PIN 876285_Proposal Book_OCT 2026.pdf

US CUSTOMARY UNITS

PIN: 8762.85

Contract ID# D040861

Town Contract Number:

ED2026.02

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:

NYS Route 52 Pedestrian and Intersection Improvements Town of East Fishkill, Dutchess County

Letting Time and Date:

12:00 P.M. local time on November 13, 2026

Letting Location:

East Fishkill Town Hall at Clerk’s Office 330 Route 376 Hopewell Junction, NY 12533

BOOK 1 OF 1

TABLE OF CONTENTS

PROPOSAL SECTION PAGE NO.

IMPORTANT BIDDER INFORMATION 3

SPONSOR ADVERTISEMENT 5

PROJECT TITLE SHEET (With Uniform Contracting Questionnaire Note) 9

SECTION 1 - CONTRACTOR’S BID PACKAGE CONTENTS 10

• APPENDIX 12-1 and APPENDIX 12-1A 12 o Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion 15 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 (2 CFR 1200) 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 June 25, 2026) 21 o Non-Collusive Bidding Certification – Bidder Information 36 o Offeror Disclosure of Prior Non-Responsibility Determinations 37 o Combined Certification Form – By Executing this Document 38

• BID BOND 40

• ESTIMATE OF QUANTITIES 43

• BID FORM 45

• ITEMIZED PROPOSAL 48

SECTION 2 - REQUIRED CONTRACT PROVISIONS 75

• DBE/MBE/WBE/SDVOB GOALS 76

• EQUAL EMPLOYMENT OPPORTUNITY (EEO) GOALS 77

• STANDARD CLAUSES FOR ALL NEW YORK STATE CONTRACTS 78

• SUPPLEMENTAL TITLE VI PROVISIONS – Appendix A-1 85

SECTION 3 - SUPPLEMENTAL INFORMATION 86

• CONR 9 - Supplemental Information Available to Bidders 87

• Quantity workups 88

• Permits 201

• Earthwork Summary Sheets 469

SECTION 4 – SPECIAL NOTES 471

SECTION 5 – SPECIAL SPECIFICATIONS 494

SECTION 6 – PREVAILING WAGE RATES 535

SECTION 7 - SPONSOR CONTRACT AGREEMENT 647

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.

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 Brendan Fitzgerald, P.E.at:

Bfitzgerald@hveapc.com All other questions should be submitted to the Town of East Fishkill Town Engineer, (845) 221-2428.

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).

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 East Fishkill, 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 http://www.dot.ny.gov/main/business-center/engineering/specifications/busi-e-standards-usc mailto:Bfitzgerald@hveapc.com http://www.dol.ny.gov/public-work-contractor-and-subcontractor-registry-landing

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).

The Sealed Envelope should be prominently labeled “BID ENCLOSED: RT 52 Pedestrian and Intersection Improvements”, with the Contractor Name, Address, Federal Identification Number and Project Identification Number (PIN) on the envelope.

Paper Bid submittals must be addressed to Town of East Fishkill, 330 Route 376, Hopewell Junction, NY 12533 and delivered prior to the proposal due date and time, during normal business hours (Monday through Friday, 8:00 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 the Town at (845) 221-2428 if a reasonable accommodation is needed to participate in the Letting.

0790 2 of 2 Per Contract Management

05/01/25 mailto:BAP@esd.ny.gov http://www.dot.ny.gov/bids-and-lettings/construction-contractors/general-info

Revised May 2025

Appendix 14-8: Notice to Bidders – Advertisement of Bid

Appendix 14-8: Notice to Bidders – Advertisement of Bid

Notice is hereby given that the Town of East Fishkill will accept sealed bids for:

RT 52 Pedestrian and Intersection Improvements

PIN 8762.85

Contract ID# D040861 Town Contract Number: ED2026.02

The Owner is the Town of East Fishkill and the work site is located in the Town of East Fishkill. The projects limits extend from: Corporate Park Drive on the west end extending eastward to approximately 350’ east of the entrance to John Jay High School. Improvements will occur intermittently on both sides NYS Route 52 closing gaps in the existing sidewalk network.

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: Concrete sidewalks and concrete curbing on both sides of NYS Route 52 filling gaps in the existing sidewalk network. Work also includes a culvert extension, drainage improvements, pedestrian lighting, signage, striping and new and replacement crosswalks. Additionally, traffic calming measures in the form of curbed islands along Route 52 will also be installed.

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 Town Clerk’s Office at the East Fishkill Town Hall: 330 Route 376 in Hopewell Junction between the hours of 8:00 a.m. and 4:00 p.m. Monday through Friday. Contract documents are also available at the New York State Contract Reporter website:

www.nyscr.ny.gov.

No questions or inquiries regarding this bid will be accepted within five (5) business days prior to the bid opening.

https://ebo.dot.ny.gov/ http://www.nyscr.ny.gov/

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 notification of Addenda and any other Bid correspondence. Bids received from Contractors other than those on the official Plan Holders List will not be accepted.

Notification of Addenda will be emailed from HVEA Engineers to Bidders listed on the official Plan Holders List. Addenda will be made available on the New York State Contract Reporter website:

www.nyscr.ny.gov. An emailed response from the Bidder to the notification of Addenda 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 the Bid Form and the Acknowledgement of Receipt of Addenda. Failure of any Bidder to receive any such Addendum or interpretation shall not relieve 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 Brendan Fitzgerald, P.E., HVEA Engineers either through email at: bfitzgerald@hveapc.com or by telephone at 845-838-3600.

Bidders shall promptly notify Brendan Fitzgerald of any errors, omissions, conflicts or ambiguity within the Contract Documents within 5 days of bid opening.

****PROSPECTIVE BIDDERS SHALL NOTE THE FOLLOWING****

The bid proposal includes three Bid Alternates. Bid Alternate No. 1, No. 2 and No. 3 are “add items”.

Specifically, the award will be based on the following:

• The price of the Base Bid plus the price of Bid Alternate No. 1 will be used to determine the low bidder and will be the basis for the award; however,

• If all the bids for the Base Bid plus Bid Alternate No. 1 exceed the budgeted construction amount, the Base Bid plus Bid Alternate No. 2 will be used to determine the low bidder and will be the basis for the award; however,

• If all the bids for the Base Bid plus Bid Alternate No. 2 exceed the budgeted construction amount, the Base Bid plus Bid Alternate No. 3 will be used to determine the low bidder and will be the basis for the award; however,

• If all the bids for the Base Bid plus Bid Alternate No. 3 exceed the budgeted construction amount, the Base Bid will be used to determine the low bidder and will be the basis for the award.

The budgeted construction amount will be announced before any bids are opened.

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 contract. No bidder may withdraw his/her bid within forty-five (45) calendar days after the actual date of the opening thereof.

http://www.nyscr.ny.gov/

Revised May 2025 Appendix 14-8: Notice to Bidders –

Each bid must be accompanied by security in an amount not less than five percent (5%) of the amount of the bid (Base Bid plus Bid Alternate No. 1) in the form and subject to the conditions provided in the Important Bidder Information.

Bids to be considered must be received in a sealed envelope at Town of East Fishkill Town Clerk’s Office, 330 Route 376, Hopewell Junction, NY 12533 by 12:00 p.m., local time, on November 13th at which time they will be publicly opened and read aloud in the Town Clerk’s Office. Bids received after the above noted time will not be accepted. All sealed envelopes should be clearly labeled “BID ENCLOSED: RT 52 PEDESTRIAN AND INTERSECTION IMPROVEMENTS”, with the Contractor name, address, federal identification number and Project Identification Number (PIN) on the envelope.

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 instructions 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 prevailing wage rates on this contract.

The Town of East Fishkill 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 East Fishkill Town Board before any award of contract may be made. Receipt of bids by the Town of East Fishkill shall not be construed as authority to bind the Town of East Fishkill.

The work will be substantially completed by September 3, 2027 and completed and ready for final payment on December 31, 2027. Substantial completion includes all curbing, islands and sidewalks.

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.

https://www.osc.state.ny.us/state-vendors/vendrep/vendor-responsibility-forms?redirect=legacy#Construction https://www.osc.state.ny.us/state-vendors/vendrep/vendor-responsibility-forms?redirect=legacy#Construction

Owners Contact (Town of East Fishkill) Engineer’s Contact (HVEA Engineers) Scott Bryant, P.E. Brendan Fitzgerald, P.E.

Town Engineer Project Manager 330 Route 376 560 Route 52, Suite 201 Hopewell Junction, NY 12533 Beacon, NY 12508

(845) 221-2428 (845) 838-3600 bryants@eastfishkillny.gov bfitzgerald@hveapc.com mailto:bryants@eastfishkillny.gov mailto:bfitzgerald@hveapc.com

PROJECT TITLE SHEET

Town of East Fishkill New York

PIN: 8762.85

Contract ID# D040861 Town Contract Number: ED2026.02

COUNTY(IES): Dutchess

FEDERAL AID PROJECT

Proposal Description: NYS Route 52 Pedestrian and Intersection Improvements Town of East Fishkill, Dutchess County

Deposit Required: 5% of bid (Base Bid plus Bid Alternate No. 1), as a certified check, or a Bid Bond

Substantial Completion Date: September 3, 2027

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: Brendan Fitzgerald, bfitzgerald@hveapc.com

Addenda to Bid Documents: Addenda to the Bid Documents will be posted to the New York State Contract Reporter website: www.nyscr.ny.gov. Notification of Addenda will be emailed from HVEA to Bidders listed on the official Plan Holders List.

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 dated 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.

mailto:bfitzgerald@hveapc.com http://www.nyscr.ny.gov/ https://www.dot.ny.gov/bids-and-lettings/construction-contractors/%20general-info https://www.dot.ny.gov/bids-and-lettings/construction-contractors/%20general-info

Section 1

RETURN WITH PROPOSAL SUBMISSION

APPENDIX 12-1

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND

VOLUNTARY EXCLUSION

CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING

FALSE CLAIMS CERTIFICATION

NON-COLLUSIVE BIDDING CERTIFICATION (SFL/GML)

NON-COLLUSIVE BIDDING CERTIFICATION (2 CFR 1200)

REPORTING VIOLATIONS OF NON-COLLUSIVE BIDDING PROCEDURES

NEW YORK STATE OFFICE OF THE INSPECTOR GENERAL HOTLINE

GOALS FOR EQUAL EMPLOYMENT OPPORTUNITY (EEO) PARTICIPATION

REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACT

(FHWA-1273)

APPENDIX 12-1A

NON-COLLUSIVE BIDDING CERTIFICATION – BIDDER INFORMATION

OFFERER DISCLOSURE OF PRIOR NON-RESPONSIBILITY DETERMINATIONS

COMBINED CERTIFICATION FORM

BIDDER’S LIST (APPENDIX 12-11 CONR 80LL (see link below) https://www.dot.ny.gov/main/business-center/contractors/construction-division/construction-repository/Form%20CONR%2080LL%20- %20Bidders%20List%20for%20Local%20Let%20Program%20Use%20Only.xlsx

BID DEPOSIT

BID FORM AND ITEMIZED PROPOSAL ALONG WITH BID SHEETS

https://www.dot.ny.gov/main/business-center/contractors/construction-division/construction-repository/Form%20CONR%2080LL%20-%20Bidders%20List%20for%20Local%20Let%20Program%20Use%20Only.xlsx https://www.dot.ny.gov/main/business-center/contractors/construction-division/construction-repository/Form%20CONR%2080LL%20-%20Bidders%20List%20for%20Local%20Let%20Program%20Use%20Only.xlsx https://www.dot.ny.gov/main/business-center/contractors/construction-division/construction-repository/Form%20CONR%2080LL%20-%20Bidders%20List%20for%20Local%20Let%20Program%20Use%20Only.xlsx

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.

FHWA-1273 – Revised June 25, 2026

CONTRACT PROVISIONS FOR

FEDERAL-AID CONSTRUCTION CONTRACTS

I. General II. Nondiscrimination III. Davis-Bacon and Related Act Provisions IV. Contract Work Hours and Safety Standards Act

Provisions V. Subletting or Assigning the Contract VI. Safety: Accident Prevention VII. False Statements Concerning Highway Projects VIII. Implementation of Clean Air Act and Federal Water

Pollution Control Act IX. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion X. Certification Regarding Use of Contract Funds for

Lobbying XI. 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. Historically, contracting agencies using Federal-aid highway funds were required to ensure Form FHWA-1273 was physically incorporated into all contracts and subcontracts.

Effective June 10, 2026, this requirement was eliminated [91 FR 25492]. Future use of Form FHWA-1273 is now optional on the part of the contracting agency using Federal-aid highway funds. FHWA continues to make Form FHWA-1273 available as a convenience to contracting agencies. Contracting agencies must continue to ensure compliance with the provisions cited in Form FHWA-1273 in accordance with the provisions regardless of the use of Form FHWA-1273.

Accordingly, the contracting agency retains the authority to determine whether the contractor must use Form FHWA-1273 to physically incorporate required contract provisions in each subcontract and in lower tier contracts. Where permitted by the contracting agency, the contractor may choose other ways to include required contract provisions in each subcontract, besides incorporating Form FHWA-1273. Contract provisions in Form FHWA-1273 are not required to be physically included in subcontracts for design services on Federal-aid design-build contracts, or in purchase orders, rental agreements and other agreements for supplies or services.

The applicable provisions 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 or 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.

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.

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

The contractor and all subcontractors must comply with the following policies: 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, including any amendments thereto.

Note: The U.S. Department of Labor has exclusive authority to determine compliance with 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, including any amendments thereto.

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.

1. Assurances Required:

a. The requirements of 49 CFR Part 26, including any amendments thereto, 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, including any amendments thereto, 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, including any amendments thereto, are incorporated by reference. 49 CFR Part 21.

III. 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;

(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. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30–day period that additional time is necessary.

(4) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer will, by email to DBAconformance@dol.gov, refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30–day period that additional time is necessary.

(5) The contracting officer must promptly notify the contractor of the action taken by the Wage and Hour Division under paragraphs 1.c.(3) and (4) of this section. The contractor must furnish a written copy of such determination to each affected worker or it must be posted as a part of the wage determination. The wage rate (including fringe benefits where appropriate) determined pursuant to paragraph 1.c.(3) or (4) of this section must be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification.

d. Fringe benefits not expressed as an hourly rate.

Whenever…