contract, suspension / debarment or any other action determined to be appropriate by the contracting agency and

FHWA.

4. Selection of Labor: During the performance of this contract, the contractor shall not use convict labor for any purpose within the limits of a construction project on a Federal-aid highway unless it is labor performed by convicts who are on parole, supervised release, or probation. 23 U.S.C. 114(b). The term Federal-aid highway does not include roadways functionally

Appendix 12-1.2 classified as local roads or rural minor collectors. 23 U.S.C. 101(a).

II. NONDISCRIMINATION (23 CFR 230.107(a);

23 CFR Part 230, Subpart A, Appendix A; EO 11246)

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

In addition, the contractor and all subcontractors must comply with the following policies: Executive Order 11246, 41 CFR Part 60, 29 CFR Parts 1625-1627, 23 U.S.C. 140, Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.), and related regulations including 49 CFR Parts 21, 26, and 27; and 23 CFR Parts 200, 230, and 633.

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

Note: The U.S. Department of Labor has exclusive authority to determine compliance with Executive Order 11246 and the policies of the Secretary of Labor including 41 CFR Part 60, and 29 CFR Parts 1625-1627. The contracting agency and the FHWA have the authority and the responsibility to ensure compliance with 23 U.S.C. 140, Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), and Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.), and related regulations including 49 CFR Parts 21, 26, and 27; and 23 CFR Parts 200, 230, and 633.

The following provision is adopted from 23 CFR Part 230, Subpart A, Appendix A, with appropriate revisions to conform to the U.S.

Department of Labor (US DOL) and FHWA requirements.

1. Equal Employment Opportunity: Equal Employment Opportunity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (see 28 CFR Part 35, 29 CFR Part 1630, 29 CFR Parts 1625-1627, 41 CFR Part 60 and 49 CFR Part 27) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140, shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract. The provisions of the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR Part 35 and 29 CFR Part 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO:

a. The contractor will work with the contracting agency and the Federal Government to ensure that it has made every good faith effort to provide equal opportunity with respect to all of its terms and conditions of employment and in their review of activities under the contract. 23 CFR 230.409 (g)(4) & (5).

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

"It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, sexual orientation, gender identity, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination;

rates of pay or other forms of compensation;

and selection for training, including apprenticeship, pre-apprenticeship, and/or on-the-job training."

2. EEO Officer: The contractor will designate and make known to the contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active EEO

Appendix 12-1.3 program and who must be assigned adequate authority and responsibility to do so.

3. Dissemination of Policy: All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action or are substantially involved in such action, will be made fully cognizant of and will implement the contractor's EEO policy and contractual responsibilities to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum:

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

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

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

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

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

4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such advertisements will be placed in publications having a large circulation among minorities and women in the area from which the project work force would normally be derived.

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

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

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

5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age or disability. The following procedures shall be followed:

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

b. The contractor will periodically evaluate the spread of wages paid within each classification

Appendix 12-1.4 to determine any evidence of discriminatory wage practices.

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

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

6. Training and Promotion:

a. The contractor will assist in locating, qualifying, and increasing the skills of minorities and women who are 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. 23 CFR

230.409. 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, sexual orientation, gender identity, 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, sexual orientation, gender identity, 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

Appendix 12-1.5

(even though it is obligated to provide exclusive referrals under the terms of a collective bargaining agreement) does not relieve the contractor from the…