MEXIS_APP.BC_CONST_NOTICE_ADMIN (1).pdf

PROPOSAL

D265864

F.A. PROJECT

Book 2 of 2

Submitted in accordance with the Highway Law and with the Standard Specifications and Standard Sheets officially finalized and adopted on September 1, 2026 as posted on the Department's website.

US CUSTOMARY UNITS

Proposal Description:

DRAINAGE REPAIR & PAVEMENT

RESURFACING - NY-5, Town of Colonie.

Letting of 10/29/2026 @ 10:30 A.M.

50 Wolf Road, Albany, NY 12232

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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.dot.ny.gov/doing-business/opportunities/const-highway, Contract Documents at: www.dot.ny.gov/doing-business/opportunities/const-notices, and Letting Results at: www.dot.ny.gov/doing-business/opportunities/const-results.

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

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

Project-related technical questions or comments must be submitted through the NYSDOT website at:

www.dot.ny.gov/doing-business/opportunities/const-notices.

All other questions should be submitted through the website or directed to the Assistant Director/

Director of the Office of Contract Management, (518) 457-2124.

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 Office of Construction 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 NYS Department of Transportation, in the sum of the amount shown on the proposal title page. Bonds must be on form CONR 391. Electronic bids must include an electronic bid bond.

D265864 https://www.dot.ny.gov/main/business-center/engineering/specifications/busi-e-standards-usc http://www.dot.ny.gov/doing-business/opportunities/const-highway http://www.dot.ny.gov/doing-business/opportunities/const-notices http://www.dot.ny.gov/doing-business/opportunities/const-results http://www.dot.ny.gov/doing-business/opportunities/const-notices http://www.dol.ny.gov/public-work-contractor-and-subcontractor-registry-landing

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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.dot.ny.gov/doing-business/opportunities/const-notices.

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 through Bid Express or in a Sealed Envelope (a.k.a., a Paper Bid).

For a Paper Bid, the Sealed Envelope should be prominently labeled “BID ENCLOSED”, with the Contractor Name, Address, Federal Identification Number, Contract D#/ Project Identification

Number (PIN) and Project Description on the envelope.

Paper Bid submittals must be addressed to NYSDOT, Office of Contract Management, 50 Wolf

Road, First Floor, Suite 1CM, Albany NY 12232 and delivered prior to the proposal due date and time, during normal business hours (Monday through Friday, 7:00 am to 4:00 pm).

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 (518) 457-2124 if a reasonable accommodation is needed to participate in the Letting.

D265864 https://esd.ny.gov/doing-business-ny/new-york-state-surety-bond-assistance-program mailto:BAP@esd.ny.gov http://www.dot.ny.gov/doing-business/opportunities/const-notices http://www.dot.ny.gov/bids-and-lettings/construction-contractors/general-info

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REQUIRED CONTRACT PROVISIONS

EEO Goals

DBE/ MBE /WBE/SDVOB Goals

Form CONR 9

Electronic Bidding

Federal Aid Contract Provisions

Insurance Coverage

List of Additional Insured

Railroad Insurance

New York State Uniform Contracting Questionnaire

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

D265864 27

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NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL

EMPLOYMENT OPPORTUNITY (EXECTIVE ORDER 11246)

1. The Bidder’s attention is called to the “Equal Opportunity Clause” and “Standard Federal Equal Employment Specifications” set forth herein. The Contractor shall also follow the requirements of §102-11 Equal Employment Opportunity Requirements.

2. The goals and timetables for minority and female participation, expressed in percentage terms for the Contractor’s aggregate workforce in each trade on all construction work in the covered area, which is the county or counties in which the work is located, are as follows:

GOALS FOR PARTICIPATION OF MINORITIES

COUNTY % COUNTY % COUNTY %

Albany 3.2 Herkimer 2.1 Richmond Table

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

Hamilton 2.6 Rensselaer 3.2

(45 FR 65976 – 10/3/1980)

GOALS FOR PARTICIPATION OF MINORITIES

BRONX, KINGS, NEW YORK, QUEENS AND RICHMOND COUNTIES

Electricians 9.0 to 10.2 Bricklayers 13.4 to 15.5

Carpenters 27.6 to 32.0 Asbestos workers 22.8 to 28.0

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

Elevator constructors 5.5 to 6.5 Boilermakers 13.0 to 15.5

All others 16.4 to 17.5

GOAL FOR PARTICIPATION OF WOMEN

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

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These goals are applicable to all the Contractor's construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the Contractor performs construction work in a geographical area located outside of New York State, it shall apply the goals established for the geographical area where the work is actually performed. With regard to this second area, the Contractor is subject to the goals for both its federally involved and non-federally involved construction.

The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-4.3(a), and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor's goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed.

3. The Contractor shall provide written notification to the Director of the Office of Federal Contract Compliance Programs within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address, and telephone number of the subcontractor; employer identification number of the subcontractor; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the subcontract is to be performed.

4. As used in this Notice, and in the contract resulting from this solicitation, the “covered area” is described on the Project Title Sheet located in the Contract Proposal.

D265864 29 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.ecfr.gov%2Fcurrent%2Ftitle-41%2Fpart-60-4&data=05%7C01%7CErica.Gundrum%40dot.ny.gov%7Cf178ce0c498b4f9d647808dae3952e99%7Cf46cb8ea79004d108ceb80e8c1c81ee7%7C0%7C0%7C638072527110257055%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=LB74SvETbNgRz4yzBwI6zw%2FLzCzXAP1ZsskTXFEdEcY%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.ecfr.gov%2Fcurrent%2Ftitle-41%2Fsection-60-4.3%23p-60-4.3(a)&data=05%7C01%7CErica.Gundrum%40dot.ny.gov%7Cf178ce0c498b4f9d647808dae3952e99%7Cf46cb8ea79004d108ceb80e8c1c81ee7%7C0%7C0%7C638072527110257055%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=ZGKeAfwMKsE5Kv6JJ2RyHRidmjwvjclnxdEcuCCJ1RU%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.ecfr.gov%2Fcurrent%2Ftitle-41%2Fpart-60-4&data=05%7C01%7CErica.Gundrum%40dot.ny.gov%7Cf178ce0c498b4f9d647808dae3952e99%7Cf46cb8ea79004d108ceb80e8c1c81ee7%7C0%7C0%7C638072527110257055%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=LB74SvETbNgRz4yzBwI6zw%2FLzCzXAP1ZsskTXFEdEcY%3D&reserved=0

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DBE/MBE/WBE/SDVOB PARTICIPATION GOALS

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

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

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

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

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

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

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

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

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

D26586430 https://nysucp.newnycontracts.com/ https://ny.newnycontracts.com/ https://online.ogs.ny.gov/SDVOB/search

Project PIN: D265864

DETAILS

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Digital

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Not Provided 1 Required for all projects 3R and above 2 Required for all projects 3 Required for all new, replacement and superstructure replacement projects 4 File is available upon request from plansales@dot.ny.gov

12. BRIDGE INFORMATION3

The information listed as “Digital” on this form is available at the Contract Documents tab within the Construction Contracting section of the Business Center on the Department’s web site. The information listed as “Inspection Only” on this form is available at the Regional

Office having jurisdiction for this project, as identified in the advertisement for bids, for inspection and review prior to the letting date. The bidder’s signature on this proposal certifies that they have made themselves aware of the availability of the information indicated below:

5. UNSEALED LAYERED PDF or 3D PDF

6. CROSS SECTIONS

D265864_R01_DAD.pdf Design Approval Document

D265864_R01_Survey Ctrl Rpt.pdf

10. ANTICIPATED CONSTRUCTION SCHEDULE

11. SPECIAL REPORTS OR OTHER INFORMATION

Survey Control Report

D265864_R01_Drainage Inspection Reports_3.pdf Drainage Structure Inspection Reports volume 3 of 4

D265864_R01_Drainage Inspection Reports_2.pdf Drainage Structure Inspection Reports volume 2 of 4

D265864_R01_Drainage Inspection Reports_1.pdf Drainage Structure Inspection Reports volume 1 of 4

D265864_R01_Record Plans_D256829.pdf Record Plans for D256829 1995

D265864_R01_Record Plans_D252693.pdf Record Plans for D252693 1989

SUPPLEMENTAL INFORMATION AVAILABLE TO BIDDERS

Project Description:

https://www.dot.ny.gov/doing-business/opportunities/const-notices/

Rt.5 Central Ave Draiange Repair and Resurfacing, Part 1

103426

DESCRIPTIONFILE NAME (Including File Format)

Per HDM section 21.8 all supplemental information files should begin with the project identification number (PIN)

Contract Number:

SUPPLEMENTAL INFORMATION IS AVAILABLE FOR THIS CONTRACT

7. RECORD PLANS

103426_est_hwy_comp_sheets_rdwy.xlsm Highway Estimate Computation Sheets - Roadway

4. QUANTITY WORKUPS 2

3. CADD ALIGNMENTS 1

1. CADD DRAWINGS

2. CADD SURFACES 1

9. SUBSURFACE INFORMATION

103426_est_hwy_comp_sheets_drng.xlsx Highway Estimate Computation Sheets - Drainage

8. SIGN FACE LAYOUTS

103426_est_hwy_comp_sheets_pvmnt_strpng.xlsm Highway Estimate Computation Sheets - Pavement Striping

D265864_R01_Record Plans_D253635.pdf Record Plans for D253635 1990

103426_RPT_SURVEY_CONTROL.pdf Survery Control

103426_RPT_PROFILES_STREETS.pdf Street Profiles

103426_RPT_HORIZONTAL.pdf Horizontal Curb Alignment

103426_est_hwy_comp_sheets_CDTA.xlsm Highway Estimate Computation Sheets-CDTA Bus

D265864_R01_Drainage Inspection Reports_4.pdf Drainage Structure Inspection Reports volume 4 of 4

CONR9 REV 8/5/22 Page 1 D265864_R01_CONR9.xlsm

D265864 31

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NYSDOT ELECTRONIC BIDDING

AASHTOWARE PROJECT BIDS AND BID EXPRESS

ELECTRONIC BIDDING RESOURCES:

• PROJECT BIDS - Project Bids allows bidders to receive electronic proposal bid item information from the Department's web site and Bid Express to produce an electronic bid.

Project Bids is provided free of charge and can be used on almost any Windows-compatible PC.

Benefits may include:

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

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

o When an amended item bid data is downloaded, recognition of changes is automatic.

o Electronic bids are processed faster than paper bids, decreasing the time needed for verification of bids by NYSDOT.

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

Benefits may include:

o Real-time bid submittal from any location.

o No concerns about driving bids to Albany or mail services arriving after the deadline.

o The ability to submit a "safety bid" early while continuing to solicit better quotes from subs and suppliers and to overwrite the safety bid with a new bid right up to the submission deadline.

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

o The ability to solicit and receive quotes from subcontractors through the Small Business Network on Bid Express.

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

ALL ELECTRONIC BIDDERS SHOULD:

• Enter prices for all bid items in the Schedule of Items.

• Enter DBE Participation Package and upload required documents (Federal-Aid contracts).

• Enter days for the B portion(s) of A + B bids on the A+B Days tab (if applicable).

• Enter the required info in the JURAT and Disclosure of Lobbying Activity folders.

• Complete the Contract Document Bid-Ability Survey (optional).

• Enter the required info in the Bid Bond folder if submitting a bid through Bid Express and click

Verify to verify the bid bond.

All bids submitted through Bid Express should be 100% complete as noted at the top of the page and all required tabs marked with a green check showing completion. Submitting a bid that is less than 100% complete through Bid Express could lead to the bid being declared informal.

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FIRST TIME ELECTRONIC BIDDERS SHOULD:

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

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

• Enter the Agency as NYSDOT.

• Use the appropriate Federal-ID and firm name. Federal-ID must be in the format 12-3456789.

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

PAPER BID DOCUMENTS:

• NYSDOT recommends and encourages contractors to bid electronically with Bid Express because of its many advantages, but contractors are not required to bid electronically.

• If NYSDOT receives both a Bid Express bid and a paper bid from the same contractor, the Bid Express bid will prevail.

• Bidders who do not use Bid Express are encouraged to submit an electronic bid file on a flash drive with their paper bid.

• NYSDOT will not accept electronic bids on any media without a paper bid.

• If there is any discrepancy between an electronic file submitted with the paper bid and the paper bid, the paper bid will prevail.

• When submitting an electronic bid file with your paper bid, include only one .EBSX (Project

Bids) file on the flash drive. This should be the only file on the flash drive.

AMENDMENTS:

Contractors are solely responsible for recognizing and responding to changes by amendment. Not all amendments will involve changes to item bid data, however, if an amendment involves changes to item bid data, an amended Project Bids file will be posted to the Department's website and to Bid Express. This file must be applied to your electronic bid.

If there is any discrepancy in the itemized proposals published in paper and electronic formats, in either the contract pay items or quantities, the Department will evaluate the bids based only on that portion that is common to all formats. For example, if an item is missing from any format, the bids will be evaluated excluding that item and if item quantities are different in any format, the bids will be evaluated using the lowest item quantity.

Please notify the Department through the Contract Documents/Contact Us tab for that project, located at https://www.dot.ny.gov/portal/page/portal/doing-business/opportunities/const-notices, if you find any such discrepancies.

FOR ASSISTANCE:

• NYSDOT 518-457-2124 or 518-457-3583

• Bid Express Help Desk (888) 352-2439 or (352) 381-4888

• Third-party Software - Contact the vendor of the software. The Department is neither authorized nor able to assist with any software package.

D265864 33 https://www.dot.ny.gov/bids-and-lettings/construction-contractors/electronic-bid-system https://www.dot.ny.gov/portal/page/portal/doing-business/opportunities/const-notices

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 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.

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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 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 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

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D265864 35 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 (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 thereunder. 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, sexual orientation, gender identity, 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, 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. Assurances Required:

a. The requirements of 49 CFR Part 26 and the State DOT’s FHWA-approved Disadvantaged Business Enterprise (DBE) program are incorporated by reference.

b. The contractor, subrecipient 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 recipient deems appropriate, which may include, but is not limited to:

(1) Withholding monthly progress payments;

(2) Assessing sanctions;

(3) Liquidated damages; and/or

(4) Disqualifying the contractor from future bidding as non-responsible.

c. The Title VI and nondiscrimination provisions of U.S.

DOT Order 1050.2A at Appendixes A and E are incorporated by reference. 49 CFR Part 21.

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:

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(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 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 more than $10,000. 41 CFR 60-1.5.

As prescribed by 41 CFR 60-1.8, 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, sexual orientation, gender identity, 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), in accordance with 29 CFR 5.5. The requirements apply to all projects located within the right-of-way of a roadway that is functionally classified as Federal-aid highway. 23 U.S.C. 113.

This excludes roadways functionally classified as local roads or rural minor collectors, which are exempt. 23 U.S.C. 101.

Where applicable law requires that projects be treated as a project on a Federal-aid highway, the provisions of this subpart will apply regardless of the location of the project. Examples include: Surface Transportation Block Grant Program projects funded under 23 U.S.C. 133 [excluding recreational trails projects], the Nationally Significant Freight and Highway

Projects funded under 23 U.S.C. 117, and National Highway Freight Program projects funded under 23 U.S.C. 167.

The following provisions are from the U.S. Department of Labor regulations in 29 CFR 5.5 “Contract provisions and related matters” with minor revisions to conform to the FHWA- 1273 format and FHWA program requirements.

1. Minimum wages (29 CFR 5.5)

a. Wage rates and fringe benefits. All laborers and mechanics employed or working upon the site of the work (or otherwise working in construction or development of the project under a development statute), 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 basic hourly 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. As provided in paragraphs (d) and (e) of 29 CFR 5.5, the appropriate wage determinations are effective by operation of law even if they have not been attached to the contract. Contributions made or costs reasonably anticipated for bona fide fringe benefits under the Davis-Bacon Act (40 U.S.C. 3141(2)(B)) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph 1.e. 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 must be paid the appropriate wage rate and fringe benefits on the wage determination for the classification(s) of work actually performed, without regard to skill, except as provided in paragraph 4. of this section. 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 classifications and wage rates conformed under paragraph 1.c. of this section) and the Davis-Bacon poster (WH–1321) must 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. Frequently recurring classifications. (1) In addition to wage and fringe benefit rates that have been determined to be prevailing under the procedures set forth in 29 CFR part 1, a wage determination may contain, pursuant to § 1.3(f), wage and fringe benefit rates for classifications of laborers and mechanics for which conformance requests are regularly submitted pursuant to paragraph 1.c. of this section, provided that:

(i) The work performed by the classification is not performed by a classification in the wage determination for which a prevailing wage rate has been determined;

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(ii) The classification is used in the area by the construction industry; and

(iii) The wage rate for the classification bears a reasonable relationship to the prevailing wage rates contained in the wage determination.

(2) The Administrator will establish wage rates for such classifications in accordance with paragraph 1.c.(1)(iii) of this section. Work performed in such a classification must be paid at no less than the wage and fringe benefit rate listed on the wage determination for such classification.

c. Conformance. (1) The contracting officer must 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 be classified in conformance with the wage determination. Conformance of an additional classification and wage rate and fringe benefits is appropriate 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 used 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) The conformance process may not be used to split, subdivide, or otherwise avoid application of classifications listed in the wage determination.

(3) 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 will be sent by the contracting officer by email to DBAconformance@dol.gov.