i-390 interchange improvements design-build …...dec 03, 2014 · i-390 interchange improvements...

I-390 INTERCHANGE IMPROVEMENTS

DESIGN-BUILD PROJECT

PIN 4390.59, Contract D900018

Request for Proposals

Addendum #1

December 3, 2014

New York State Department of Transportation

I-390 Interchange Improvements 1 Request for Proposals Addendum #1PIN 4390.59, Contract D900018 December 3, 2014

Modification to the Request for Proposals

I-390 Interchange Improvements

Design-Build Project

PIN 4390.59, Contract D900018

General Instructions

Delete Page 6 of the Instructions to Proposers, General Instructions, and substitute the attachedPage 6.

Delete Form R – Summary of Individual’s Experience and Form RFC – Request for Change, ofthe Instructions to Proposers, Appendix E, and substitute the attached revised Form R–Summary of Individual’s Experience and Form RFC – Request for Change.

Delete Pages i, 1 and 2 of the DB Contract Documents, Part 1, DB Agreement, and substitutethe attached revised Pages i. 1 and 2.

Delete Pages 38, 137, 160, 165, 169-170, and 227of the DB Contract Documents, Part 2, DBSection 100, and substitute the attached revised Pages 38, 137, 160, 165, 169-170, and 227.

Delete Pages 23, 39, 73, and 84 of the DB Contract Documents, Part 3, Project Requirements,and substitute the attached revised Pages 23, 39, 73, and 84.

Delete Appendix C to the DB Contract Documents, Part 4, Utility Requirements in its entirety,and substitute the attached revised Appendix C.

No other provision of the solicitation is otherwise changed or modified.

Note that, with the exception of Form R and Form RFC, Proposers may utilize either the FinalRFP or the Addendum #1 version of the editable forms. For Form R and Form RFC, only theAddendum #1 version of the editable form shall be utilized.


I-390 Interchange Improvements Instructions to Proposers-General InstructionsPIN No. 4390.59, Contract No. D900018 6 Addendum #1 December 3, 2014

the Design-Builder prior to preparing their Technical Proposals and Price Proposals, and ifselected, execution of their responsibilities within the Project’s Quality Control Program.See Contract Documents, Part 2, DB §§111, 112 and 113 for terms and conditions regardingthe requirements, responsibilities and roles relating to QA/QC.1.15 CHANGES TO THE PROPOSER’S ORGANIZATIONProposers are encouraged to propose the most experienced and qualified teams.In order for a Proposer to remain qualified to submit a Proposal, unless otherwise approved inwriting by the Department, the Proposer’s organization, including Principal Participants and KeyPersonnel identified in the Proposer’s SOQ, must remain intact for the duration of theprocurement process and the subsequent Contract.A Proposer may propose substitutions for Project participants. Such changes require writtenapproval by the Department. Requests for changes must be made using Form RFC, and shallbe submitted along with and a completed Form R – Summary of Individual’s Experience, theinformation specified in the RFQ for that Key Personnel position, including a resume and anarrative (max one page) justifying why the proposed Key Personnel change is beingrequested. The request for Key Personnel change shall be submitted to the Department’sDesignated Representative no later than the date shown in ITP Appendix A, Section A5.1.Requests by Proposers for changes in any Principal Participant will be particularly scrutinized.In any event, the Proposer shall promptly notify the Department’s Designated Representative ifany Key Personnel leaves the Proposer’s team.To request the Department’s approval for a change to the organization, the Proposer shallsubmit with its request that information specified for a Principal Participant in the RFQ, includinglegal and financial data as well as the information for quality evaluation. If a request is made toallow deletion or replacement of a Principal Participant, the Proposer shall submit suchinformation as may be required by the Department to demonstrate that the changed team meetsthe criteria stated in the RFQ (pass/fail criteria and quality criteria). If a request is made tochange any Key Personnel, the Proposer shall submit with its request the information specifiedfor that Key Personnel in the RFQ, including a resume, and a narrative (max one page)justifying why the proposed Key Personnel change is being requested. In any event, theProposer shall promptly notify the Department’s Designated Representative if any KeyPersonnel leaves the Proposer’s team.The Department shall have sole discretion to grant or withhold approval of any requestedchange. If the requested change is approved by the Department, then a copy of the approvedForm RFC must be included in the proposal, Volume 1, Section 3.During the term of the Contract, substitutions for Key Personnel cannot be made withoutNYSDOT approval. Should it become necessary to replace Key Personnel during the term ofthe Contract, the Design-Builder must provide replacement staff with equal or superior skills andqualifications. In addition, during the term of the Contract, requests for Ker Personnel changesmust be made using Form RFC, and shall be submitted along with a completed Form R –Summary of Individual’s Experience and the information specified in the RFQ and/or RFP forthat Key Personnel position, including a resume and a narrative (max one page) justifying whythe proposed Key Personnel change is being requested. Substitute Key Personnel cannot startwork on the Project until approved by NYSDOT. In any event, the Design-Builder shall promptlynotify the Department’s Project Manager if any Key Personnel leaves the Design-Build Team.It is imperative that the Key Personnel identified during the Procurement period remain intact forthe duration of the Project until Project Completion. Failure to do so shall result in theassessment of liquidated damages in the amount of $15,000 for each Key Personnel positionsubstitution, regardless of whether the Department accepts the alternate personnel as equal orbetter.


I-390 Interchange ImprovementsPIN No. 4390.59, Contract No. D900018

Form R Instructions to Proposers, Appendix EAddendum #1 December 3, 2014

FORM RSUMMARY OF INDIVIDUAL’S EXPERIENCE

Form R shall be completed by the Proposer for the Key Personnel indicated in ITP Appendix A, SectionA11.1, as well as any key personnel that have been changed since submission of the SOQ. Addlines/pages as necessary. Under “Contact Information”, provide the contact name, phone number, and e-mail address for the Project Owner. NYSDOT reserves the right to contact any Project Owner to verify theinformation provided.

Name of Proposer:

Name of Firm:

Individual’s Name:Is Applicant Licensed as a ProfessionalEngineer in the State of New York? Yes: No:

NYS Professional Engineering License Number

Title for this Project:Total number of years experience meeting requirements stated in ITPSection 7.1.2.1 Part 3, Project Requirements, Section 2.2 for Titleabove:

Please complete the information below to confirm the total years experience statedabove

Project Name:Project Owner:ContactInformation:Title on Project:

Individual’s StartDate on Project:

Individual’sEnd Dateon Project:

Individual’sTotal Timeon Project:










I-390 Interchange ImprovementsPIN No. 4390.59, Contract No. D900018

Form RFC Instructions to Proposers, Appendix EAddendum #1 December 3, 2014

FORM RFC

REQUEST FOR CHANGE

In accordance with ITP Section 1.15, complete the following if requesting a change foreither a member of the Design-Build Team or the Key Personnel identified in thesubmitted Statement of Qualifications. Also, attach the required justification informationas specified in ITP Section 1.15. Use a single Form RFC for each change requested. Allrequests must be approved by the Department. If approved, include a copy of theapproved Form RFC, and accompanying information described in ITP Section 1.15 withthe Proposal, Volume 1, Section 3.

Proposer: _____________________________________________________________

Contract No:___________________________________________________________

A: Requesting a change in a member of the Design-Build team

Name of firm submitted in the SOQ: ________________________________________

Role in Design-Build team: _______________________________________________

Name of substitute firm: _________________________________________________

B: Requesting a change in Key Personnel

Name of Key Personnel submitted in the SOQ: _______________________________

Title of individual for this project: __________________________________________

Name of substitute individual: _____________________________________________

C: For NYSDOT use

Date Received: ________________________________________________________

Name of NYSDOT Reviewer: _____________________________________________

Title: ________________________________________________________________

___ Request Approved ___ Request Rejected

Signature of NYSDOT Reviewer: __________________________________________

Date of Review: ________________________________________________________


I-390 Interchange Improvements i Part 1 - DB AgreementPIN No. 4390.59, Contract No. D900018 Addendum #1 December 3, 2014

Table of ContentsDESIGN-BUILD (DB) AGREEMENT .................................................................................................. 1ARTICLE 1. COMPENSATION .......................................................................................................... 1

Article 1.1. Contract Price ............................................................................................................... 1

Article 1.2. Executory Clause .......................................................................................................... 1

ARTICLE 2. CONTRACT TIME .......................................................................................................... 1Article 2.1. Notice To Proceed ........................................................................................................ 1

Article 2.2 Interim Completion Milestone Date ............................................................................... 2

Article 2.34 Project Completion Date .............................................................................................. 2

Article 2.45 Final Acceptance .......................................................................................................... 2

ARTICLE 3. WORK TO BE DONE..................................................................................................... 3ARTICLE 4. LICENSING .................................................................................................................... 3ARTICLE 5. DOCUMENTS FORMING THE CONTRACT .............................................................. 3ARTICLE 6. DISADVANTAGED BUSINESS ENTERPRISE GOALS ............................................ 4ARTICLE 7. EXAMINATION OF DOCUMENTS AND SITE ............................................................ 4ARTICLE 8. ALTERATIONS AND OMISSIONS ............................................................................... 4ARTICLE 9. PERIODIC PAYMENTS................................................................................................. 4ARTICLE 10. NO PERIODIC PAYMENT ON DESIGN-BUILDER’S NON-COMPLIANCE .......... 4ARTICLE 11. FINAL PAYMENT......................................................................................................... 5ARTICLE 12. RIGHT TO SUSPEND WORK AND CANCEL CONTRACT .................................... 5ARTICLE 13. DETERMINATION AS TO VARIANCES .................................................................... 5ARTICLE 14. SUCCESSORS AND ASSIGNS ................................................................................. 6ARTICLE 15. NON-ASSIGNMENT CLAUSE.................................................................................... 6ARTICLE 16. PROJECT ORGANIZATION ....................................................................................... 6

Article 16.1 Department’s Project Organization ............................................................................. 6

Article 16.2. Design-Builder’s Project Organization ...................................................................... 6

ARTICLE 17. INSURANCE Program ................................................................................................. 6ARTICLE 18. INDEMNIFICATION ................................................................................................... 11ARTICLE 19. LIQUIDATED DAMAGES .......................................................................................... 12ARTICLE 20. INDEPENDENT CONTRACTOR. ............................................................................ 12ARTICLE 21. NO CONFLICT OF INTEREST ................................................................................. 12ARTICLE 22. FEDERAL Requirements .......................................................................................... 13ARTICLE 23. SELF PERFORMANCE............................................................................................. 13ARTICLE 24. INTERNATIONAL BOYCOTT PROHIBITION ......................................................... 13ARTICLE 25. WRITTEN NOTICES ................................................................................................. 14


I-390 Interchange Improvements 1 Part 1 - DB AgreementPIN No. 4390.59, Contract No. D900018 Addendum #1 December 3, 2014

DESIGN-BUILD (DB) AGREEMENTContract No. ______________________

County __________________________

THIS DB AGREEMENT, entered into this ___ day of __________, 2014, by THE PEOPLE OF THESTATE OF NEW YORK, hereinafter referred to as the “State,” acting by and through the New YorkState Department of Transportation, pursuant to the New York State Highway Law, and_________________________________________________________________________________,

A corporation organized and existing under the laws of the State of _______________, or

A partnership, consisting of _______________________________________________, or

A Limited Liability Company (LLC), consisting of ____________________________, or

A joint venture, consisting of ______________________________________________, or

An individual conducting business as _________________________________________,

the location of whose principal office is ______________________________________________,

WITNESSETH: That the State and the Design-Builder (hereinafter referred-to as the “Design-Builder” inthe contract documents), for the consideration hereinafter named agree as follows:

ARTICLE 1. COMPENSATION

Article 1.1. Contract PriceAs full compensation for the Work, the Department will pay the Design-Builder a lump sum of__________, which shall equal the total lump sum proposal price for the Project, as agreed to by theDepartment, less the unused portion of the lump sum price for the Design-Build – Force Account Work(Item No. 800.04000015). See also DB Section 109-9. The Contract Price may be subject to adjustmentfrom time to time by Orders on Contract.

See DB Section 101-3 for definitions Contract, Contract Price, and Work.

Article 1.2. Executory ClauseIn accordance with Section 41 of the New York State Finance Law, this Contract shall be deemedexecutory only to the extent of money available to the State for the performance of the terms hereof andno liability on account thereof shall be incurred by the State beyond moneys available for the purposethereof.

ARTICLE 2. CONTRACT TIME

Article 2.1. Notice To ProceedThe Design-Builder agrees that it will begin the Work herein embraced upon receipt of the Notice ToProceed (NTP), unless the consent of the State, in writing, is given to begin at a later date, and that it willprosecute the same so that the Interim Completion Milestone Date shown Article 2.2, if applicable, itshall be achieved, completed and performed on or before the Substantial Completion Date shown inArticle 2.2, and that the Project shall be fully completed on or before the Project Completion Date setforth in Article 2.3. See DB Section 100 General Provisions, section 101-3 for the definitions of


I-390 Interchange Improvements 2 Part 1 - DB AgreementPIN No. 4390.59, Contract No. D900018 Addendum #1 December 3, 2014

Substantial Completion Date and Project Completion Date.

Article 2.2 Interim Completion Milestone DateThis Project’s Interim Completion Milestone Date is ___________, 20__., and is defined as the date bywhich all traffic is permanently transferred to its final configuration on BINs 4443310 and 1070900 withno further impacts to traffic on those structures. The Interim Completion Milestone Date will be the datedetermined by adding the number of calendar days proposed by the successful Proposer on Form SCD(the Duration), as agreed to by the Department, to the date of the Notice to Proceed as issued by theDepartment. The Interim Completion Milestone Date may not be changed without written approval bythe Department’s Project Manager.

No extension beyond the Interim Completion Milestone Date fixed by the terms of this Contract shall beeffective unless in writing signed by the State. Any extension shall be for such time and terms andconditions as shall be fixed by the State, which may include the assessment of liquidated damages and acharge for engineering, inspection, or other expenses.

Notice of application for such extension shall be filed with the Department’s Project Manager at least 15days prior to the Interim Completion Milestone Date fixed by the terms of this Contract. Article 2.3Substantial Completion Date

This Project’s Substantial Completion Date is ________, 20___. See DB Section 101 for the definition of“Substantial Completion”.

No extension beyond the Substantial Completion Date fixed by the terms of this Contract shall beeffective unless in writing signed by the State. Any extension shall be for such time and terms andconditions as shall be fixed by the State.

Notice of application for such extension shall be filed with the Department’s Project Manager at least 15days prior to the Substantial Completion Date fixed by the terms of this Contract.

Article 2.4 3 Project Completion DateThis Project’s Completion Date is________, 20___, and is based on the Construction/DemolitionDuration (in calendar days after the day Notice to Proceed is issued by the Department), as proposed bythe successful Proposer in Form SCD and agreed to by the Department. See DB Section 101 for thedefinition of “Project Completion”.

No extension beyond the Project Completion Date fixed by the terms of this Contract shall be effectiveunless in writing signed by the State. Any extension shall be for such time and terms and conditions asshall be fixed by the State, which may include the assessment of liquidated damages and a charge forengineering, inspection, or other expenses.

Notice of application for such extension shall be filed with the Department’s Project Manager at least 15days prior to the Project Completion Date fixed by the terms of this Contract.

Article 2.5 4 Final AcceptanceThis Project’s Final Acceptance Deadline shall be no later than________, 20___.

When in the opinion of the Department’s Project Manager the Design-Builder has fully performed theWork under this Contract, the Department’s Project Manager shall recommend to the Regional Directorand the Commissioner of Transportation the Final Acceptance of the Work so completed. If theCommissioner accepts the recommendation of the Department’s Project Manager, he/she shall thereuponby letter notify the Design-Builder of such Final Acceptance, and copies of such Final Acceptance shall


I-390 Interchange Improvements 38 DB § 102PIN No. 4390.59, Contract No. D900018 Addendum #1 December 3, 2014

Project Limits. The Design-Builder shall join its Work with that of the others in an acceptablemanner and shall perform it in proper sequence to that of the others. Delays and interferencesto the Critical Path caused by activities of other Department contractors, which delays and/orinterferences could not reasonably have been anticipated from the Contract Documents or couldnot have been avoided given reasonable notice, may entitle the Design-Builder to anappropriate extension of time and/or time related damages. If any part of the Design-Builder’sWork depends on the work of any other contractor and/or the Department for proper executionand/or results, that would render the Work unsuitable for proper execution and /or results, theDesign-Builder shall promptly notify the Department of any discrepancies and/or defects in saidother work as are reasonably ascertainably from visual inspection of the Site prior to proceedingwith its own Work, provided, however, that Design-Builder shall not be obligated to conducttesting or engineering analysis of such other work except to the extent would normally berequired by a prudent contractor joining its Work to existing work in the ordinary course ofbusiness.

If the Design-Builder and another contractor are unable to agree on the sequence of work orother matters, either may petition the Department’s Project Manager for a decision resolvingissues between the parties. The Department’s Project Manager shall allow a reasonable timefor response by all affected parties. After review of all comments, the Department’s ProjectManager shall render a decision within five days, which shall be binding on all parties.

DB 102-5 UTILITIES

DB 102-5.1 Department Requirements for Utilities That Occupy Department Property

The Department’s interaction with Utilities located within the Highway Right Of Way (ROW) isgoverned by 17 NYCRR (Official Compilation of Codes, Rules and Regulations of the State ofNew York) Part 131.

The Department has notified all Utilities, pipeline owners, or other parties who seemingly areaffected by the proposed construction based on the preliminary design plans and endeavor tohave Preliminary DB Utility Work aAgreements executed with potentially affected Utilities priorto the Award of the Contract.

The Design-Builder in coordination with the Department’s Project Manager (or his designee)shall meet with all the affected Utility owners or operators for the purpose of discussing theaffect effect on the utility facilities and to agree on a plan to maintain, protect, relocate, reinstall,or other action that may be necessary for the work to progress.

Reference is made to General Obligations Law §11-102 which concerns the liability of a Utilityfor compensation for damages caused by interference with and/or delay of progress of workunder a State public construction contract.

DB 102-5.2 DB Utility Work Agreements

If Preliminary DB Utility Work Agreements have been executed, they will be identified in Part 4 –Utility Requirements.

Utilities which may be impacted by the Project have been identified in Part 4 – UtilityRequirements.



the equipment. A copy of the certification shall be provided to the Department’s ProjectManager for each operator prior to their Work on the Project.

DB 107-7.20 Use of Personal Entertainment Devices and Portable Phones

The Design-Builder shall ensure that workers are able to perceive hazards, are not distractedfrom their tasks, and are not creating hazard(s) through the use of personal entertainmentdevices. The Design-Builder shall ensure that portable phones, two-way radios, and othercommunication devices are used by workers for performing work tasks only. Flaggers shall useportable phones, two-way radios, and other communication devices only to communicate withother flaggers, workers or supervisors regarding flagging operations. Equipment operators shalluse portable phones, two-way radios or other communication devices while actively operatingequipment only for communicating with workers performing directly related work tasks. Truckdrivers shall use hands free technology for all calls while driving within work zones. Portablephones, two-way radios, and other communication devices shall be equipped with hands-freetechnology whenever practicable. Workers shall not use personal entertainment devices withearphones such as radios, iPods, MP3 players, media players, or other personal entertainmentdevices while working.

DB 107-8 SITE SECURITY

DB 107-8.1 Requirements

The Design-Builder shall be responsible for the security of the Site and the Work from the datethe Site is released to the Design-Builder until Project Completion. This shall include theprotection of all workers, offices, workshops, equipment, material, and the Work from damageby vandalism, flood, storm, fire, theft, or other intentional acts. The foregoing shall not beconstrued to relieve the Design-Builder of responsibility for Work not yet completed as of thedate of Project Completion.

The Site shall be adequately protected at all times to prevent unauthorized access onto the Site,particularly to areas of high safety risk. This protection shall include security fencing at areas ofhigh safety risk to the public as well as areas with high risk of vandalism and other areas wherenecessary for the Design-Builder to fulfill obligations under the Contract. All necessary accessfor the public through the Site shall be adequately protected. The Design-Builder shall ensurethat all of the Design-Builder’s vehicles and vessels and any Subcontractor’s vehicles andvessels that enter the Site are identifiable by a clearly visible plaque which includes thecompany’s name, Design-Builder’s logo and a unique serial number.

The Design-Builder shall provide adequate lighting and guarding at main security areas, Workareas, and storage yards.

The Design-Builder shall establish and maintain a system and people to control and guidevisitors to and around the Site.

The Design-Builder shall designate a safe parking area(s) for workers to park private vehiclesnear the Project Site. The Design-Builder’s personnel may park within the right of way or on anypublic roads or streets if approved by the Department’s Project Manager.

In addition to these security provisions, the Design-Builder shall adhere with provisions of Part3, Section 20 – Security.



unanticipated costs required to meet the schedule shall be solely the Design-Builder’sobligation, unless addressed in other provisions of the Contract.

DB 108-1.2.1 Progress Schedule Submittals

The Design-Builder shall submit the Progress Schedule Submittals in accordance with SpecialProvision SP-53, including:

A. Baseline Progress Schedule

B. Final Baseline Progress Schedule

C. Monthly, Bi-Weekly, or Weekly Progress Schedule

D. As-Built Progress Schedule

In addition, the Design-Builder shall submit regularly Look-Ahead Schedules to Department’sProject Manager in accordance with Special Provision SP-53.

DB 108-1.2.2 Review of the Progress Schedule

The Department’s Project Manager will review the Progress Schedule submissions and thenhold a discussion meeting with the Design-Builder after each submission. The Department willendeavor to provide review comments within ten days for a Baseline Progress Schedulesubmission and five days for a regular Progress Schedule submission. Within two weeks of thismeeting, the Design-Builder shall adjust the Progress Schedule to resolve any issues noted bythe Department’s Project Manager. The Design-Builder shall submit for review the revisedschedule materials as described above.

Upon completion of the final review by the Department’s Project Manager, the Design-Buildershall incorporate the final revisions and submit the Progress Schedule within one week of theDesign-Builder’s receipt of the Department’s comments.

Changes to the Progress Schedule: The Progress Schedule shall accurately reflect the mannerin which the Design-Builder intends to proceed with the Project and shall incorporate the impactof delays and Orders on Contract when these factors can be accurately determined. Allchanges to the schedule, e.g., the addition of activities, changes in logic, or changes in activitydurations, shall be identified in the monthly narrative report for review by the Department’sProject Manager.

DB 108-1.2.3 Progress Schedule Updates

The Design-Builder shall update the Progress Schedule, at a minimum, on a weekly basis.Each update shall show changes to the Progress Schedule that reflect the status of activitiesthat have commenced or have been completed, including the following items: (a) Actual Startdate and or Actual Finish date as appropriate; (b) Remaining Duration for activities commencedand not complete; and (c) Suspend or Resume dates for activities commenced and notcomplete.



DB 108-1.3.4 Contract Submittals List

Within 30 days of NTP, the Design-Builder shall prepare and submit to the Department’s ProjectManager a contract submittals list in the format shown on Form CSL, covering all submittalsrequired during the first six months of the Contract. Thereafter, the Design-Builder shall submitmonthly updates to Form CSL with the Monthly Progress Report (DB §108-1.3). The updatedForm CSL shall show the record of submittals made to date and shall show the Submittals dueover the next three month period.

DB 108-1.3.5 Summary of Hazardous and Contaminated Substances Activity

The Design-Builder shall submit a monthly summary of activities related to hazardous andcontaminated substances. If there is no activity, the report shall indicate such.

DB 108-1.3.6 Statement of Materials and Labor Used (Federal-Aid Projects Only)

The Design-Builder shall submit Form FHWA-47M monthly reflecting the cumulative amount ofmaterials and labor used. A final statement representing the total of all materials and labor usedshall be submitted with the As-Built Plans (see DB §109-11.3).

DB 108-1.4 Resumption of Work

If the prosecution of the Work is discontinued for any reason, the Design-Builder shall notify theDepartment’s Project Manager, in writing, at least 48 hours in advance of resuming operations.

DB 108-2 NOTICE TO PROCEED

The NTP will stipulate the date on which it is expected the Design-Builder will begin the designand construction and from which date the Contract Time will be charged. The NTP shall beissued within 30 days after Department’s award of the Contract unless otherwise agreed to bythe parties.

DB 108-3 KEY PERSONNEL

The Key Personnel positions listed in Part 3, Project Requirements below shall be the Design-Builder’s key personnel for the Project. The Design-Builder shall provide personnel that meetthese minimum requirements, as modified in accordance with agreement reached between theDepartment and the Design-Builder in finalizing the Design-Builder’s Proposal.

The Design-Builder’s Project Manager shall be the Design-Builder’s representative and singlepoint of contact.

The Department’s Project Manager may designate other positions as key personnel or changethe designation of some of the positions as needed at any time during the Contract.

DB 108-3.1 Directory

Within 15 days after NTP, the Design-Builder shall submit to the Department’s Project Managera directory and organizational chart showing all of its key personnel. The directory shall beupdated throughout the Contract as changes occur. The directory shall include the names,titles, areas of responsibility, office address and location, office telephone and fax numbers, and



F) Delays due to any industry-wide labor boycotts, strikes, picketing, or similar situations, asdifferentiated from jurisdictional disputes or labor actions affecting a single or small group ofSubcontractors or suppliers;

G) Delays due to any industry-wide shortages of supplies or material required by the Contract,as differentiated from delays in delivery by a specific or small group of suppliers;

H) Delays and/or Damage by Occurrence as described in DB Section 107-26.2, other thanheavy storms or climatic conditions which could generally be anticipated by the Design-Builder.;

I) The time required to restore the Work to its original state where damage to the Workoccurred from causes beyond the control of the Design-Builder;

J) Discovery of Hazardous Materials of a type, quantity or location that differs materially fromthe type, quantity or location of Hazardous Materials identified in the RFP or the ContractDocuments as potentially present at the Site, to the extent allowed under DB §104-4.3 andfor which the Design-Builder is not otherwise responsible under DB §§ 104-4.3 and 107-16;

K) Discovery of Environmental Resources or Cultural Resources not identified in the RFP orthe Contract Documents, to the extent allowed under DB §107-9.3;

L) Differing site conditions, subject to the limitations specified in DB §104-5;

M) Significant changes in the character of the Work, to the extent allowed under DB §104-3.2,and Necessary Basic Configuration Changes, to the extent allowed under DB §104-4.1.2;

N) Changes in the scope of Work occurring as a result of a Change in Law, to the extentallowed under DB §104-4.5; or

O) Any situation which was beyond the contemplation of the parties at the time of entering intothe Contract.

The Contract Time, as extended for one or more of the reasons listed in DB §108-6(A) throughDB §108-6(O), shall then be in full force and effect as though it were the original Contract Time.The notice, recordkeeping and other requirements of DB §§104-4, 104-5 and 104-6, asapplicable, and DB §§104-7 and 109-10.1(H)(1)-(3), shall apply with respect to any request toadjust the Contract Time. The Department will have no liability and no adjustment will be madefor any damages which accrued more than 10 days prior to the filing of such a notice.

In all cases where an extension of time is warranted under this DB §108-6, the extension shallbe negotiated and addressed in an Order on Contract. Delays incurred by seasonal andweather limitations, localized labor actions and shortages of supplies or materials, and othersituations which should be anticipated are not eligible for extensions.

In cases where the Work has been unduly delayed by the Design-Builder because ofunwarranted reasons, inefficient operation, or for any other reason for which the Departmentdetermines the Design-Builder to be liable, no time extension will be allowed the Departmentmay grant a time extension at its sole discretion. However, such time extension shall in no wayrelieve the Design-Builder from liability for Liquidated Damages in accordance with DB §108-5or for charges for engineering charges associated with Quality Assurance of design and



construction activities or other charges, and shall not serve to modify the Contract Timeestablished in the Contract.. Reasonable time necessary for Design Reviews, for changes oradditions to the Work to meet field conditions which do not adversely affect the Design-Builder’sability to meet the Contract Deadlines, for delays incurred by seasonal and weather limitations,for localized labor actions and shortages of supplies or material, for utility relocations, and forother situations which should be anticipated are neither compensatory nor eligible forextensions of any Contract Deadlines, except as expressly authorized hereunder. Design-Builder agrees to make no monetary request for, and has included in its Proposal Price, anyextra/additional costs, any delays, inefficiencies or interferences in the performance of theContract caused by or attributable to the reasons described in this paragraph.

The adjustment to the Contract Deadlines allowed under this DB §108-6 constitutes Design-Builder’s sole and exclusive remedy for such delays, except for the compensation allowed forcertain types of delays pursuant to DB §§109-10 or 109-15.1.

DB 108-7 SUBCONTRACTING OR ASSIGNING THE CONTRACTUnless indicated otherwise in a Project Labor Agreement, the Design-Builder shall performWork, including construction and design work, with a value of at least 51% of the Contract Pricewith its own forces. Work performed by Design-Builder’s joint venture members,subcontractors, subconsultants and their affiliates is considered work with the Design-Builder’sown force. However, the Design Firm cost, the Construction Inspection cost, and the MaterialsTesting cost will be excluded from the calculation of the 51%.

At the pre-work conference, the Design-Builder shall submit a list of intended Subcontractorsand vendors. In addition, the Design-Builder will be required to update the list of Subcontractorsand vendors as the Work progresses so that the Department will have, at all times, a currentand accurate list of Subcontractors along with the Work that they perform and vendors alongwith the items that they supply. The required forms for the submission of Subcontractorinformation will be supplied by the Department.

In the solicitation of Subcontractors and vendors to perform Work under this Contract, prior toentering into any commitments for subcontracting or for purchase or leasing of supplies,material or equipment, the Design-Builder shall refer to the following, then current publication tosolicit participation of DBEs, MBEs, or WBEs. The Design-Builder is required to considerSubcontractors from the list of certified DBE firms that can be accessed via a link on thefollowing Department website: https://www.dot.ny.gov/main/business-center/civil-rights/general-info/dbe-certification. The Design-Builder shall also consider subcontractors from the Directoryof Minority and Women's Business Enterprises published by the New York State Department ofEconomic Development. Requests for acceptance of Subcontractors shall be submitted to theDepartment’s Project Manager on the appropriate form. Subcontractors will not be approved bythe Department until such time as they are registered with the New York State Department ofState.

Pursuant to 23 CFR Section 635.116, the Department cannot impose minimum subcontractingrequirements or goals other than those necessary to meet the self performance criteria or theDBE program requirement, as found at DB §102-9.

The Design-Builder shall not enter into any Subcontract, nor allow any of its Subcontractors toenter into a Subcontract, without first notifying the Department of the proposed Subcontractorand proposed scope of work to be performed by the Subcontractor, at least 10 days in advanceof execution and delivery of the Subcontract. Each of the Subcontracts listed in the notice maybe executed and delivered upon expiration of said 10-day period unless the Department, duringsaid period, delivered a written objection to the Design-Builder regarding that Subcontract. The



I) Review and approve the Design-bBuilder invoices and recommend payment to theDepartment’s Construction Quality Assurance Engineer;

J) Originate non-conformance reports for any material test failures or construction work effort,safety, or work-zone non-compliance;

K) Maintain a log with the status of all non-conformance reports, with an emphasis onoutstanding resolutions to non-conformances;

L) Recommend corrective action to the Department’s Construction Quality AssuranceEngineer if there are deficiencies found in the Work performed by the Design-Builder;

M) Coordinate field inspection activities between the Design-Builder’s Construction personnel,QC inspection staff, and Department QA staff for owner verification; and

N) Recommend acceptance to the Department’s Construction Quality Assurance Engineer.

DB 112-2.2 Construction Quality Control Testing and Sampling

Materials shall be sampled and tested by the Construction QC Inspectors working for theDesign-Builder’s Professional Engineering Construction Inspection Firm or Materials TestingFirm or Laboratory in accordance with Appendix 112B. Copies of all test results shall befurnished to the Design-Builder’s Project Manager, the Design-Builder’s QC Manager, and theDepartment’s Construction Quality Assurance Engineer within 24 hours of the test results.

References in the Contract to a New York Department of Transportation test method or testdesignation of the American Association of State Highway and Transportation Officials(AASHTO.), the American Society for Testing and Materials (ASTM) or any other recognizednational organization, shall mean the latest revision of that test method or Specification for theWork in effect on the day the RFP for the Work is dated Proposal Due Date unless otherwisenoted. The Design-Builder shall comply with the latest modifications as published by theDepartment’s Materials Bureau (see EB11-043). All Inspection, Sampling and Testing shall bein accordance with the procedural directives issued by the NYSDOT Materials Bureau.

DB 112-2.3 Quality Control Personnel – Certifications/Qualifications

The Design-Builder shall maintain a list of construction QC staff that describes what testcertifications each person currently holds and the certification expiration date. The Design-Builder’s QC staff will be allowed 30 Days from Award of the Contract to obtain thecertifications.

QC Inspectors shall test and sample only those Materials for which they are certified to test.Reports of each test shall be recorded on the MURK form prescribed for that test. All tests thatdo not pass specified requirements will be added to a log of non-conformance reports forresolution and corrective action.

The minimum frequency of QC sampling and testing shall be consistent with Appendix 112Aand the individual Project Specifications accepted by the Department’s Project Manager.

The Design-Builder’s staffing levels for inspection and materials samplers shall be consistentwith those for NYSDOT-inspected Projects.


I-390 Interchange Improvements 23 Part 3 - Project RequirementsPIN No. 4390.59, Contract No. D900018 Addendum #1 December 3, 2014

Table 3-1 – Environmental Compliance Deliverables

DeliverableNumber of Copies

Reference SectionHardcopy Electronic

Stormwater Pollution Discharge EliminationSystem (SPDES) Permit application

1 1 3.3.2

Stormwater Pollution Prevention Plan (SWPPP) 1 1 3.3.2

3.4 MIGRATORY BIRD PROTECTION

The Design-Builder shall be aware of and comply with the Migratory Bird Treaty Act (MBTA) andshall inspect the Project Area, Highway Right-of-Way, including the bridge substructure andsuperstructure, for bird nesting activity before performing bridge demolition, clearing andgrubbing and tree removal.

All questions relating to migratory birds and nesting should be directed to the Department’sProject Manager.

3.5 WORK OVER WATER

The Design-Builder shall not place any permanent equipment or materials in the water or allowany material to fall into the water and shall not interfere with vessel traffic.

A Coast Guard Permit will be required for the Project. The Design-Builder shall be responsiblefor obtaining any required permits for working in or over the waterway and shall notify the USCoast Guard at least thirty days prior to start of work in or over the waterway.

3.6 THREATENED AND ENDANGERED SPECIES COORDINATION

The Design-Builder shall be aware that the northern long-eared bat is likely to be listed as anendangered species under the Endangered Species Act of 1973. The department has securedapprovals from the appropriate regulatory agencies to cut up to 250 trees in connection with theProject, with removals to occur between November 1, 2014 and March 31, 2015. All treesgreater or equal to three inches diameter at breast height which are removed, whether alive ordead, shall count toward the allowable total of 250. Should the Design-Builder require theremoval of more than 250 trees, or should any removals be required after March 31, 2015, theDesign-Builder shall be responsible for coordinating with and obtaining necessary approvalsfrom the US Fish and Wildlife Service and FHWA. Note that removals of trunks and branchesfrom felled trees may occur after March 31, 2015.



9.3.8.2 Reinforced Soil Slope Design

The Design-Builder shall conduct analyses for any reinforced soil slopes (RSS) proposed inaccordance with the design procedures and requirements contained in FHWA-NHI-00-043Mechanically Stabilized Earth Walls and Reinforced Soil Slopes Design and ConstructionGuidelines.

Construction of reinforced soil slope shall be in accordance with the requirements of theNYSDOT Standard Specifications.

9.3.9 Soil Improvement

Any soil improvement systems adopted by the Design-Builder shall be designed usingprocedures consistent with FHWA Ground Improvement Methods.

9.3.10 Slope Stability

The Design-Builder shall be responsible for assessing the stability of new fill and cut slopes(permanent and temporary) required for the Project, and ensuring the stability of these slopes.

The Design-Builder shall design new fill and cut slopes and check existing slopes for the staticcase in accordance with FHWA NHI-05-123 - Soil Slope and Embankment Designs and for theseismic case in accordance with FHWA-NHI-11-032 GEC No.3 LRFD Seismic Analysis andDesign of Transportation Geotechnical Features and Structural Foundations. The Design-Builder shall be responsible for ensuring that the following minimum requirements are satisfied:

A) The minimum factors of safety from limit equilibrium analysis for static load conditions forpermanent slopes shall be 1.3 for non-critical slopes and 1.5 for critical slopes (at bridgeabutments, wingwalls and existing structures);

B) The minimum factor of safety for seismic load cases shall be 1.0 for non-critical slopesand 1.1 for critical slopes and the Design-Builder shall be responsible for establishing theacceptable permanent deformations the slopes can accommodate for the design seismicevents;

C) The minimum factor of safety for a rapid drawdown condition shall be 1.1;

D) For non-permanent slopes, the minimum safety factor shall be 1.3 under static loadconditions.

The Design-Builder shall use resistance factors determined as the reciprocals of the minimumfactors of safety values stated in this Section 10.5.11.

9.3.11 Temporary Works

The Design-Builder shall be responsible for the design and construction of all temporary worksrequired for the Project.

9.3.12 Trail Embankment

The Project shall include construction of an embankment ramp for future trail construction in thesoutheast quadrant of BIN 4443310 at or near the intersection of NY15A and Ramp NFC. Theembankment shall be designed to accommodate construction of a future trail connection



b. Full ramp closure shall not exceed 10 hours within any 24-hour period;

c. Full ramp closure prohibited during closure of Ramp BH

E) Ramp SF (Ramp BH to NY 15A):

a. Single lane closure prohibited between the hours of 6AM and 10AM Monday –Friday;

b. Double lane closure prohibited between the hours of 5AM and 7PM Monday –Friday;

c. Full closure prohibited at all times;

d. Four lanes of traffic must be maintained on the approach to NY 15A between thehours of 6AM –10 AM and 3PM – 6PM Monday through Friday.

F) Ramp BH (I-390 to Ramp SF):

a. Full ramp closure prohibited between the hours of 6AM and 9PM Monday –Friday;

b. Full ramp closure shall not exceed 10 hours within any 24-hour period;

c. Full ramp closure prohibited during closure of Ramp SF between NY 15 andRamp BH.

In addition, the Design-Builder shall maintain pedestrian access through the project area onNY 15A at all times. Should the Design-Builder elect to restrict pedestrian traffic to one side ofNY 15A, advance pedestrian detour signage shall be located at the south side of theintersection of NY 15A with Crittenden Rd. (CR 83) / Skinner Parkway, and at the north side ofthe intersection of NY 15A with Stan Yale Drive / Monroe County Hospital, directing pedestrianswishing to cross the Erie Canal to the correct side of NY 15A.



The minimum lane configuration requirements for NY15A north of the intersection with RampsNFC/NFD/DH shall be two southbound through lanes, two northbound through lanes, and asouthbound right turn lane to relocated Ramp DH. The required length of the right turn laneshall be based on a traffic analysis to be performed by the Design Builder and reviewed by theDepartment. Lane configurations shall be as shown in the Indicative Plans in Part 6 – RFPPlans

Typical Sections shall be developed as necessary to construct the roadways within the projectlimits. Edge treatments shall be developed to fit site conditions.

All new or reconstructed entrance and exit ramps along I-390 shall utilize a parallel-type design,including auxiliary lanes, acceleration lanes and deceleration lanes as appropriate, with theexception of Ramp NFC which may utilize a tapered-type design at the Design-Builder’sdiscretion.

19.3.3 Curb

Highway curb material shall match that of the adjacent highway. Generally Granite curb shallbe used on Route 15A and Concrete Curb shall be used on I-390.

19.3.4 Guide Rail, Median Barriers and Impact Attenuators

The Design-Builder shall remove and dispose of all existing guide rail and barrier systems withinthe Project limits and impacted by the Project, and replace with new guide rail or barrier tocurrent NYSDOT Standards.

The limits of work for guide rail and median barrier shall be the lesser of the following:

1) The point where barrier is no longer warranted; or

2) A point where the proposed barrier can be transitioned to an existing barrier systemwhich conforms to current standards.

All existing barrier systems that are removed shall become property of the Design-Builder.

The maximum interval of time between existing barrier removal and new barrier installation on aroadway that is open to traffic shall be in accordance with NYSDOT Standard Specifications. Allother time allowances shall conform to time allowances stated in the HDM. All installed barriersystems shall include appropriate glare screens, delineation and vegetation barriers.

19.3.5 Clear zone

The Design–Builder shall document clear zone on the final record plans.

19.3.6 Median Island / NY15A Northern Project Limit

The Design-Builder shall construct a curbed median island between the north abutment of BIN4443310 and the commercial drive (CityGate south entrance) located approximately 325’ northof the north abutment of BIN 4443310 on the east side of NY-15A. The surface of the islandshall be exposed aggregate concrete, and the color shall be as per Section 12.6.


I-390 Interchange Improvements C-1 Part 4 - Utility RequirementsPIN 4390.59, Contract D900018 Addendum #1 December 3, 2014

APPENDIX C PRELIMINARY DB UTILITY WORK AGREEMENTS

The work described in this Appendix C includes known relocation(s) and other utility workrequired to remove known interference(s) with Project elements. The Design-Builder shalldesign, locate, and construct the Work in accordance with utility provider(s) details as detailed inthis Appendix C. The Design-Builder shall consider providing, where possible, a common trenchin which to construct the utilities in accordance with the utility providers' requirements. TheDesign-Builder shall determine the location of any and all trenches relevant to therequirements of the Design-Builder's design, as applicable. The Design-Builder shall comply withthe Work Zone Traffic Control requirements contained in Part 3 of the Contract Documents atall times when performing the work described herein.

The Design-Builder shall include in its Baseline Project Schedule appropriate time as required forall utilities work.

Preliminary DB Utility Work Agreements will be provided by Addenda. Any Agreements to beprovided herein are Preliminary and are between the Department and utility owner(s). TheDesign-Builder is expected to coordinate with any and all affected utility owner(s) and theDepartment to negotiate and execute 3-party Final Utility Work Agreements between theDesign-Builder, utility owner(s), and Department.



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