i-690 over teall avenue and beech street bridge replacements design-build project ... · 2016. 10....

I-690 OVER TEALL AVENUE ANDBEECH STREET BRIDGE

REPLACEMENTS

DESIGN-BUILD PROJECT

PIN 3506.41, Contract D900035

Request for Proposals

Addendum #4

October 12, 2016

New York State Department of Transportation

Modification to the Request for Proposals

I-690 OVER TEALL AVENUE ANDBEECH STREET BRIDGE

REPLACEMENTS

Design-Build Project

PIN 3506.41, Contract D900035

Note to Proposers

Differences between the deleted pages and the revised pages have been identified as follows:

• Brackets have been inserted on the left-hand margin of the pages to indicate where changeshave been made to the documents; and

• Text additions have been shown in underlined red font and text deletions have been shown incrossed out red font.

General Instructions

Delete Form SCD of the Instructions to Proposers, Appendix E, Forms, and substitute the attachedrevised Form SCD.

Delete Pages 225, 228, 229, 230, 237 and 238 of the DB Contract Documents, Part 2, DB Section100, and substitute the attached revised Pages 225, 228, 229, 230, 237 and 238.

Delete Pages i and ii of the DB Contract Documents, Part 2, Appendix 112A, and substitute theattached revised Pages i and ii.

Delete Pages 2, 5, 14, 15, 16, 17, 20, 21, 27 and 28 of the DB Contract Documents, Part 2, Appendix112C, and substitute the attached revised Pages 2, 5, 14, 15, 16, 17, 20, 21, 27 and 28.

Delete Pages 1, 2, 3, 4, 11, 12, 14, 16, 17, 18, 19, 20, 21, 23, 24, 30, 32 and 34 of the DB ContractDocuments, Part 2, Appendix 112C, Attachment 1, and substitute the attached revised Pages 1, 2, 3,4, 11, 12, 14, 16, 17, 18, 19, 20, 21, 23, 24, 30, 32 and 34. Note that there are no tracked changes onPages 3 and 4; however, the pages are included due to the test which shifted as a result of theadditions to pages 1 and 2.

Delete 6 of the DB Contract Documents, Part 2, Appendix 113A, and substitute the attachedrevised Page 26.

Delete Pages 27, 37, 68, 82 and 92 of the DB Contract Documents, Part 3, Project Requirements,and substitute the attached revised Pages 27, 37, 68, 82 and 92.

Delete Pages i and iii of the DB Contract Documents, Part 7, Engineering Data, and substitute theattached revised Pages i and iii.

Add the attached Building Asbestos Survey Report to the DB Contract Documents, Part 7,Engineering Data.

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

text


I-690 over Teall Ave. & Beech St.PIN 3506.41, Contract D900035

Form SCD Instructions to Proposers, Appendix EAddendum #4 October 12, 2016

FORM SCDSCHEDULE OF CONTRACT DURATIONS

Table SCD - 1

OVERALL PROJECT COMPLETION

ACTIVITYDURATION

(Calendar Dayspast NTP)

PROJECTEDCOMPLETION

DATE(MM/DD/YYYY)

LIQUIDATEDDAMAGES

AMOUNT (PERDAY)

(See Note 3)PROJECT COMPLETION

(See Notes 1, 3)$7,000.00

Table SCD - 2

INTERIM COMPLETION MILESTONE

MILESTONE(See Notes 2, 4)

DURATION(Calendar Days

past NTP)

PROJECTEDCOMPLETION

DATE(MM/DD/YYYY)

LIQUIDATEDDAMAGES

AMOUNT (PERDAY)

(See Note 4)ALL TRAFFIC PERMANENTLY

TRANSFERRED ONTO THE NEW(BRIDGE STRUCTURE /

ROADWAY / OTHER)(See Note 87)

$60,000.00

Table SCD-3

IMPACTS TO TRAFFIC

PROJECT COMPONENT(See Notes 5)

COMPLETECLOSUREDURATION

(CONSECUTIVECALENDAR

DAYS)(See Notes 8 & 9)

TRAFFIC IMPACTDURATION

(CONSECUTIVECALENDAR DAYS)

(See Note 6)

LIQUIDATEDDAMAGES /

BONUS AMOUNT(PER DAY)(See Note 5)

#1) I-690 EAST BOUNDEXISTING ENTRANCE ANDEXIT RAMPS (See Note 8)

N/A $10,000.00

#2) I-690 WEST BOUNDEXISTING ENTRANCE ANDEXIT RAMPS (See Note 9)

N/A $25,000.00

#3) BEECH STREET (See Note1110) N/A $3,000.00




Notes:

1.) The Project Completion Date, to be included in the DB Agreement, Article 2.3, shall bedefined by the number of calendar days past NTP as proposed by the successfulProposer and agreed to by the Department. Project Completion for the purposes of thisForm SCD is defined as all construction activities completed, no additional impacts totraffic, and complete demobilization from the work site(s). Remaining paperwork (i.e.As-Builts, close-out documentation, payments) may occur after the Project Completiondate for the purposes of this Form SCD.

2.) The Interim Completion Milestone Dates (Table SCD-2), to be included in the DBAgreement, Article 2.2, shall be defined by the number of calendar days past NTP asproposed by the successful Proposer and agreed to by the Department.

3.) Liquidated Damages will be assessed, in the amount indicated, for failure to achieveProject Completion by the Project Completion Date in accordance with Articles 2.3 and19 of the DB Agreement.

4.) Liquidated Damages will be assessed, in the amount indicated, for failure to achieve theInterim Completion Milestone Date in accordance with Article 2.2 and 19 of the DBAgreement.

5.) Liquidated Damages will be assessed for each calendar day Traffic ImpactDuration/Complete Closure Duration at each site, is in excess of the duration indicatedin Table SCD-3.

6.) Traffic Impact Duration is defined in ITP Appendix G. Indicate the Traffic ImpactDuration for each Project Component.

7.) “All traffic permanently transferred onto the new bridge structure / roadway / other” AllMainline traffic permanently transferred onto its final configuration on East Bound andWest Bound Interstate 690 with no further impacts to traffic, with the exception of topcourse pavement & pavement markings, including completion of all Structures, travellanes, shoulders and movements including the Entrance & Exit Ramps of I-690 rampswith Teall Avenue.

8.) I-690 East Bound (EB) Existing Entrance & Exit Ramps closed to facilitate thereconstruction of these ramps. The consecutive counting of calendar days shall beginthe first day an EB ramp is closed and shall end when all work on the EB connectionramps from Teall Avenue to/from I-690 have been completely reconstructed in the newconfiguration with all movements open and no further impacts to traffi, with the exceptionof top course pavement & pavement markings. (In the event that this task is performedsubsequent to task SCD-3, #2 then it shall also include all work on Teall Avenue to becompleted with no further impacts to traffic).

9.) I-690 West Bound (WB) existing Entrance & Exit Ramps closed to facilitate thereconstruction of these ramps. The consecutive counting of calendar days shall beginthe first day a WB ramp is closed and shall end when all work on the WB connectionramps from Teall Avenue to/from I-690 have been completely reconstructed in the newconfiguration with all movements open and with no further impacts to traffic, with theexception of top course pavement & pavement markings. (In the event that this task isperformed subsequent to task SCD-3, #1 then it shall also include all work on TeallAvenue to be completed with no further impacts to traffic).

10.) The consecutive counting of calendar days shall begin the first day traffic is disrupted onBeech Street via a temporary lane closure to facilitate the safe execution of the work andshall end when all work on Beech Street has been completed, and in its finalconfiguration with all traffic movements open and no further impacts to traffic, with theexception of top course pavement & pavement markings.




11.) Subsequent to the actual completion of all work associated with SCD-2 and SCD-3, theDesign-Builder may commence with its plan to complete top course paving andpavement markings. The Design-Builder’s attention is directed to the requirements ofRFP, Part 3, Section 15, Top Course Paving Requirements and Nighttime PavingRequirements associated with the work.

12.) Early Completion Bonuses will be paid as indicated in RFP Part 5, SP-6

The Proposer commits to meet the Contract Durations specified above.

PROPOSER

SIGNED

DATENAME

(printed or typed)

TITLE


I-690 over Teall Ave. & Beech St. 225 DB § 112PIN 3506.41, Contract D900035 Addendum #4 October 12, 2016

DB SECTION 112CONSTRUCTION

QUALITY CONTROL AND QUALITY ASSURANCE

DB 112-1 GENERAL

Per DB §113, the Design-Builder shall develop and implement a quality program for all phasesof the Project, including design, construction, maintenance, safety and environmentalcompliance. The Design-Builder, through its Design-Build Quality Control Plan, shall have theresponsibility for the quality of the Work, including all Work and products of Subcontractors,fabricators, Suppliers, and vendors. The Department, in its oversight role through QualityAssurance (QA), reserves the right to and will conduct verification oversight inspections,acceptance testing, audits, sampling and testing, and Independent Assurance (IA).

The Design-Builder shall be capable of ensuring that procurement, shipping, handling,fabrication, installation, cleaning, Inspection, construction, testing, storage, examination, repair,maintenance, and required modifications of all Materials, Equipment, and elements of the Workwill comply with the requirements of the Contract Documents and that all Materials incorporatedin the Work and all Equipment and all elements of the Work will perform satisfactorily for thepurpose intended.

DB 112-1.1 Definitions

See DB §101 for definitions.

DB 112-2 QUALITY CONTROL – CONSTRUCTION INSPECTION – AND TESTING OFMATERIALS

The Design-Builder’s Quality Control responsibilities during construction include ConstructionInspection as well as sampling and testing of materials.

DB 112-2.1 Construction Inspection Quality Control

All construction processes, procedures, and workmanship shall be inspected by the Design-Builder’s Construction Quality Control (QC) Inspectors. The QC Inspectors shall include theobservations, measurements, and documentation specified in Appendix 112A, and/or includedin the Design-Builder’s Quality Control Plan. Inspection observations, measurement, results,non-conformances, and corrective actions shall be documented on the Design-Builders formsacceptable to the Department and/or on the appropriate MURK form or Department reportingform. Inspection observation and documentation shall include description of the constructionactivity and location by Specification section.

The Design-Builder’s Independent Construction Inspection Professional Engineering Firm shallprovide all required oversight, direction, testing, reviews and inspections for the purpose ofassuring that the construction and inspection activities are being performed in compliance withthe Contract requirements, including, but not limited to, the Design Plans, Specifications and theDesign-Builder’s approved Quality Control Plan and the Department’s standards and practices.In addition, the Independent Construction Inspection Professional Engineering Firm shall havethe responsibility to perform sufficient inspections and/or tests of the Design-Builder’s Work to



All Design-Builder QC Inspectors are required to be certified, for the type of work they areinspecting, in accordance with NHI, NYSDOT Technician Certification Program, or the NorthEast Transportation Technician Certification Program (NETTCP; www.nettcp.com) for thefollowing technician roles: Concrete Inspector, HMA Paving Inspector, Soils and AggregateInspector, Drilled Shaft Inspector, Driven Pile Inspector, and Subsurface Inspector; andConcrete, HMA Plant, Soils and Aggregate Lab, and PG Asphalt Binder technicians.Technicians that perform field inspection of Portland cement concrete shall possess a currentcertification from the American Concrete Institute as Concrete Field-Testing Technician Grade I.NYSDOT’s HMA Plant QC/QA Technician Certification Program is administered by the NewYork State Construction Materials Association; NYSDOT’s Concrete Field Inspectioncertification is the American Concrete Institute (ACI) Level I; the HMA Density MonitoringTechnician Certification Program is administered by NYS Chapter of Association of GeneralContractors, Albany, NY.

The Design-Builder’s QC Inspector(s) designated as the responsible person in charge of WorkZone Traffic Control shall have sufficient classroom training, or a combination of classroomtraining and experience, to develop needed knowledge and skills. Acceptable training shouldconsist of a formal course presented by a recognized training program which includes at leasttwo full days of classroom training within the last 5 years. A minimum of two days classroomtraining is normally required, although one day of classroom training plus responsibleexperience may be considered. Recognized training providers include American Traffic SafetyServices Assoc. (ATSSA), National Safety Council (NSC), Federal Highway Administration’sNational Highway Institute (FHWA-NHI), and accredited colleges and universities with advanceddegree programs in Civil/Transportation/Traffic Engineering. Former DOT employees may beconsidered on the basis of at least one day of formal classroom training combined withresponsible M&PT experience within the last 5 years.

Courses considered acceptable include the following:

A) FHWA – NHI 38003 – Design and Operation of Work Zone Traffic Control

B) NSC – Work Zone Traffic/Traffic Control Zone

C) ATSSA – Worksite Traffic Supervision

1) Construction Zone Safety Inspector

2) Traffic Control in Urban and Utility Work Areas

D) DOT – M&PT for EIC’s and Responsible Persons

DB 112-3 QUALITY ASSURANCE – ACCEPTANCE AND/OR VERIFICATION ANDAUDITING, SAMPLING AND TESTING

DB 112-3.1 Quality Assurance Verification and Auditing

Construction Quality Assurance acceptance or verification and auditing of the Design-Builder’swork will be performed by the Department’s Construction Quality Assurance Engineer assignedto the Project as outlined in Appendix 112C – Quality Assurance Plan Program Guide. TheConstruction Quality Assurance Engineer may have additional staff to assist him/her inperforming Construction Quality Assurance activities.



The Construction Quality Assurance Engineer and staff shall have access to all activities andrecords of the Design-Builder, the Independent Construction Inspection ProfessionalEngineering Firm, and the Materials Testing Firm or Laboratory retained by the Design-Builderfor the purpose of assuring that the construction and inspection activities are being performed incompliance with the Contract requirements, including, but not limited to, the Design Plans,Specifications and the Design-Builder’s approved Quality Control Plan and the Department’sstandards and practices.

In addition, the Department’s Construction QA Engineer and staff shall have the authority toperform sufficient inspections and/or tests of the Design-Builder’s Work to either accept or verifythat the Work performed by the Design-Builder and the inspections and/or tests performed bythe Independent Construction Inspection Professional Engineering Firm and the MaterialsTesting Firm or Laboratory are in compliance with the Contract requirements (See Appendix112A). This includes assurance that the Work is constructed to established lines and gradesand that any required measurements for payments are performed to the prescribed accuracy.Periodic QA Inspections will verify that the standards for critical methods of construction arefollowed by the Design-Builder. The Department’s Construction QA Engineer and staff will alsoaudit and verify that the Construction QC Inspection occurs as specified, including but notlimited to all QC tasks outlined in DB §112-2, and that daily reports and other required Contractadministration documents are prepared and provided as specified.

The Department’s Construction Quality Assurance Engineer may observe any testing performedby the QC Inspectors or the Materials and Testing Firm or Laboratory. If the ConstructionQuality Assurance Engineer observes a deviation from the specified sampling or testingprocedures, the Construction Quality Assurance Engineer will verbally describe the observeddeviation to the Design-Builder’s Construction QC Engineer, followed by a written Non-Conformance Report covering the deviation to the Design-Builder’s Construction QC Engineerand Design-Builder’s Project Manager within twenty-four hours. See also DB §109-5.4.

Members of the Department’s Construction QA staff will be assigned responsibility for verifyingand auditing the Quality Control Construction Inspection and materials sampling and testingactivities of the Design-Builder. The methods employed for verification may include audits ofitems and processes defined in the Design-Builder’s Quality Control Plan to ensure compliancewith the plan. In addition, the Department’s Construction QA staff will conduct periodic reviewsand audits of construction activities to verify that the methods and in-process and/or completedwork elements meet the Contract specifications and standards. The Department will performsampling and testing for either acceptance or verification of the sampling and testing performedby the Design-Builder. The Department may also direct the Design-Builder to perform samplingand testing of materials. At no point may the inspections performed through the Department’sQuality Assurance substitute for the Design-Builder’s Quality Control requirements.

The acceptance testing and/or verification and auditing performed by the Department’sConstruction QA Engineer and staff will document the acceptance of the Work for paymentpurposes. Discrepancies (failures of QA test results, significant audit findings) will bedocumented in Non-Conformance Reports which the Design-Builder must address.

DB 112-3.2 Quality Assurance Sampling and Testing

Quality Assurance Sampling and Testing will be performed by the Department or its designatedrepresentatives assigned to this Project. QA technicians will be certified in accordance with the



Department’s Technician Certification Program. The Quality Assurance testing will be performedindependently from the construction QC sampling and testing.

All Materials are subject to inspection, sampling, and testing at any time before FinalAcceptance of the Work by the Department’s Construction Quality Assurance Engineer andtheir staff.

All sampling and testing for acceptance will be in conformance with 23 CFR 637 and approvedDepartment procedures using qualified, certified individuals and utilize qualified, accreditedmaterials laboratories. When the Design-Builder’s QC materials test results are used in theacceptance decision, the Department will verify the QC data through random independent QAsampling and testing. When the Design-Builder’s QC materials test results are not used in theacceptance decision, QA data will be used to form the acceptance decision.

At no time will QA testing be performed with the same sampling and testing devices as the QCtesting. QA Sampling and Testing will be conducted randomly and independently to verifyacceptance decisions on materials. QA Sampling and Testing will be performed as directed bythe Department’s Construction Quality Assurance Engineer. The QA technicians will completedaily inspection records. The reports will detail the Work performed that Day clearly indicatingpass/fail test results. All QA tests which do not conform to the Contract requirements willimmediately trigger a Construction Non-Conformance Report for the Design-Builder’sreconciliation. The QA technicians will be familiar with the Quality Control Plan and assure thatconstruction QC samplers and testers adhere to that plan. A list of QA technicians will bemaintained that indicates what test certifications each person currently holds and thecertification expiration date.

DB 112-3.3 Independent Assurance

The Department will conduct all Independent Assurance (IA) activities with a goal of conductinga minimum of one IA inspection annually on all inspection personnel whose data is used in theacceptance decisions on this Project. Results from the IA testing may not be used as part of theacceptance data.

DB 112-4 COMPETENCE

If a concern arises as to the competence of any certified individual conducting ConstructionInspection or Quality Control activities, including the Resident Engineer, regardless of theirspecific role on the project, this concern must be documented in writing to the Design-Builder’sProject Manager and the Department’s Project Manager. The concern will be investigated asdeemed necessary by the Department’s Project Manager. If this investigation substantiates theconcern, corrective action or decertification will follow the established technician certificationprocesses and protocols.

DB 112-5 DESIGN-BUILDER’S CONSTRUCTION QUALITY CONTROL ORGANIZATION

The Quality Control Plan shall provide the information regarding the construction QCorganization.

All QC sampling and testing staff and laboratories shall meet the qualification requirements of23 CFR 637 and be subject to the Approval of the Department.



Documentary evidence that Material and Equipment conform to the procurement requirementsshall be available at the job Site no less than 24 hours prior to installation or use of suchMaterial and Equipment. This documentary evidence shall be retained at the job Site and shallbe sufficient to identify the specific requirements, such as Contract Documents, codes,standards, or specifications, met by the purchased Material and Equipment. The effectivenessof the QC by the Design-Builder’s own forces and Subcontractors shall be assessed by theDesign-Builder and the QC engineering firm at intervals consistent with the importance,complexity, and quantity of the product or services.

The Department reserves the right to inspect and review these documents at any time.

At the completion of the Project, the Design-Builder shall submit with the final invoice acertificate of compliance signed by the Design-Builder’s Project Manager and the ConstructionQC Engineer indicating that all materials incorporated in the Project conform to the Contractrequirements.

DB 112-9 FINAL ACCEPTANCE

The Department has the responsibility and authority for Final Acceptance of all Work.

The Design-Builder shall complete all Work and provide all documents, certifications, and otherinformation in accordance with the Contract Documents. Final Acceptance shall be based onQA acceptance testing and/or QC testing verified by verification testing and the final Inspection.Any deviations from the sampling and testing methods and frequencies indicated in theindividual Specifications shall require Department Approval prior to the start of construction onany affected Work.

Final Acceptance shall be based on certificates of compliance and/or Manufacturer’s test resultswhere specified in the individual specification.

Deficient Materials and products shall be brought into compliance with Specifications orreplaced. The method of reconciliation shall be noted in the log of failed tests.

Upon Final Acceptance copies of all project records shall be transferred to the Department.



DB SECTION 113DESIGN-BUILDERS QUALITY CONTROL PLAN

DB 113-1 GENERAL REQUIREMENTS

The Before construction activities begin, the Design-Builder shall submit a Quality Control Plan,updated as necessary, to the Department for approval.

The Quality Control Plan shall address the topics contained in this DB §113 and shall follow theformat presented in the Quality Control Plan Outline included in Appendix DB 113A and shallmeet the specified requirements of this DB §113.

The Quality Control Plan shall set up a “quality system team” which shall be distinct andseparate from the design and construction production organization. The quality system teamshall report directly to the Design-Builder’s management through the Design-Builder’s QualityManager. The Quality Control Plan shall describe the quality system to be implemented at alllevels of the Design-Builder’s organization, to include Sub-Design-Builders (design andconstruction) at all levels.

When developing and conducting its construction Quality Control procedures, the Design-Builder shall provide a level of inspection and documentation consistent with those indicated inthe Department’s Contract Administration Manual, Materials Inspection Manual andConstruction Inspection Manual. The Design-Builder can obtain additional informationregarding Department approved procedures at:

https://www.dot.ny.gov/main/business-center/contractors/construction-division.

DB 113-1.1 Quality Control Plan Submittal

The Design-Builder shall submit its Quality Control Plan, updated as necessary from thatsubmitted in the Design-Builder’s Proposal, in accordance with the requirements of Part 3 –Project Requirements.

DB 113-1.2 Quality Control Plan Reviews and Updates

The Design-Builder shall conduct management reviews of its quality system as specified in thisDB §113.

As work progresses, the Design-Builder shall update the Quality Control Plan to reflect currentconditions. The Design-Builder and/or the Department’s Project Manager may identify the needfor revisions to the Quality Control Plan. The Design-Builder shall submit any revisions orupdates to the Quality Control Plan to the Department’s Project Manager for approval within 30days of the identification of the need for a revision.

DB 113-1.3 Environmental Mitigation

In developing its Quality Control Plan, the Design-Builder shall establish appropriate controls inits management, design, construction /installation and documentation procedures to ensure thatenvironmental mitigation requirements are met and documented.


I-690 over Teall Ave. & Beech St. i Part 2 - Appendix 112A

PIN 3506.41, Contract D900035 Addendum #4 October 12, 2016

The Design-Builder shall use Table 1 as a guide for development of a Quality Control Plan, as aminimum level of Quality Control (QC) activities, as defined in DB Section 113. The QualityControl Plan shall provide for materials quality control and construction Inspection (CI) practicesoversight. In general, the Design-Builder shall employ an independent Construction InspectionProfessional Engineering Firm and a Materials and Testing Firm or Laboratory that will beresponsible to assure compliance of materials and construction inspection activities to allDepartment standards.

The frequency of QC activities shall be at least equal to current Department practices asestablished in the Specifications, Materials Methods and Procedures, Granular ControlProcedures, and other Department standards. The Quality Control Plan shall specifically andclearly define all QC activities to be performed by the Design-Builder, documentation andrecords to be managed, including forms that will be used, and frequencies of sampling andtesting.

The Design-Builder shall provide in the Quality Control Plan all the various materials planned foruse and the specific certifications and/or sampling and testing to be progressed for QCpurposes to assure durability of the material. For development of the Quality Control Plan, theDesign-Builder should be aware of the following materials considerations:

· All domestic off-site materials sampling and testing for QC/QA operations will beperformed by the Department. This includes but is not limited to earthwork and gravelborrow sources, Hot Mix Asphalt materials and production, Concrete materials andconcrete production, steel, precast products, masonry, structural steel paints – shopapplied, bridge railing, guiderail, traffic control materials, sign structures, frames andgrates, and any other materials deemed necessary to assure product quality. TheDesign-Builder shall perform QC of off-site manufactured/fabricated materials asdeemed appropriate by the Design-Builder.

· Bearing production: at manufacturer’s locations will be observed by the Departmenthowever, tThe Design-Builder shall be responsible for hiring an independent testing firmor laboratory to perform all bearing testing. The Design-Builder shall receive from theindependent lab a certification that all bearings are in conformance with specificationrequirements. The Department will perform sampling and testing for verificationpurposes.

Use of Approved List materials is expected for commonly available products. Use of materialsthat are not on the Approved List, but for which an Approved List category exists, shall requirethe Design-Builder to provide appropriate evaluation and test results, conforming to currentNYSDOT procedures for product evaluation, to prove durability of the material for the planneduse, to the satisfaction of the Department. Such product evaluation shall typically consist of labtesting per AASHTO, ASTM, or Department requirements, performed by an independentcertified laboratory. Upon verification of product acceptability by the Department, the product(s)will be included on the Approved List of Materials. Products that have not been accepted by theDepartment will not be included on the Department’s Approved List of Materials. Productspreviously approved by the Department’s New Product Evaluation Committee may be used;however, the Design-Builder may be required to provide sampling and testing results.

Use of materials for which there is not an Approved List category shall require, in the QualityControl Plan, those tests and evaluations to be performed to prove the durability of thosematerials before use in the Project. In many cases, physical testing should be performed by anindependent laboratory. The frequency of sampling and testing, commensurate with the level of


I-690 over Teall Ave. & Beech St. ii Part 2 - Appendix 112APIN 3506.41, Contract D900035 Addendum #4 October 12, 2016

risk of the product proposed for use, shall be provided in the Quality Control Plan.

The forms listed in the column “Documentation Form(s)” are those that the Departmentpresently uses. The Design-Builder may use their own forms, provided that their forms recordthe same information documented by the Department’s forms.

The Department will use Random Independent materials sampling and testing for bothacceptance and/or verification of QC sampling and test data. In addition, the Department willverify compliance to the policies and processes of the Construction Inspection ProfessionalEngineering Firm, the Materials Testing Firm and Material Testing Laboratories, as defined in theConstruction Quality Control Plan to ensure conformance with the Contract Documents.

Quality Assurance acceptance decisions that incorporate the use of the Design-Builder’s QCdata and activities will be progressed as described in Appendix 112C – Attachment 1. The levelof risk for various items will determine the frequency at which the Department will performQuality Assurance / verification sampling and testing. Statistical methods may be considered foruse by the Department to evaluate the effectiveness of sampling and testing results from QC foruse as acceptance if sufficient volume and associated QC and QA material tests are available..The QA Actions and Testing column defines those actions and the frequency thereof that theDepartment expects to take to provide Quality Assurance of materials and constructioninspection activities. Final determination of these actions and frequencies will be developedspecific to the Quality Control Plan provided by the Design-Builder.

QA of Construction Inspection operations will typically consist of accepting materials and/orverifying that the Design-Builder, Construction Inspection Professional Engineering Firm, theMaterials Testing Firm and Materials Testing Laboratories are meeting Contract Requirements.The Department shall have the authority to perform sufficient inspections and/or tests of theDesign-Builder’s Work to verify that the inspections and/or tests performed by the independentConstruction Inspection Professional Engineering Firm and the Materials Testing Firm orLaboratory are in compliance with the Contract, the design and specifications, the Design-Builder’s approved Quality Control Plan, as well as the Department’s standards and practices.

The Department will have access to all activities and records of the Design-Builder, theConstruction Inspection Professional Engineering Firm and the Materials Testing Firm orLaboratory retained by the Design-Builder for the purpose of assuring that the construction andinspection activities are being conducted in compliance with the Contract, the design andspecifications, the Design-Builder’s approved Quality Control Plan, as well as the Department’sstandards and practices.

All verified QC and QA verification and acceptance activities are used in the acceptancedecision that will provide assurance that when Final Acceptance of the Project is requested, theDepartment is confident that all material incorporated into the Project and the associatedworkmanship conform to plans, specifications, standards and contract requirements. Theseacceptances and verifications of QC data will document the acceptance of the Work forpayment purposes and assure all non-conformances have been satisfactorily addressed.

The Department shall have the authority to stop Work specific to Work Zone Traffic Control forall work sites and for the overall safety of the Work site to ensure that it is safe for the workers,the inspection staff and the public.

Nothing in the scope of the Department’s QA role shall be construed to relieve the Design-Builder, the Construction Inspection Professional Engineering Firm and the Materials TestingFirm or Laboratory of their responsibilities for full time construction inspection and compliancewith the Contract, the design and specifications, the Design-Builder’s approved Quality ControlPlan, as well as the Department’s standards and practices.


I-690 over Teall Ave. & Beech St. 2 Part 2 – Appendix 112CPIN 3506.41, Contract D900035 Addendum #4 October 12, 2016

not incorporate Contractor’s QC data, there was no need for verification sampling and testing ofthe QC data. On Design-Build Projects, however, where sufficient volumes of material and thefrequency of both QC and QA testing allows, NYSDOT has chosen to incorporate the Design-Builders Quality Control (QC) sampling and testing data into the acceptance decision; thereby,transferring more responsibility onto the Design Builders QC program. Since the Design-Builder’s QC sampling and testing is used as part of the acceptance decision, the Code ofFederal Regulations (CFR) requires verification of the Design-Builder’s sampling and testingresults by the Department, or its agents. The use of Design-Builder test results as part of theacceptance decision should be carefully evaluated for each project because a significantDepartment owner verification program is instrumental to the project’s success. Should, due tothe size and complexity of the project, volumes of material and respective frequencies of QCand QA testing prohibit the use of a verification program (i.e., the inability to run statisticalvalidation for Risk Factor 1 materials), then material acceptance will be based upon NYSDOT’sQA test results under Risk Factor 1 – Low Volume, RF-1 (LV).

1.2 FHWA REQUIREMENTSFHWA’s sampling and testing regulation titled “Quality Assurance Procedures for Construction”was published on June 29, 1995 as Title 23, Code of Federal Regulations, Part 637, (henceforthreferred to as the CFR). This regulation permits the use of Design-Builder test results in theacceptance decision, “provided that adequate checks and balances are in place to protect thepublic investment.” The purpose of the CFR is, “to prescribe policies, procedures, andguidelines to ensure the quality of materials and construction in all federally-aided highwayprojects on the National Highway System.” FHWA provided guidance and recommendations forthe use and validation of Design-Build test results in the acceptance decision, recommendedquality measures, and identified Design-Builder / Department risks in FHWA Technical AdvisoryT 6120.3, issued on August 9, 2004. FHWA later issued a non-regulatory supplement, NS 23CFR 637B, on July 19, 2006 to provide additional guidance. Lastly, FHWA issues TechnicalAdvisory HRT-12-039, in April of 2012, to further explain QC and QA requirements.

The four documents cited above are available at the following links:

· 23 CFR 637B: http://www.access.gpo.gov/nara/cfr/waisidx_03/23cfr637_03.html ;

· TA T 6120.3: http://www.fhwa.dot.gov/construction/t61203.cfm ;

· NS 23 CFR 637B: http://www.fhwa.dot.gov/legsregs/directives/fapg/0637bsup.htm ; and

· HRT-12-039: http://www.fhwa.dot.gov/publications/research/infrastructure/12039/12039.pdf

The following are key points from the CFR, technical advisory, and non-regulatory supplementas it pertains to the use of Design-Builder test results in the acceptance decision.

1. Quality Assurance Program. Each State Highway Agency (SHA) must develop a qualityassurance program that will assure materials and workmanship incorporated into each federally-aided highway construction project on the national highway system is in conformity with therequirements of the approved plans and specifications, including approved changes. Theprogram must meet the criteria in 23 CFR 637.207 and be approved by FHWA. Each SHA’squality assurance program shall provide for an acceptance program and an independentassurance (IA) program.

2. Independent Assurance Program. The Design-Builder’s QC Material Testing Techniciansand the owner verification sampling and testing Material Testing Inspectors are evaluated by anindependent assurance (IA) program. The program is focused on evaluating MaterialAcceptance Technicians/Inspectors sampling and testing procedural techniques and proper useand calibration of testing equipment to insure that it complies with accepted test methods. The



For Construction Material Acceptance, when the Design Builder’s QC test data is used in theacceptance decision, as inspected per the recommended frequency established DB 100,Appendix 112C – Attachment 1, NYSDOT is required to perform verification testing to verify andsometimes statistically validate the test data used by the Design-Builder. When the DesignBuilder’s QC test data is not used in the acceptance decision, NYSDOT will follow theprescribed recommended minimum testing frequencies as defined for RF-1 (LV), RF-2, and RF-3 materials.

To avoid the appearance of a conflict of interest, any (non-State DOT) qualified laboratory willperform only one of the following types of testing on the same project:

· QC testing,

· QA testing,

· Verification testing for the owner,

· IA testing, or

· Referee testing.



SECTION 4 CONSTRUCTION MANAGEMENT AND CONSTRUCTION QUALITYASSURANCE

4.1 GENERAL

As described above, Quality Assurance consists of those actions performed by the Departmentto verify the Design-Builder’s Quality Control Plan is being adhered to, that the Contractrequirements are met and that all Department standards are met. On Design-Build projects theDepartment representatives are conducting two functions; one is to ensure that the Design-Builder is following the QC Plan procedures, and the second is to verify workmanship and whenapplicable the Design Builder’s QC material testing data.

The Design-Builder is responsible through the Construction Quality Control Engineer todetermine acceptability of materials for use and that proper construction practices areemployed. Typically, adherence to Department approved materials requirements withappropriate sampling and testing methods and frequencies following Department procedures isexpected. The Construction QC Engineer should also perform inspection of constructionoperations and progress documentation following MURK procedures, unless defined otherwisein the Quality Control Plan.

The Department’s QA process confirms both the Design-Builders adherence to the QualityControl Plan and bases material acceptance through either verification of QC data or QAacceptance , so that when the project is complete, final acceptance can be made withreasonable assurance that materials are acceptable and that construction procedures wereprogressed in a manner to assure the long term durability and performance of the project.

The following listing of activities is an overview of the Department’s Design Quality AssuranceEngineer’s oversight roles and activities relating to construction Quality Assurance of theProject. Refer to DB Sections 111 and 112 and DB Appendix 112 C – Attachment 1 for moredetails regarding the Department’s role in Construction Quality Assurance.

· Verifying that current stamped and signed Design Plans and Project Specifications are on-site;

· Confirming that the Design-Builder’s Construction QC staff:

1) have the specified qualifications, licenses, and/or certifications;

2) are present to observe and control the work;

3) are performing their duties in accordance with contract requirements, specifically thosespecified in DB §112; and

4) are conducting sampling and testing of materials at the proper frequencies.

· Confirming if differing site conditions and/or significant changes in the character of the workoccur;

· Verifying progress, reviewing and approving payment requests;



· Auditing the Design-Builder’s construction QC records to verify that the Design-Builder ismaintaining quality and is performing its QC responsibilities, and , if necessary, issuing Non-Conformance Reports for the Design-Builder to conform to the Quality Control Plan and tomake corrections and preventive actions;

· Verifying records of Force Account Work. The Design-Builder will be responsible formaintaining the Force Account records, but the Department’s staff will spot-check the labor,equipment, and materials being used;

· Spot-checking measurements of any work paid on the basis of quantities and Unit Prices;

· Auditing safety and security records and checking of the qualifications of safety and securitypersonnel;

· Spot-checking for compliance with Design Plans and Project Specifications, conductingeither verification (QA) sampling and testing and comparing Department’s CQAE recordswith the Design-Builder’s construction QC Inspection results, or QA acceptance samplingand testing;

· Reviewing and spot-checking Design-Builder’s Work Zone Traffic Control activities andinstallations;

· Participating in release for construction Design Reviews and reviews of Work Plans;

· Participating in the reviews of As-built Plans;

· Ensuring the Design-Builder is complying with the QC plan processes and procedures;

· Assisting the Design-Builder in coordinating with appropriate State or federal agenciesshould unknown, unidentified Hazardous Materials be encountered;

· Spot-checking the Design-Builder’s QC Inspectors’ records for the remediation of HazardousMaterials;

· Performing Construction QA and testing of materials to either verify the Design-Builder’s QCmaterials test data or accept materials based on QA test data;

· Coordinate with NYSDOT Regional IAST Staff to ensure that appropriate project staff get IAinspected;

· Monitoring Design-Builder’s Utility Relocations and installations; and

· Verifying qualifications of Design-Builder’s environmental staff, spot-checking of Design-Builder’s compliance with environmental requirements; and, auditing of Design-Builder’senvironmental monitoring records.

The level of effort of verification by the Department both for materials and construction practicesis dependent on risk. Risk is informally evaluated for impacts to long-term performance,impacts to operational and maintenance cost over the service life of the project, and publicsafety and perception regarding premature distresses and/or failures of the constructionmaterials in question. The Design-Builder assumes the risk and progresses work accordingly.This risk can be managed by utilizing Department Approved materials and sources lists, and



appropriate QC testing methods. It is the Department’s role to verify materials acceptability andtest results when applicable, assure compliance with construction procedure requirements andresultant workmanship, and perform IAST to assure testing is performed correctly.

On Design-Build projects the Department is still responsible for the acceptance; however, whenmaterial volumes and test frequencies warrant the risk is shifted towards the Design-Builder asthe Department incorporates verified QC data and processes into the acceptance decision.Verification is the process of assuring specific products incorporated into this Project andprocedures used are acceptable. Material acceptance that incorporates the Design-Builder’sQC data requires a higher frequency of QC testing and an abbreviated frequency of QAverification testing than traditional Design-Bid-Build Projects. The frequency of Verification(QA) testing is categorized by the Department into one of three risk factors that is dependentupon the long-term performance risk associated with the material and its use.

The fundamental principle behind using a three-tiered approach is to assign the appropriatelevel of resources to monitor and evaluate each item of work based on the Department’s risk. Ingeneral, the higher the risk associated with the long-term performance of the material and thehigher usage on a project the greater frequency level of inspection and verification used in theacceptance decision.

Detailed descriptions of each risk factor level are defined in §112, Appendix 112C and specificdetails for each item’s QA practices are provided. The 3 4 risk factor levels are described ingeneral below.

4.2 MATERIAL SAMPLING, VERIFICATION TESTING & INSPECTION:

The recommended risk factor verification levels, specific test criteria, and frequency of testingare defined in §112, Appendix 112C – Attachment 1. These are default values for StandardSpecification items. For other materials, or where quantities may be significant, the CQAEshould assign or revise the appropriate risk factor verification level during the development ofthe Project Specific Quality Assurance Plan to provide an accurate level of verification.

4.2.1 Risk Factor 1 (RF-1) and Risk Factor 1 – Low Volume (RF-1 (LV))

RF-1 provides continuous analysis using statistically based (F & t-testing) for those categoriesof materials and associated test methods that are strong indicators of long-term performance.These are typically considered high-risk, high-volume type materials incorporated into a Design-Build project. Examples include compressive strength for hydraulic or PCC concrete, percentsoil compaction for embankment, and percent asphalt content for Hot Mix Asphalt Concrete.The Design-Builder’s QC testing frequency is in compliance with various Departmentdocuments and the Department’s Verification sampling and testing frequencies should be aminimum of 25% of the QC testing frequency. Acceptance is based upon both validation ofstatistical analysis of complimentary QC test data population and QA verification test datapopulations and both test results meeting acceptable material acceptance limits as defined inthe contract documents.

Repeat failing test results should trigger a higher frequency of Verification testing and for thosematerials/test methods that have demonstrated high levels of repeated successfulvalidation/specification compliance should be considered for reduced RF-1 inspection not to gobelow 10% of QC testing frequency.



When smaller quantities of high risk type materials are used, consideration for random samplingand test, independent from Design-Builder sampling and testing, may be appropriate at 25% ofthe QC testing frequency. Sstatistical comparison and/or validation methods may not beappropriate in these situations. In these cases, Risk Factor 1 –Low Volume (RF-1 (LV)) shall befollowed. The DB shall continue to provide QC and when materials are deemed ready forinspection, The Department will perform random sampling and testing. This QA testing will formthe acceptance decision.

4.2.2 Risk Factor 2 (RF-2)In addition to checking that all QC test results are within specification limits, the RF-2 verificationprovides independent verification of those materials and associated test methods that aresecondary indicators of material performance. Verification testing, in the form of independentverification sampling with the QC test, that the test results fall within specification limits istypically appropriate. These materials/material tests are considered a reduced risk from RF-1.An example is the slump test for concrete. Approved list products that require more thanmanufacturer’s certification of compliance to assure quality are covered under this level ofverification. The QA verification sampling and testing frequency should be a minimum of 10% ofQC testing frequency. Acceptance is based upon verification test method results meeting thespecification limits. No statistical validation is required.

4.2.3 Risk Factor 3 (RF-3)RF-3 provides observation verification for those materials that only require very few QA tests forcompliance with various Department documents or where materials are accepted based on theinclusion in the Departments Approved List of Materials. For these materials, risk of failure doesnot affect the long-term performance of the facility. The Design-Builder is should still performQC testing as required. Under RF-3 approach, the Department oversight does not perform andtests but observes any QC test performance for equipment and procedural compliance.Examples are an audit of project procurement records to verify inclusion on the DepartmentsApproved List, Certification of Compliance on record, Buy America Certification, etc. Thefrequency of this testing is a minimum of once per calendar year per test method and/orproduct, or random frequency as determined by the Department’s Project Manager.

In critical situations, Department verification will include hold or witness points to assure qualityfor those materials or procedures that, once used or completed, can’t be checked or removal isextremely difficult should deficiencies be discovered.

4.3 VERIFICATION SAMPLING & TESTINGWhen there is sufficient quantity of QC and QA test data for a given RF-1 material, TtheDepartment shall use a statistically sound process to compare the Design-Builder’s QC testresults with those obtained by the Department, and then decide whether the results arestatistically valid. The specific verification procedures will vary by material but the following isan abbreviated step by step procedure to familiarize the reader with the process:

1. The objective of the verification testing process is to validate and confirm if the DesignBuilder’s QC data came from the same population as the Departments Verification testdata. The statistical process can help to identify discrepancies in the overall material,process, sampling, and testing processes. Verification testing should be conductedusing random independent samples.

2. Verification testing will be undertaken using sampling and testing equipment that was notused for QC testing.



hand. Actions could consist of but are not limited to remove and replace, remediate in place,remain in place without remediation, and/or consideration of price adjustments.

Unless stated differently in the Contract or the RFP the Department will perform quality controltests and inspections during the production of the materials produced off-site such as at PCCPlants, Asphalt Plants, Precast Concrete Plants, etc. On -site QA tests and inspections will beperformed by the Department after QC sampling and testing has confirmed acceptability ofmaterials, and the frequency of any such testing will be as defined in DB §112, Appendix 112C– Attachment 1.

4.4.1 Standard off-site manufactured materials / Approved List items

Because certain material production and/or locations are not conducive to QC by the Design-Builder, the Department will perform sampling and testing of various items for inclusion into theDepartment’s Approved List of Materials, adhering to standard evaluation requirements formaterials. The requirements and procedures for Approved List testing can be found athttps://www.dot.ny.gov/divisions/engineering/technical-services/materials-bureau.

4.4.2 Off-site manufactured / fabricated materials

All domestic off-site materials sampling and testing for QC/QA operations will be performed bythe Department in a manner similar to what is done for traditional Design-Bid-Build projects, andin accordance with NYSDOT Specifications. Depending on sampling and testing proceduresand the applicable risk factor, statistical evaluations may be performed. The Design-Buildershall perform QC of off-site manufactured/fabricated materials as deemed appropriate by theDesign-Builder and shall hold the Department harmless for liabilities associated with scheduledelays and/or impacts to contracted supplier-subcontractor business relationships.

Off-site manufactured items subject to Department QA materials acceptance proceduresinclude:

· Prestressed Concrete Structural Elements (beams, girders (AASHTO and bulb-T), and piles

· Metal Traffic Signal and Light Poles and Arms

· Structural Steel Elements (beams and girders)

· Precast Concrete Materials Elements

· Pipe (concrete, steel, aluminum and high density polyethylene) for culverts, storm drainsand underdrains

· Hot Mix Asphalt Concrete production – QC/QA program

· Portland Cement Concrete production

· Aggregate CMA QA program District Materials Section

· Masonry

· Structural Steel Paints

· Bridge Railing and Guide Rail

· Traffic Control Materials

· Sign Structures



· Frames and Grates

Note: Where shop drawings are required for material production, the Department’s QAresponsibility is to verify production in conformance with specific shop drawings. Shop drawingreviews, when appropriate, should be addressed following Design QA requirements.

Refer to Part 5 – Special Provisions for Design-Builder Quality Assurance Requirements relatedto Bridge Bearings. The Department will perform QA of bearings at a frequency established inPart 2, section 112C – Attachment 1.

4.4.3 On-site fabricated materials / project produced materialsThe Department will perform sampling and testing of on-site fabricated materials for use ofproper raw materials, handling, placement, and /or storage until time of use. Various materialstests will be used dependent upon the material under evaluation. The type and amount oftesting will be defined in DB §112, Appendix 112C – Attachment 1. Critical items will requiresampling and testing at greater frequencies, typically considered RF-1 as described earlier.Other items will be evaluated as RF-2 or RF-3 as appropriate. All sampling and testingperformed by the Department will be after the Design-Builder’s QC has progressed.

4.5 CONSTRUCTION QA - GENERALConstruction practices used by the Design-Builder shall be as defined in the Contractdocuments. During construction operations, the CQAE will check various operations andcompared them to the requirements set forth in Project documents and standard specifications.These checks will be performed following the appropriate procedure and documented by theCQAE. The Department shall have the right to audit, monitor, inspect and test the work as itprogresses and the Design-Builder shall accommodate this process. Routine review of therecords produced by the Design-Builder’s QC staff should be performed to verify accuraterecording of work activities, testing results, etc… are being progressed by the Design-Builder.DB §112, Appendix 112C – Attachment 1 defines the construction QA oversight of items used inthe Work. Department Construction Quality Assurance Engineers will document audits ofconstruction operations on a daily work report or similar type record. The CQAE will maintain adaily Diary of the construction operations.

When construction operations are in compliance with Contract requirements, results should bereported in a timely manner to the Design-Builder. No further action is typically required.

If construction operations are not performed to the Contract requirements, the CQAE willprepare a non-conformance report in a timely manner. It is the Design-Builder’s responsibility toreview the findings of the QA observations, and take appropriate actions to maintain quality.Non-conformance findings will be reported and corrective action taken as appropriate for thework at hand. Actions could consist of but are not limited to remove and replace, remediate inplace, remain in place without remediation, and/or consideration of price adjustments.

Depending on the size of the project, there may be multiple categories of DepartmentInspectors, or a Department Inspector may be required to fulfill more than one role. The intentis not to duplicate inspection of the work provided by QC team but to verify QC data anddocumentation of the QC inspections.

Additionally, the Department will perform Independent Assurance Sampling and Testing (IAST),observations and oversight to assure adherence to the QC Plan developed for the project. All



being added to the sample population as older verification test results are removed (up to 25day maximum limit). The analysis will be performed against the corresponding QC samplepopulation.

The level of significance (α) used for statistical analysis will be as provided below unlessotherwise approved by the Department.

Material Level Of Significance (α)Earthwork: compaction 0.01Concrete, structural: air content, 28 day compressive strength 0.025Concrete, non structural 28 day compressive strength 0.01Hot Mix Asphalt items Per existing QC/QA programOther materials (TBD) 0.01

There are four possible combinations of passing and failing results between the QC and QA(verification) test results.

1. Both the QC and QA test results pass specification limits: Although statistical validationhas not occurred, both the QC and QA test results are passing the establishedspecification limits; thus, material quality in question is considered acceptable.

2. QC test results fail and QA test results pass specification limits: Material may be left inplace if the Engineer of Record and QC Engineer determines that engineering judgmentmay be used to accept the material or if the material is accepted through the non-conformance resolution process.

3. Both the QC and QA test results fail the specification limits: Material may be left in placeif the Engineer of Record and QC Engineer determines that engineering judgment maybe used to accept the material or if the material is accepted through the non-conformance resolution process. The acceptance of material is subject to one of the twoscenarios below.

a. QA test result indicates reasonable conformance with specification requirements, andNYSDOT exercises engineering judgment to concur with acceptance of material basedon the Engineer of Record and QC Engineer’s judgment or through the non-conformance resolution process.

b. QA test result does not indicate reasonable conformance with specificationrequirement, and the QC Engineer must perform an additional fixed test at the QAfailed test location. Based on the results of QC Engineer test result and subsequentinvestigation discussions between the Department and the Design-Builder’s Engineerof Record, a determination is made and documented on whether the material may beleft in place.

4. QC test results pass but QA test results fail specification limits: Material may be left inplace if the Engineer of Record and QC Engineer determines that engineering judgmentmay be used to accept the material or if the material is accepted through the non-conformance resolution process. This is subject to the Department’s response in thetwo scenarios below.

a. QA test result indicates reasonable conformance with specification requirements, andthe Department exercises engineering judgment to concur with acceptance of materialbased on the Engineer of Record and QC Engineer’s judgment or through the non-conformance resolution process.



b. QA test result does not indicate reasonable conformance with specificationrequirement, and the QC Engineer must perform an additional fixed test at the QAfailed test location. Based on the results of QC Engineer test result and subsequentinvestigation discussions between the Department and the Design-Builder’s Engineerof Record, a determination is made and documented on whether the material may beleft in place.

5.2 SPLIT SAMPLE DISCREPANCIES

For dispute resolution where non-statistical methods are being used, a split sample shall beobtained and tested. Since most QA sampling and testing will be facilitated at the Regionallevel, sample testing for dispute resolution will be performed at the Department’s CentralLaboratory or utilizing an independent laboratory. A comparison of tolerances which will triggerthe referee and disputes processes is summarized in the table below. Comparison tolerance fortesting shall be:

The Department’s Project Manager will determine allowable actions to address discrepancies orfailures as determined below, following the non-conformance resolution process. Actions couldconsist of but are not limited to remove and replace, remediate in place, remain in place withoutremediation, and/or consideration of price adjustments.

Test Comparison Tolerance Source

Soil/ Aggregate Wet Densityusing Nuclear gauge in DirectTransmission1

Soil – 2.1 pcfAggregate Base – 3.0 pcf

Values adjusted fromAASHTO T-310

Soil/Aggregate Density usingSand Cone1

2.0 pcf Values adjusted fromASTM D1556

Soil/Aggregate Moisture usingNuclear gauge (backscatter) 1

Soil – 2.1 pcf Values adjusted fromAASHTO T-310

Soil/Aggregate Moisturedetermined by oven dry

14% difference2 ASTM D2216

One Point Proctor – densityLab Proctor – density

5.0 pcf AASHTO T-99

One Point Proctor – moisture 15% difference2 AASHTO T-99

Gradation > No. 4 sieve: ± 5%≤ No. 4 sieve: ± 3%

AASHTO T27 / T/11

Concrete Air ± 1% ASTM C231ASTM C173

Concrete Strength 15 % difference on theaverage of 2 cylinders

Values adjusted fromASTM C39

Asphalt Bulk Specific GravityIdentical plug/corePlug/core –split sample (closeproximity)

Less than 0.015Less than 0.030


1 Referee testing in the field using a third party2 Percent difference calculation shall be % diff ≤ ({absolute value[W1-W2]} / ((1/2) * (W1+W2)))*100


I-690 over Teall Ave. & Beech St. 1 Part 2 – Appendix 112C - Attachment 1PIN 3506.41, CONTRACT D900035 Addendum #4 October 12, 2016

The Design Builder (DB) shall use this Appendix 112C – Attachment 1 to aid in development ofa Quality Control (QC) Plan as defined in DB Section 113. The Department will perform QualityAssurance (QA) for materials acceptance to verify that the Design and Construction QC Plan iscontrolling DB operations in conformance with Department standards. This Appendix 112C –Attachment 1 describes the expected testing procedures and frequencies to assure product andprocess quality, and verification of the DB QC Plan.

Quality Assurance on the Design Builder’s QC process may be progressed according to valuesdefined in the “QA Actions and Testing” column of the following table. The Risk Factor forvarious items will determine the frequency at which the Department will conduct qualityassurance / verification sampling and testing. Statistical methods may be considered for use bythe Department to evaluate the effectiveness of sampling and testing results from QC for use asacceptance. The QA Actions and Testing column defines those actions and the frequencythereof that the Department expects to minimally take to provide quality assurance of materialsand construction inspection activities. Final determination of these actions and frequencies willbe developed specific to the QC plan provided by the DB.

The level of effort of verification by the Department both for materials and construction practicesis dependent on risk. The Design-Builder assumes most of the risk and progresses workaccordingly. This risk is managed by providing appropriate QC to limit failures of materials ornon-conformance to acceptable construction procedures. Therefore, the Department’s rolewhen applicable, is to verify materials acceptability and testing results, assure compliance withconstruction procedure requirements, and perform IAST to assure testing is performed correctly.

The Department’s QA considers the material application and construction procedures todetermine the overall risk associated with using a particular material or process. The risk isthen defined as one of three Risk Factor levels, each addressing the expected QA needs.Detailed description of each Risk Factor level is defined in the table below and specific detailsfor each item’s QA practices are provided. The three Risk Factor levels are described ingeneral below.

Risk Factor 1 (RF-1)RF-1 provides continuous analysis using statistically based (F & t-testing) for those categoriesof materials and associated test methods that are strong indicators of long-term performance.These are typically considered high-risk, high-volume type materials incorporated into a Design-Build project. Examples include compressive strength for hydraulic or Portland CementConcrete, percent soil compaction for embankment, and percent asphalt content for Hot MixAsphalt Concrete.

When sufficient quantities are used on a project such that the Design-Builders data can be usedfor acceptance purposes, tThe Design-Builder’s QC testing frequency is in compliance withvarious Department documents. There must be a minimum of 5 verification tests performed bythe Department for a given material and the Department’s Verification sampling and testingfrequencies should be a minimum of 25% of the QC testing frequency. Acceptance is basedupon both validation of statistical analysis of complimentary QC test data population and QAverification test data populations and both test results meeting acceptable material acceptancelimits as defined in the contract documents.

Repeat failing test results should trigger a higher frequency of Verification testing and for thosematerials/test methods that have demonstrated high levels of repeated successfulvalidation/specification compliance should be considered for reduced frequency of inspectionnot to go below 10% of QC testing frequency.Risk Factor 1 – Low Volume (RF-1(LV))



RF-1(LV) provides for acceptance when smaller quantities of high risk type materials are usedand statistical comparison and/or validation methods are not appropriate. To be statisticallyvalid, there must be a minimum of 5 verification tests performed by the Department for a givenmaterial. The Design-Builder shall continue to perform QC and when materials are deemedready for Department inspection, random sampling and testing will be performed by theDepartment. The frequency of sampling and testing will be in compliance with variousDepartment documents. In these cases, QA testing will form the acceptance decision.

The Design-Builder’s data may be used for acceptance only after sufficient tests have beenperformed to provide for a statistically valid analysis, at which time QA will revert to therequirements of Risk Factor 1.

When smaller quantities of high risk type materials are used, consideration for random samplingand test, independent from Design-Builder sampling and testing, may be appropriate at 25% ofthe QC testing frequency. Statistical comparison and/or validation methods may not beappropriate in these situations.

Risk Factor 2 (RF-2)In addition to checking that all QC test results are within specification limits, RF-2 verificationprovides independent verification of those materials and associated test methods that aresecondary indicators of material performance. Verification testing, in the form of independentverification sampling or split sampling with the QC test, that the test results fall withinspecification limits is typically appropriate. These materials/material tests are considered areduced risk from RF-1. An example is the slump test for concrete. Approved list products thatrequire more than manufacturer’s certification of compliance to assure quality are covered underthis level of verification. The QA verification sampling and testing frequency should be aminimum of 10% of QC testing frequency. Acceptance is based upon verification test methodresults meeting the specification limits. No statistical validation is required.

Risk Factor 3 (RF-3)RF-3 provides observation verification for those materials that only require very few QA tests forcompliance with various Department documents or where materials are accepted based on theinclusion in the Departments Approved List of materials. For these materials, risk of failure doesnot affect the long-term performance of the facility produced approved products are used. TheDesign-Builder is should still perform QC testing as required. Under RF-3 approach, theDepartment oversight does not perform any tests but observes any QC test performance forequipment and procedural compliance for a product, and/or perform an audit of projectprocurement records to verify compliance with Departments Approved List, Certification ofCompliance on record, Buy America, etc. The frequency of this testing is a minimum of once percalendar year per test method and/or product, or random frequency as determined by theDepartment’s Project Manager.

Some domestic off-site materials sampling and testing for QA operations may be performed bythe Department as indicated elsewhere in the RFP. When Department QA is used foracceptance / rejection of materials, the Risk Factors are not applicable since no Design-Builderdata is used for acceptance. The Design-Builder may perform QC as deemed appropriate ordesired at off site locations and should include any such oversight in the QC Plan. If Design-Builder sampling and testing is desired for acceptance, this should be outlined in the QC Planand Risk Factors will apply.

Use of materials for which there is not an Approved List category will require, in the Design-Build Quality Control Plan, those tests and evaluations to prove the durability of uniquematerials before use in the project. In many cases, physical testing should be performed by an



independent laboratory. A planned frequency of sampling and testing, commensurate with thelevel of risk of the product proposed for use, must be provided in the DB Quality Control Plan foracceptance by the Department’s Project Manager.

Department QA of Construction Inspection operations will typically consist of verifying theCQCE is performing and assuring all construction operations adhere to DepartmentSpecifications and Standards and/or the DB Quality Control Plan. The Department shall havethe authority to perform sufficient inspections and/or tests of the DBs work to verify that theinspections and /or tests performed by the CQCE are in compliance with the contract, thedesign and specifications, the Design-Builder’s approved Quality Control Plan, as well as theDepartment’s standards and practices. The frequency of construction inspection will depend onthe critical nature of the construction operation.

Certain critical items of work will require witness or hold points to assure acceptability and/orverification testing prior to progression of work. The DB should include in the QC Plan specifichold points as desired by the DB or as required by the Department.

Witness and Hold Points shall be established where notification of the Department and/orDesign-Builder’s design team (for elements of a project that require design team memberscertification prior to continuation of Work), where applicable, is required for observing or visuallyexamining a specific work operation or test. Witness Points are points identified within theConstruction QC Plan which require notification of the Department and/or design team, whereapplicable. Work may proceed beyond a Witness Point with or without participation by theDepartment provided proper notification has been given. However, work shall not proceed untilcertification from the required design team member is obtained. Hold Points are mandatoryverification points identified within the Construction QC Plan beyond which work cannot proceeduntil mandatory verification is performed. Witness and Hold Points shall be identified in theConstruction QC Plan where critical characteristics are to be measured and maintained, and atpoints where it is nearly impossible to determine the adequacy of either materials orworkmanship once work proceeds past this point.

The CQAE shall designate a primary point of contact for notifications for inspection at HoldPoints and Witness Points. An alternate individual may be designated to function in this capacityin his/her absence. For Witness and Hold points where the Department’s involvement isrequired, the Department’s CQAE will be designated to handle responses to theConcessionaire/Design-Builder with written reports or releases. The time necessary to respondto the notification for inspection at Witness and Hold Points shall be stated in the ConstructionQC Plan, mutually agreed to by both the Design-Builder and the Department.

The Department will have access to all activities and records of the DB, CQCM, and materialstesting firm/laboratory retained by the DB for the purpose of assuring that the construction andinspection activities are being conducted in compliance with the contract, the design andspecifications, the DB’s approved Quality Control Plan, as well as the Department’s standardsand practices.

All QA activities of the Department will provide assurance that materials and methods are suchthat, when final acceptance of the project is requested, the Department is confident that allmaterials and work conforms to plans, specifications, and standards. These verifications willdocument the acceptance of the work for payment purposes and assure all non-conformanceshave been satisfactorily addressed.

The Department shall have the authority to stop work specific to Work Zone Traffic Control non-conformance issues that impact safety of the traveling public. The DB shall ensure the overallsafety for the workers, the inspection staff and the public at all times.



Nothing in the scope of the Department’s QA role shall be construed to relieve the DB and theirCI and QC firms of their responsibilities for full time construction inspection and compliance withthe contract, the design and specifications, the Design-Builder’s approved Quality Control Plan,as well as the Department’s standards and practices.

Tolerances for Statistical and Comparison evaluations shall be per the below tables to bedeemed valid or acceptable. Any discrepancies shall be handled according to the Appendix112C, Quality Assurance Plan Program Guide, Section 5.

The level of significance (α) used for statistical analysis will be as provided below unlessotherwise approved by the Department.

Material Level- Of Significance (α)Earthwork: compaction 0.01Concrete, structural: air content, 28 day compressive strength 0.025Concrete, non structural: 28 day compressive strength 0.01Hot Mix Asphalt items Per existing QC/QA programOther materials (TBD) 0.01

Comparison tolerance for testing shall be:

Split Sample Comparison TolerancesTest Comparison Tolerance Source

Soil/ Aggregate Wet Densityusing Nuclear gauge in DirectTransmission

Soil – 2.1 pcfSubbase – 3.0 pcfAggregate Base – 3.0 pcf


Soil/Aggregate Density usingSand Cone

2.0 pcf Values adjusted fromASTM D1556

Soil/Aggregate Moisture usingNuclear gauge (backscatter)

Soil – 2.1 pcfSubbase – 3.0 pcf


Soil/Aggregate Moisturedetermined by oven dry

14% difference* ASTM D2216

One Point Proctor – densityLab Proctor – density

4.5 pcf4.5 pcf

AASHTO T-99

One Point Proctor - moisture 15% difference* AASHTO T-99

Concrete Air +/- 1% ASTM C231ASTM C173

Concrete Strength 15 % difference on theaverage of 2 cylinders

Values adjusted fromASTM C39

Asphalt Bulk Specific GravityIdentical plug/corePlug/core –split sample (closeproximity)

Less than 0.015Less than 0.030


Percent difference calculation shall be % diff ≤ ({absolute value[W1-W2]} / ((1/2) *(W1+W2)))*100



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing501 - PortlandCement Concrete -General

§ RF-2 when DB is responsible for plantoperations§ RF does not apply when DOT performs

materials sampling and testing foracceptance purposes.

Materials QA: Inspection per MM9.1.For quantities less than 50 cy, materials acceptance may be viacertification.For projects producing large quantities for a given placement orwhere there is a project specific batch plant, the DB may berequired to perform plant sampling and testing. Such samplingand testing may be used for acceptance purposes following RF-2, per MM 9.1, verified quarterly by IAST testing. DOT toperform testing per MM 9.1 at 10% frequency to verify fineaggregate gradation of minus 200 material and moisture contentfor production.Additional testing may be required dependant upon Design-Builders QC plan requirements and any special testing outlinedto assure durability (i.e. corrosion protection, permeability, f/t,scaling, etc…)CI QA: NA

502 - PortlandCement ConcretePavement

§ For cumulative project quantities over1000 CY.

§ RF-1 for entrained air content§ RF-2 for temperature and unit weight

§ For cumulative project quantities 1000CY or less.

§ RF-1(LV) RF-2 for entrained air content,slump, temperature and unit weight

Materials QA: Plant inspection per requirements of 501 forconcrete production.CI QA: Observe DB concrete sampling and testing of concretefor entrained air content, temperature and unit weight atfrequencies per MM9.2. Department to perform air content andunit weight testing, frequency dependant on volume used on theproject.



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing503 - PortlandCement ConcreteFoundation forPavement

§ For cumulative project quantities over1000 CY.

§ RF-1 for entrained air content§ RF-2 for temperature and unit weight

§ For cumulative project quantities 1000CY or less.

§ RF-1(LV) RF-2 for entrained air content,slump, temperature and unit weight

Materials QA: Plant inspection per requirements of 501 forconcrete production.CI QA: Observe DB concrete sampling and testing of concretefor entrained air content, temperature and unit weight atfrequencies per MM9.2. Department to perform air content andunit weight testing, frequency dependant on volume used on theproject.

551 - Piles and PileDriving Equipment

§ RF-1/ RF-1(LV) for concrete§ RF-2 for all other materials / operations

Materials QA: Review material documentation, verifycompliance per 551 requirements. Plant inspection perrequirements of 501 for concrete production. Perform 28 daycompressive strength per MM9.2, per concrete mixture for 25%of QC frequency when larger volumes permit RF-1.CI QA: Review construction practices per GEM-26 or as definedin Design-builders QC plan. Review pile plumbness on 25% ofthe number required in the QC plan. Review 25% of the piledriving logs.Observe 25% of the load testing required in the QC plan perGCP-18.

Drilled Shafts § RF-1/ RF-1(LV) for concrete§ RF-2 for all other materials / operations

Materials QA: Review material documentation. Plant inspectionper requirements of 501 for concrete production. Verification for28 day compressive strength per MM9.2, per concrete mixturewhen larger volumes permit RF-1.CI QA: Review construction practices per GEM-18 or as definedin Design-builders QC plan. Review pile plumbness on 25% ofthe number required in the QC plan. Review 25% of the piledriving logs.Observe 25% of the load testing required in the QC plan perGCP-18.



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing555, StructuralConcrete

§ For cumulative project quantities over1000 CYo RF-1 for air content and strengtho RF-2 for slump, unit weight and

temperature§ For cumulative project quantities 1000

CY or less.o RF-1(LV) RF-2 for strength, air

content, slump, unit weight andtemperature

o RF-3 for various appurtenances andraw materials. Witness points for allstructural applications prior toconcrete placement, to verify cover,rebar quantity and spacing, andverify proper placement ofappurtenances as necessary.

§ Hold point for concrete placement untilmaterials certifications received.

Materials QA: Plant inspection per requirements of 501 forconcrete production. Rebar acceptance per 556.Miscellaneous materials conformance per various 700 sectionrequirements. Perform plastic air content and 28 daycompressive strength, slump, unit weight, and temperature perMM9.2, per concrete mixture at frequency dependant on volumeused on the project as follows:For cumulative project quantities over 1000 CY:

· RF-1: 25% of QC testing frequency· RF-2: 10% of QC testing frequency

For cumulative project quantities 1000 CY or less:· RF-1(LV)RF-2: 10% of QC testing frequency

CI QA: Observe QC Inspection progressing per standardspecifications or QC Plan. Observe DB concrete sampling andtesting of concrete for air and slump at frequencies per MM9.2.Review materials certifications for various supplied items.Observe QC checks performed such that design is met forcharacteristics such as thickness, reinforcing spacing, cover,and grade. Verify acceptable curing materials on hand prior toplacement.Additional testing may be required dependant upon Design-Builders QC plan requirements and any special testing outlinedto assure durability (i.e. corrosion protection, permeability, f/t,scaling, etc…)



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing557 –SuperstructureSlabs, Sidewalks onBridges, andStructural ApproachSlabs

§ For cumulative project quantities over1000 CYo RF-1 for air content and strengtho RF-2 for slump, unit weight and

temperature§ For cumulative project quantities 1000

CY or less.o RF-1(LV) RF-2 for strength, air

content, slump, unit weight andtemperature

o RF-3 for various appurtenances andraw materials. Witness points for allstructural applications prior toconcrete placement, to verify cover,rebar quantity and spacing, andverify proper placement ofappurtenances as necessary.

§ Hold point for concrete placement untilmaterials certifications received.

Materials QA: Plant inspection per requirements of 501 forconcrete production. Rebar acceptance per 556.Miscellaneous materials conformance per various 700 sectionrequirements. Perform plastic air content and 28 daycompressive strength, slump, unit weight, and temperature perMM9.2, per concrete mixture at frequency dependant on volumeused on the project as follows:For cumulative project quantities over 1000 CY:

· RF-1: 25% of QC testing frequency· RF-2: 10% of QC testing frequency

For cumulative project quantities 1000 CY or less:· RF-1(LV)RF-2: 10% of QC testing frequency

CI QA: Observe QC Inspection progressing per standardspecifications or QC Plan. Observe DB concrete sampling andtesting of concrete for air and slump at frequencies per MM9.2.Review materials certifications for various supplied items.Observe QC checks performed such that design is met forcharacteristics such as thickness, reinforcing spacing, cover,and grade. Verify acceptable curing materials on hand prior toplacement.Additional testing may be required dependant upon Design-Builders QC plan requirements and any special testing outlinedto assure durability (i.e. corrosion protection, permeability, f/t,scaling, etc…)

558 - LongitudinalSawcut Grooving ofStructural SlabSurface

§ RF-3 Materials QA: N/ACI QA: Verify grooving dimensions per specification for eachday of work. Measure groove spacing.

560 - Masonry § RF-3 Materials QA: plant QC/QA program per Materials Procedure09-03 for block items. Verify masonry cement type is correct,and approvedCI QA: Random verification of adherence to all specificationconstruction requirements. Verify dovetail anchor locations /spacing for every 1000 sf wall placed.



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing563 – PrestressedConcrete Units(Structural)

§ RF-2 when DB is responsible for plantoperations.§ RF does not apply when DOT performs

materials sampling and testing foracceptance purposes at off-sitefabrication sites.

Materials QA: Precast production off-site per the PCCM. TheDesign-Builder will progress any necessary shop drawings andperform QC and QA as defined in the PCCM. The Departmentwill perform the requirements of the PCCM at 25% of thedefined QA requirements to verify conformance withspecifications.CI QA: Verify erection per PCCM.

564, Structural Steel § RF-2 when DB is responsible for plantoperations.§ RF does not apply when DOT performs


Materials QA: Steel fabrication off-site per the SCM. TheDesign-Builder will progress any necessary shop drawings andperform QC and QA as defined in the SCM. The Departmentwill perform the requirements of the SCM at 25% of the definedQA QC requirements to verify conformance with specifications.Other materials conformance per various 700 sectionrequirements.CI QA: Verify erection per SCM. Observe field repairs to paintdamaged during erection performed according to Section 572.

565, BridgeBearings

§ RF-2 for projects where Design Builderperforms oversight of production§ RF does not apply when DOT performs


§ Hold point: Installation shall onlyprogress after receipt of BR-195.

Materials QA: Verify Bearing manufacturer on Approved List.Department observation review of manufacturing and witnessof manufacturers sampling and testing data. 10% of theproduced lots will be sampled and tested by the Department forverification per sections 716-06, 716-07, 716-11, 716-12 orSpecial Specification requirements.CI QA: Verify BR-195 and inspection stamps inspected atjobsite.

566 – ModularExpansion JointSystems

§ RF-3

§ Hold point: Installation shall onlyprogress after receipt of manufacturer’scertification.

Materials QA: Verify use of systems on the Department’sApproved List and receipt of manufacturers certificationsreceived / on file.CI QA: Assure shop drawing reviewed by DB and receipt ofmanufacturer’s certification report prior to installation. Verifyadherence to manufacturer’s installation requirements. Observewatertight integrity test.



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing567 – Bridge JointSystems

§ RF-3

§ Hold point: Installation shall onlyprogress after receipt of manufacturer’scertification.

Materials QA: Verify use of systems on the Department’sApproved List and receipt of manufacturers certificationsreceived / on file.CI QA: Assure any shop drawing reviewed by DB and receipt ofmanufacturer’s certification report prior to installation. Verifyadherence to manufacturer’s installation requirements. Observewatertight integrity test.

568 – Bridge Railing § RF-3 for projects where Design Builderperforms oversight of production§ RF does not apply when DOT performs


Materials QA: Verify manufacturer’s certification with testresults received / on file. Drop Weight Tear Test each heat ofbridge rail as outlined in NYSDOT specification 710-23.CI QA: Verify installation progressed per 568-3. Randomtesting of connections requiring tightening to specified torque.

569 – PermanentConcrete TrafficBarrier forStructures

§ RF-1(LV) / RF-2 Materials QA: Plant inspection per requirements of 501 forconcrete production for cast-in-place (CIP) construction. Verifyprecast products provided from approved Precaster listed on theDept Approved List and produced under QC/QA program.Perform all sampling and testing of concrete per MM9.2.Samples taken at a frequency once for every 200 cy of concreteplaced. Acceptance based on compressive strength and aircontent. For precast verify that QC review of drawingsperformed properly and certifications provided.CI QA: for CIP verify all field items per QC Inspectionrequirements prior to concrete placement. Review materialscertifications for reinforcing. Observe QC checks performedsuch that design is met for items such as thickness, reinforcingspacing, and grade and cross slope as determined by dry run.Verify acceptable curing materials on hand prior to placement.

570 – PaintRemoval Operations

§ RF-3 Materials QA: Verify HEPA filters meet specificationrequirements.CI QA: Performance of the containment system during paintremoval operations shall be in accordance with the relevantparts of 570.



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing571 - Treatment andDisposal of PaintRemoval Waste

§ RF-3 Materials QA: NACI QA: Verify waste disposal progressed in accordance with571.

572 – StructuralSteel Painting: ShopApplied

§ RF-3§ RF does not apply when DOT performs


Materials QA: Paints must appear on Approved List for Class 1Paints. Abrasive must meet requirements set forth by 572,inspected in the field. Paint systems on A.L. sampled annually atrandom sites for chemical relevance to NTPEP tests on samesystem according to Materials Method 6.CI QA: Verify paint has been applied in accordance with 572.

576, BridgeDrainage System

§ RF-3 Materials QA: Verify materials conform to 576-2 through reviewof certifications.CI QA: Verify DB receipt of appropriate certifications.Installation per plans or shop drawings. Adherence to SteelConstruction Manual for any metallic product installation.Assure field testing performed per specification.

578 - BondedConcrete Overlay forStructural Slabs

§ RF-1(LV) / RF-2

§ Witness point prior to placement ofbonded overlay for surface preparation,reinforcing condition, and formwork.

Materials QA: Plant inspection per requirements of 501 forconcrete production. Rebar acceptance per 556.Miscellaneous materials conformance per various 700 sectionrequirements. Perform plastic air content and 28 daycompressive strength per MM9.2, per concrete mixture underRF-1(LV) or at 10% of QC frequency when larger volumes ofconcrete allow RF-2.CI QA: Observe QC Inspection progressing per standardspecifications or QC Plan. Observe DB concrete sampling andtesting of concrete for air and slump at frequencies per MM9.2.Review materials certifications for various supplied items.Observe QC checks performed such that design is met forcharacteristics such as thickness, reinforcing spacing, cover,and grade. Verify acceptable curing materials on hand prior toplacement.



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing579 - Structural SlabReconstructionPreparation

§ RF-3 Materials QA: Concrete, if required, per 501. Verifyacceptability of QC tests for plastic air content and 28 daycompressive strength per MM9.2, per concrete mixture.

CI QA: Verify removal limits and surfaces prepared properly perspecification requirements. Verify concrete repairs progressedper 555.

582 - Removal andReplacement ofStructural Concrete

§ RF-1(LV) / RF-2

§ Witness point for all structuralapplications prior to concreteplacement, to verify cover, rebarquantity and spacing, and verify properplacement of appurtances asnecessary.


583 - Shotcrete § RF-2

§ Witness point for qualification panel§ Witness point for all structural

applications prior to concreteplacement, to verify cover, rebarquantity and spacing, and verify properplacement of appurtances asnecessary.

Materials QA: Qualification panels should be observed byDepartment staff, verification using test panels taken every 1000sf for compressive strength.CI QA: OV review documentation of all materials componentsfrom AL. All cores for reinforcement encasement be retained forOV evaluation



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing584 - SpecializedOverlays forStructural Slabs

§ RF-1(LV) / RF-2

§ Witness point for all structuralapplications prior to concreteplacement, to verify cover, rebarquantity and spacing, and verify properplacement of appurtances as necessary


585 - StructuralLifting Operations

§ RF-3

§ Witness point for DCES review ofworking drawings

Materials QA: N/ACI QA: Verify lifting progressed via working drawings developedby DB.

587 - Bridge RailingReconstruction

§ RF-3 Materials QA: Verify manufacturer’s certification with testresults received / on file. Drop Weight Tear Test each heat ofbridge rail as outlined in NYSDOT specification 710-23 for anynew materials.CI QA: verify construction progressed per specifications

589 - Removal ofExisting Steel

§ RF-3 Materials QA: N/ACI QA: Verify work progressed per SCM and QC plan

590 - Adjustment ofBridgeAppurtenances

§ RF-3 Materials QA: Verify materials meet specification requirements,approved list as appropriate, and certifications received / on file.CI QA: verify construction progressed per specifications



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing604, DrainageStructures

§ RF-1(LV) / RF-2 - cast-in-place products§ RF-3 - precast products produced per

Materials QC/QA program requirementsfrom approved list manufacturer.

Materials QA: Plant inspection per requirements of 501 forconcrete production for cast-in-place (CIP) construction.Perform plastic air content and 28 day compressive strength perMM9.2, per concrete mixture under RF-1(LV) or at 10%frequency of QC when larger volumes of concrete allow RF-2.Verify precast products provided from approved Precaster listedon the Dept Approved List. Verify earthwork materials per 203.CI QA: for CIP, verify all field items per QC Inspectionrequirements prior to concrete placement. Review materialscertifications for reinforcing. Observe QC checks performedsuch that design is met for items such as thickness, reinforcingspacing, cover, etc… Verify acceptable curing materials onhand prior to placement. Perform all sampling and testing ofconcrete per MM9.2. For precast verify that QC review ofdrawings performed properly and certifications provided.Observe earthwork compaction testing per 203

605, Underdrains § RF-3 Materials QA: Verify Approved List materials and certificationsreceived / on file per appropriate 700 sections

CI QA: Observe installation to proper depth and use ofacceptable filter material.



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing606, Guide Railing § RF-1(LV) / RF-2 for concrete

§ RF-3 for all other materials§ RF does not apply when DOT performs


Materials QA: Verify Box Beam Guide Rail producers onApproved List. Verify manufacturer’s certification with testresults received / on file. NYSDOT to perform Drop Weight TearTest each heat of box beam guide rail as outlined in 710-21 andMaterials Method 14.

CIP concrete barrier and end assemblies – Verify plantinspection per requirements of 501 for concrete production.Rebar acceptance per 556. Miscellaneous materialsconformance per various 700 section requirements. Performplastic air content and 28 day compressive strength per MM9.2,per concrete mixture under RF-1(LV) or at 10% frequency of QCwhen larger volumes of concrete allow RF-2.

Precast concrete barrier – Verify material production per 704-03and precast manufacturers certification received / on file.

Corrugated Guide Rail and Cable Guide Rail – Verify materialcertification received / on file.

CI QA: Verify specific guiderail type installation per appropriate606. Observe QC concrete inspection per MM9.2

607, Fences § RF-3 Materials QA: Verify materials certifications received / on file.CI QA: Assure any shop drawing reviewed by DB. Performrandom check of 10% of the areas that have been inspected todetermine they meet the criteria called for in the contractdocuments.



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing643 – Noise Barriers § RF-3

§ Hold point for foundation strength

Materials QA: verify materials used meet requirements for thetype of barrier installed. Certifications for testing as appropriate.See 501 for concrete production. Quantities less than 50 CYaccepted on certification. Verify DB test results for foundationconcrete compressive strength meets barrier designrequirements. Observe concrete air content testing per MM9.2.CI QA: Verify completed installation per plans.

644 – OverheadSign Structures

§ RF-1(LV) / RF-2 for CIP concretesampling and testing§ RF-3 for other components and precast

concrete§ RF does not apply when DOT performs


§ Hold point for foundation strength priorto setting any overhead structures orpoles.§ Witness point for pole installation and

any bolt tightening.

Materials QA: Item 644 may require the use of stainless steelhardware. SS hardware stock lot sampled, tested and approvedaccording to 715-16 prior to use. Exception is grade B8 boltsless than 3/8” in diameter, which are accepted based onchemistry only. Plant inspection per requirements of 501 forconcrete production. Rebar acceptance per 556.Miscellaneous materials conformance per various 700 sectionrequirements. Perform plastic air content and 28 daycompressive strength per MM9.2, per concrete mixture underRF-1(LV) or at 10% of QC frequency when larger volumes ofconcrete allow RF-2. Verify materials on Approved List asappropriate. Refer to Special Specification Item#645.03XXXX11 for sheeting.

CI QA: Verify excavation per 206, select structural fill per 203.Verify concrete installation per 555.



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing654 – ImpactAttenuators -Permanent

§ RF-1(LV) / RF-2 for concrete or groutcompressive strength§ RF-3 for other components

§ Hold point for foundation strength priorto setting attenuators

Materials QA: See 501 for concrete production. Quantities lessthan 50 CY accepted on certification. Perform plastic aircontent and 28 day compressive strength per MM9.2, perconcrete mixture under RF-1(LV) or at 10% of QC frequencywhen larger volumes of concrete allow RF-2. Rebar acceptanceper 556. Miscellaneous materials conformance per various 700section requirements and certifications as appropriate. Verifymaterials on Approved List as appropriate.CI QA: Verify conformance with manufacturer’s drawings,plans, Standard sheets, Materials Detail sheets, and ApprovedLists.

655, Frames, Gratesand Covers

§ RF-3§ RF does not apply when DOT performs


Materials QA: review certification stating that castings (frames,grates and covers) meet the NYS Standard Sheets for castings,meet Buy America clause. Verify iron castings with “ProofLoaded” designs appear on Approved List for Proof LoadedCastings.CI QA: verify placement true to line and grade and properbearing on underlying surface.

656, MiscellaneousMetals

§ RF-3 Materials QA: verify materials requirements of 715 and 725 asappropriate. Galvanizing performed per 719-01. Reviewcertifications as appropriate. Random sampling when deemednecessary.CI QA: Verify work progresses per the Steel ConstructionManual.

659 -TelecommunicationUtilities

§ RF-3 Materials QA: Verify compliance with special provisions of localmunicipality and/or respective utility companyCI QA: Verify earthwork progressed per section 206requirements as appropriate. Verify DB coordination with localutility

660, Utilities § RF-3 Materials QA: Verify compliance with special provisions of localmunicipality and/or respective utility companyCI QA: Verify earthwork progressed per section 206requirements.



Specification Section Risk Factor, applications, and hold points Quality Assurance Actions and Testing670 - HighwayLighting System

§ RF-3

§ Hold point for foundation strength priorto setting structures or poles.§ Witness point for pole installation and

any bolt tightening.§ Hold point for all testing of systems prior

to placing into service.

Materials QA: See 501 for concrete mixture requirements.Concrete production accepted on certification. Observe plasticair content performed per MM9.2 procedures and frequency.Rebar acceptance per 556. Miscellaneous materialsconformance per various 700 section requirements andcertifications as appropriate. Verify materials on Approved Listas appropriate.CI QA: Verify shop drawing reviews completed by DB prior tomaterial delivery. Random review of installation per standardspecifications. Test of system prior to service

680, Traffic Signals § RF-1(LV) / RF-2 for concrete§ RF-3 for all other materials

§ Hold point for achieving concretestrength prior to loading / installingpoles.§ Hold point for all testing of systems prior

to placing into service.

Materials QA: See 501 for concrete mixture requirements.Concrete production accepted on certification. Perform plasticair content and 28 day compressive strength per specificationfollowing MM9.2, under RF-1(LV) or at 10% of QC frequencywhen larger volumes of concrete allow RF-2. Rebar acceptanceper 556. Verify precast components conform to 723-45.Miscellaneous materials conformance per various 700 sectionrequirements and certifications as appropriate. Verify materialson Approved List as appropriate. Verify certification frommanufacturer for compliance with 724 requirements.CI QA: Verify excavation per 206, select structural fill per 203.Verify concrete strengths achieved prior to any loading. Poleerection per standard sheets and compliance with any MUTCDrequirements. Verify appropriate testing of signal systems arecompleted prior to placement into service. Verify coordinationwith utilities and agency maintaining the signals as appropriate.

685, EpoxyReflectorizedPavement Markings

§ RF-3 Materials QA: Verify product appears on the Approved ListCI QA: Verify placement per plans, Standard sheets andMUTCD on clean / prepared surfaces, under acceptableatmospheric conditions, and using proper WZTC. Verify retro-reflectivity


I-690 over Teall Ave. & Beech St. 26 Part 2 - Appendix 113APIN 3506.41, Contract D900035 Addendum #4 October 12, 2016

Quality Assurance ControlOversightRev , Date

502.1 PURPOSEThis section shall indicate how the DB team will perform Quality Assurance Control oversightduring design and construction. The Design-Builder shall explain in this section how the QA QCOversight will ensure that the QC methods being used on the project are effectively providing ahigh standard of quality in the design and the construction.

This section will also describe how the Audits are documented, tracked, archived and sent tothe Department. Measures to eliminate deficiencies are to be included in the documentation aswell as follow-up to ensure that deficiencies have been corrected.

502.2 RESPONSIBILITIESThe responsibilities of the Quality Manager assigned to perform QA Oversight on of the QCfunctions to ensure that the QC Plan is being adhered to shall be described in this section. Thissection shall describe the method, frequency and documentation of QA QC Audits. It shall alsodescribe the process for tracking and resolving non-conformances of the QC Plan and process.

502.3 INDEPENDENT SAMPLING AND TESTING ASSURANCEThis section shall describe the method, frequency and documentation of QA Oversight samplingand testing. It shall also describe the process for tracking and resolving non-conformances ofthe QC Plan and process.

502.4 QUALITY CHECK POINTSQuality check points shall be indentified in this section. A description of documentationassociated with QCPs shall be included.

502.5 SCHEDULING AND NOTICES TO THE DB TEAMThis section describes the manner and timing of notifications to the Quality Manager ofupcoming construction work so that the QC work is properly coordinated.


I-690 over Teall Ave. & Beech St. 27 Part 3 - Project RequirementsPIN 3506.41, Contract D900035 Addendum #4 October 12, 2016

SECTION 6 RIGHT-OF-WAY

6.1 SCOPE

Plans showing the existing State owned Right-of-Way (ROW) are included in the ReferenceDocuments. The Design-Builder shall perform all the permanent Project Work within theexisting State owned ROW and any additional ROW that has been, or will be, obtained for theProject. All ROW has not yet been acquired (see Part 7 – Engineering Data for table ofanticipated ROW availability).

Maps for any Right-of-Way that is in the process of being obtained or has been obtainedspecifically for this Project are included in Part 7 – Engineering Data of these ContractDocuments.

There are twenty-two (22) strip acquisitions and three (3) relocations required for this Project.The relocations are described below:

A) A large retail/warehouse building of 11,008 square feet. Owner is 828 Burnet Avenue, LLCand the tenant is Johnstone Supply (a subsidiary of the owner). Johnstone Supply is asupplier of HVAC components. Anticipated availability of this property no later than June30, 2017.

B) A small one story office building of 868 sf and detached garage/shed of 3,568 sf. Owner isRoss Brothers Properties, LLC and the tenant is Environmental Paving Solutions, LLC (asubsidiary of the owner). Environmental Paving Solutions is a contractor that works mainlyoff site, with their office and materials on site. Anticipated availability of this property no laterthan June 30, 2017.

C) A 1.5 acre vacant lot. Owner is Ross Brothers Properties, LLC. Ross Brothers Propertiesuses this lot to store construction materials. Anticipated availability of this property no laterthan June 30, 2017.

The zone of Right-of-way acquisitions and easements consisting of maps 668, 669 and 670shall not be accessed by the Design-Builder until all acquisitions and easements within thiszone are available.

The zone of Right-of-way acquisitions and easements consisting of maps 671, 672, 673, 674and 675 shall not be accessed by the Design-Builder until all acquisitions and easements withinthis zone are available.

Property releases for driveway reconnections or other work that is required are the responsibilityof the Design-Builder, in close coordination with the Construction Quality Assurance Engineer.

Right of ownership of all ROW and the improvements made thereon by the Design-Builder shallremain at all times with the Department. The Design-Builder’s right to entry and use of theROW arises solely from permission granted by the Department under the Contract.

6.2 REQUIREMENTS6.2.1 Right-of-Way FencingAny ROW fencing that has been damaged due to construction of the Project or removed by theDesign-Builder shall be replaced by the Design-Builder with new ROW fencing meeting currentNYSDOT standards.

6.2.2 Property Interests Identified by the Design-Builder for its ConvenienceThe Design-Builder shall be responsible for the acquisition and all costs associated therewith forany temporary land or other property required for the Design-Builder’s convenience outside theROW Limits, such as for staging, lay-down, access, office space, temporary works, or other



9.4 CONSTRUCTION REQUIREMENTS

9.4.1 Dewatering and Groundwater ControlThe Design-Builder shall be responsible for evaluating the potential need for dewatering andgroundwater control, and for implementing such measures as appropriate, and shall evaluatethe effects on existing facilities resulting from any dewatering and draw down.

9.4.2 Deep FoundationsThe Design-Builder shall design and provide integrity and/or capacity testing of all deepfoundations, in accordance with Department standards. The below requirements supplement,but do not supersede, Department standards.

Drilled Foundations

· Static load tests, or equivalent capacity testing, must be performed prior to installation ofproduction drilled type foundations. One test must be performed for every 200 drilledpiles and/or drilled shafts, or fraction thereof, and a minimum of one test persubstructure.

· The integrity of all drilled type foundations must be monitored during installation.Integrity testing shall be performed on a minimum of 2% of all drilled piles and on 100%of drilled shafts. Integrity testing shall comprise of, as a minimum, crosshole soniclogging and/or thermal integrity profiling.

· All production drilled type foundation installations must be constructed using similarmethods, have a similar design, and have similar grout/concrete placement volumesand/or pressures to duplicate the closest test pile. All installation data must be recorded.

Driven Foundations

· All driven type foundations must contain a dynamic pile load test, or equivalent capacitytesting, on a minimum of 0.5% of all driven piles, and a minimum of one test persubstructure.

· All driven piles must have a similar design and be driven to similar criteria as the closestload tested pile.

As part of the As-Built Plans, the Design-Builder shall provide installation records for all deepfoundations installed, in accordance with Department standards.

The Design-Builder shall report the results of all foundation installation inspections and rocksocket observations.

Driven piles, drilled piles, and drilled shafts are as defined in the FHWA NHI-10-016 Report(referenced in NYSDOT LRFD Bridge Design Specifications), Drilled Shafts: ConstructionProcedures and LRFD Design Methods, Sections 1.2 and 1.3.

9.4.3 Soil and Rock Excavations and Embankments For Roadway FoundationExcavations and embankments for roadway foundations shall be constructed so that postconstruction settlement within a 50 year timeframe is expected to remain within two inches ofthe design grade at any point along the entire roadway surface. Also, prior to the Project’s finalacceptance, differential settlement along travel lane and shoulder surfaces shall not exceed two



· 680.52060404

For the scenario where the existing Teall Avenue camera is on the north side of I-690 and theproposed Lodi Street camera is on the south side of I-690; the pullboxes and innerduct shall beinstalled on the north side of I-690 at Teall Avenue, then cross I-690 on the east side of theTeall Avenue bridge, and continue to the Lodi Street camera on the south side of I-690.

For the scenario where the existing Teall Avenue camera is relocated to the south side of I-690and the proposed Lodi St camera is on the south side of I-690; the pullboxes and innerduct shallbe installed on the south side of I-690 at Teall Avenue, and continue to the Lodi Street cameraon the south side of I-690.

14.3.5 Traffic Signal InterconnectionSection Not Used.

14.3.6 Temporary Wireless Radio and Antenna

As required during construction the existing wireless radio communication system may berelocated to maintain uninterrupted services to the NYSDOT TMC. If this is needed the Design-Builder shall coordinate with the Region 3 NYSDOT TMC.

14.3.7 Central Computer System at TMC

All equipment installed under the contract shall be compatible with Region 3 TransportationManagement Center ATMS software. All equipment installed under the contract shall beconsistent with the Regional ITS Architecture and the ITS Strategic Plan for the Region,including compatibility with the Region 3 Transportation Management Center ATMS software.All relevant RITSA Service Packages shall be identified prior to design for any ITS equipment tobe deployed.

The IP address assignments shall be provided to the Design-Builder by the NYSDOT TMC.

14.3.8 Electrical Work

The Design-Builder shall provide all 120/240VAC power necessary for the construction andSystem installation and shall include the furnishing and installation of all labor and equipment.All power, video and data circuits entering or exiting the cabinets shall be furnished with surgelightning protection. The Design-Builder shall maintain the integrity of all circuits in service thatmay be affected by the work.

The cost of uncovering electrical boxes and un-splicing, re-splicing, abandoning, etc. of theelectrical conductors and connectors and restoring the surface shall be included in the contract.

Electrical installation shall conform to the provisions of the National Electric Code (NEC),National Electrical Safety Code M (NESC), and OSHA. Where codes conflict, the moststringent requirements shall govern.

All electrical material and equipment of which there are established underwriters laboratoriesstandards shall bear the UL label.

All electrical equipment furnished under this contract shall be new.



SECTION 16 PAVEMENT DESIGN AND CONSTRUCTION

16.1 SCOPE

The Design-Builder shall perform all Work necessary to provide all pavement required for theProject. This includes design, furnishing of materials, fabrication and construction of alltemporary and permanent pavement for roadways within the Project Limits.

The Design-Builder shall be responsible for the review and approval of all submittals needed forthe scope of work. The review and approval process shall be in conformance with the Design-Builder’s Quality Control Plan.

16.2 STANDARDS

The Design-Builder shall perform the pavement activities in accordance with the ContractRequirements and the applicable Standards, Design Codes and Manuals listed in Section 1.6,unless otherwise stipulated in this Project Requirement, or otherwise applicable to the Project.

16.3 REQUIREMENTS

All pavement materials and construction methods shall be in accordance with the requirementsof the NYSDOT Standard Specifications and the NYSDOT materials and pavement installationmethods.

Limestone and/or dolomite, regardless of the acid insoluble residue content, shall not beallowed for Type 1 or F1 friction aggregate requirements.

If the existing roadway section at the limits of work varies from the standards applicable for newor resurfaced sections, the roadway features (lane & shoulder widths and cross slope) shall betransitioned to meet the existing conditions.

16.3.1 Full Depth Reconstruction

The Design-Builder shall develop and construct pavement section(s) for full depthreconstruction, including subbase, of the Project roadways in conformance with theComprehensive Pavement Design Manual, using the ESAL-based pavement design method.

Full depth reconstruction is required within the limits of any horizontal alignment changes, orvertical alignment changes until such point as the revised alignment meets the existingalignment. However, increases in profile elevations, up to eight inches (8 inches), may be madethrough asphalt overlays without the requirement of full depth reconstruction. No partial-widthfull depth reconstruction will be permitted; any roadway requiring full depth reconstruction shallbe reconstructed for its full width, including shoulders, curbs and/or sidewalks.

If any roadway is permanently widened for the purpose of providing additional travel and/orturning and/or acceleration/deceleration lanes, new full depth pavement need only be developedand constructed for the widened section, provided that no other portion of the pavement withinthe widened section requires full depth reconstruction for any other purpose. However, theexisting pavement within the widened section shall be milled and resurfaced from curb to curbor edge of pavement to edge of pavement to provide a uniform pavement as specified inSection 16.3.2.



19.5 HAZARDOUS AND ASBESTOS MATERIALS

The Design-Builder shall evaluate, sample and test for the presence of Hazardous Materials inall structures to be removed to ensure removal and disposal is performed in accordance with allapplicable laws and standards. The following information and documentation shall be submittedas part of any Hazardous Materials evaluation and removal process:

A. Licenses and certifications for abatement contractors;

B. Testing and sampling reports;

C. Chain of custody of abated materials;

D. Written logs and manifests for transportation of materials;

E. Landfill documentation and receipts

The abatement of all Hazardous Materials shall be completed to the greatest extent possibleprior to any demolition taking place unless a legal variation from related laws, rules andregulations can be obtained. If the Hazardous Material has been identified through theHazardous or Asbestos Screening document and/or the record plans, the Design-Builder isresponsible for all costs. Should Hazardous Material or Asbestos be found and informationrelated to its presence not previously available to the Design-Builder, all costs associated withabatement, containment, removal, and disposal shall be covered under the Fixed Force Accountitem.

Hazardous waste screening reports isare provided in Part 7 – Engineering Datathe referencedocuments , with additional information provided in RFP Part 3, Section 3.

An asbestos assessment for the buildings will be provided in the Final RFPis provided in Part 7– Engineering Data.

19.6 PROTECTION OF MATERIALS AND STRUCTURESThe Design-Builder shall perform all Work with care so that any materials that are to remain inplace, or that are to remain the property of the State shall not be damaged. If the Design-Builder damages any materials that are to remain in place or which are to become or to remainthe property of the State, the damaged materials shall be repaired or replaced in a mannersatisfactory to the Department at no cost to the Department.

19.7 ENVIRONMENTAL PROTECTIONThe Design-Builder shall prepare a soil and erosion and sedimentation control plan inaccordance with RFR Part 3, Section 3.

19.8 DEMOLITION STAGINGThe Design-Builder shall assume responsibility for safety and maintenance of all existingstructures within the Project limits identified for removal.

19.9 UTILITIES

The Design-Builder shall cap and disconnect any service utility connections that have not yetbeen capped in accordance with the requirements of the utility companies or the Department.


I-690 over Teall Ave. & Beech St. i Part 7 - Engineering DataPIN 3506.41, Contract D900035 Addendum #4 October 12, 2016

ENGINEERING DATA

Anticipated Property Availability ListI-690 Parcel Information Plan

Acquisition MapsStormwater Management Plan

Stormwater Infiltration Map and Infiltration RatesPreliminary Screening Report for the Hazardous Waste/Contaminated Materials

AssessmentAsbestos Containing Materials Assessments for BIN 105113AAsbestos Containing Materials Assessments for BIN 1051139Asbestos Containing Materials Assessments for BIN 1051149

Hazardous Substances Detailed Site Investigation ReportBuilding Asbestos Survey Report


I-690 over Teall Ave. & Beech St. iii Part 7 - Engineering DataPIN 3506.41, Contract D900035 Addendum #4 October 12, 2016

Map Map2 Relo Last Name AnticipatedOffer Date Certification

ClosePapersRecd

VestingDate

ClaimantPaid

DepositDate

ReloComp

AnticipatedAvailability

666 667 N TripppEnterprises,LLC

08/10/2016 04/11/2016 04/11/2016 09/29/2016 10/04/2016 09/28/2016Available

668 669 Y 828 BurnetAvenue, LLC

08/10/2016 04/11/2016 04/11/2016 N 06/30/2017

670 N ChristineLarocco

08/10/2016 03/30/2016 03/30/2016 09/23/2016 09/27/2016 Available

671 672 Y RossBrothersProperties,LLC

08/10/2016 04/22/2016 04/22/2016 N 06/30/2017

673 N CCSProperties

08/10/2016 04/01/2016 04/01/2016 09/23/2016 09/27/2016 Available

674 675 Y RossBrothersProperties,LLC

08/10/2016 05/02/2016 05/02/2016 09/30/2016 10/04/2016 N 06/30/2017Available

676 N IMAProperties

08/10/2016 04/22/2016 04/22/2016 09/20/2016 09/23/2016Available

677 678 N DSI PropertyManagement, LLC

08/10/2016 06/06/2016 04/11/2016 09/20/2016 09/23/2016 Available

679 N HaroldBentley

08/10/2016 04/01/2016 04/01/2016 09/20/2016 09/23/2016 Available

680 N GSI OfVirginia

08/10/2016 04/22/2016 04/22/2016 09/30/2016 10/05/2016 09/28/2016Available

681 N DB VenturesInc,

09/30/2016 06/20/2016 06/20/2016 11/02/2016

682 683 N PGSyracuse,LLC

09/30/2016 06/08/2016 06/08/2016 11/02/2016

684 N Amerco RealEstateCompany

09/30/2016 06/15/2016 06/15/2016 11/02/2016

685 686 N AhmedAlamarie

09/30/2016 06/15/2016 06/15/201611/02/2016

687 N Ciandelido,LLC

09/30/2016 07/28/2016 07/28/201611/02/2016

688 689 N DominckTassone, Jr.

09/30/2016 07/28/2016 07/28/2016 11/02/2016

690 691 N Dominick’sProperties,LLC

09/30/2016 06/20/2016 06/20/2016 11/02/2016

692 693 N Dominick’sProperties,LLC

09/30/2016 07/18/2016 07/18/2016 11/02/2016

694 695 N KirstenPurcell

09/30/2016 06/09/2016 06/09/2016 11/02/2016

696 N Amerco RealEstateCompany

09/30/2016 07/20/2016 07/20/2016 11/02/2016

697 N RaulliAssociates,LLC

09/30/2016 06/20/2016 06/20/2016 09/29/2016 10/05/2016 11/02/2016Available

698 N TeallProperties,

09/30/2016 06/10/2016 06/10/2016 09/29/2016 10/05/2016 11/02/2016Available

1

PRE-DEMOLITION ASBESTOS SURVEY REPORT

JULY 2016

I-690 over Teall Avenue and Beech Street

Bridge Replacement Project PIN 3506.41

Route I-690 over Teall Avenue and Beech Street

City of Syracuse Onondaga County

PRE-DEMOLITION SURVEY

FOR

ASBESTOS-CONTAINING MATERIALS

FOR THE STRUCTURES ALONG

I-690 OVER TEALL AVENUE AND

BEECH STREET BRIDGE REPLACEMENT PROJECT CITY OF SYRACUSE, ONONDAGA COUNTY

PIN 3506.41

JULY 2016

PREPARED BY:

95 Per ry S t reet , Su i te 300 Bu f fa lo, New York 14203

p : 716.206.5100 f : 716.206.5199

i H:\2013\13092 NYSDOT I-81 Viaduct\10. Env\10.f. Asbestos-Lead-PCB Assessment\Teall Interchange\Asbestos Survey Report.doc

TABLE OF CONTENTS

1.0 INTRODUCTION ................................................................................................ 1

1.1 Purpose and Scope ................................................................................... 1

1.2 Background Information ............................................................................ 1

2.0 ASBESTOS SAMPLING AND LABORATORY METHODOLOGY ............................... 3

3.0 BULK SAMPLE RESULTS AND LOCATIONS ............................................................ 3

4.0 NYSDOT STANDARD SPECIFICATIONS – BASIS OF PAYMENT ............................ 18

LIST OF TABLES

SUMMARY OF LABORATORY BULK SAMPLE RESULTS AND LOCATIONS

Table 3-1 Homogeneous Materials List – Johnstone Supply: 824-828 Burnet Avenue ....... 9 Table 3-2 Homogeneous Materials List – Environmental Paving Solutions – Main Building:

204 North Beech Street .............................................................................. 12 Table 3-3 Homogeneous Materials List – Environmental Paving Solutions – Maintenance

Garage: 204 North Beech Street................................................................. 15 Table 3-4 Homogeneous Materials List – Billboards: Four Various Locations .................. 17

NYSDOT STANDARD SPECIFICATIONS – ASBESTOS-CONTAINING MATERIALS

Table 4-1 NYSDOT ACM Item Number – Johnstone Supply: 824-828 Burnet Avenue .... 19 Table 4-2 NYSDOT ACM Item Number – Environmental Paving Solutions – Main Building:

204 North Beech Street .............................................................................. 20 Table 4-3 NYSDOT ACM Item Number – Environmental Paving Solutions – Maintenance

Garage: 204 North Beech Street................................................................. 21

LIST OF APPENDICES

Appendix A Project Location Map Appendix B Laboratory Results and Chain-of-Custody Forms Appendix C Sample Location Drawings Appendix D Laboratory Accreditation Appendix E Consultant's Asbestos License and Certifications Appendix F Photographs

1 H:\2013\13092 NYSDOT I-81 Viaduct\10. Env\10.f. Asbestos-Lead-PCB Assessment\Teall Interchange\Asbestos Survey Report.doc

1.0 INTRODUCTION Watts Architecture & Engineering (Watts) was retained to perform a pre-demolition assessment for asbestos-containing materials (ACM) prior to the demolition of the existing structures along Interstate 690 in the City of Syracuse of Onondaga County, New York. The work was conducted in support of the Access Improvements Project of Interstate 690, in the City of Syracuse, Onondaga County (PIN 3506.41). This pre-demolition survey was completed for three (3) buildings and four (4) billboards along Interstate 690:

• Johnstone Supply: located at 824-828 Burnet Avenue (large warehouse with attached store in front);

• Environmental Paving Solutions: located at 204 North Beech Street (small office building and maintenance garage); and,

• Four (4) billboards: located at 204 North Beech Street (behind Environmental Paving Solutions buildings), National Carpet Outlet located at 828 Burnet Avenue, vacant lot at 200 Vine Street and Deadline Solutions Inc., located at 991 Canal Street.

Since all buildings and billboards will be demolished, an asbestos pre-demolition survey was performed to identify all asbestos-containing materials (ACM) associated with the buildings and billboards prior to the start of demolition.

1.1 Purpose and Scope

The purpose of the asbestos assessment is to identify asbestos-containing materials (ACM) from the interior and exterior of each building to be demolished, identify materials associated with the construction of the billboards and to develop quantity estimates for abatement of ACM. The assessment has been conducted to meet the New York State Department of Labor (NYSDOL) requirement for a survey of ACM prior to the demolition of these structures.

Three (3) occupied buildings and four (4) billboards were identified by the NYSDOT to be demolished as part of the Interstate 690 improvements project. Results from the sampling events and laboratory verification of ACM are summarized in Section 3. NYSDOT standard pay items to be used for the abatement of asbestos-containing materials are presented in Section 4.

The project location map is found in Appendix A. The building layouts for the individual properties are shown on the drawings found in the appendices.

1.2 Background Information

This Asbestos Assessment Report is consistent with the requirements outlined in the NYSDOL Industrial Code Rule 56 which requires an asbestos building demolition survey


and asbestos abatement be performed prior to advertising for bids or contracting for demolition work. This report also follows the New York State Department of Transportation (NYSDOT) The Environmental Manual (TEM), section 4.4.19 and all subsequent updates for the assessment and quantification of asbestos-containing materials and design.


2.0 ASBESTOS SAMPLING AND LABORATORY METHODOLOGY A NYSDOL-certified asbestos inspector from Watts collected bulk samples of all suspect ACM identified throughout the buildings and at each billboard. Bulk samples were collected using simple hand or power tools from each matrix identified as a potential ACM. All samples were collected in duplicate with the exception of surfacing materials (i.e., plaster, etc.) which were collected in triplicate or greater depending on the square footage of the surfacing material, as per OSHA 29 CFR 1926.1101. Once collected, samples were delivered with the proper chain-of-custody forms to a New York State accredited laboratory that was a participant in the Environmental Laboratory Approval Program (ELAP) and National Voluntary Laboratory Approval Program (NVLAP). All materials were initially analyzed using Polarized Light Microscopy (PLM) using Method 198.1, Stratified Point Count with the exception of samples classified as "nonfriable organically bound" (NOB) and ceiling tiles. NOBs include, but are not limited to, asphalt roofing, roofing cement, bituminous coatings, caulk, vinyl flooring products, ceiling tiles and mastics. Ceiling tiles and NOBs were analyzed using the NYSDOH Method for Gravimetric Reduction (GR) and PLM under NYSDOH Method 198.6. If the NOB sample results are less than 1% after PLM, they were further analyzed by NYSDOH Method 198.4 for Transmission Electron Microscopy (TEM). The New York State Department of Health (NYSDOH) protocol requires analysis by TEM if the PLM analysis does not confirm the presence of asbestos. It is the belief of Watts that this investigation has identified all visible and accessible suspect asbestos-containing materials that are associated with the buildings and billboards. In addition, a roofing contractor was hired to assist with the collection of roofing materials from each structure. The roofing contractor was utilized so that professional repairs could be made to each location where samples were collected. If additional suspect materials are identified during the demolition of the buildings and/or billboards that opens up areas behind walls, pipe chases, above ceilings, etc., that have not been previously investigated and sampled, additional samples of each material must be collected and analyzed for asbestos content. The most likely areas and materials that may be encountered would be suspect pipe insulation located behind sink cabinets or within ceiling and pipe chases. Once the properties are acquired, these select areas should be investigated prior to the start of full scale demolition. Discussion on the type and approximate quantity of ACMs is found in the following section. Diagrams identifying the sampling locations are found in Appendix C. Copies of the laboratory’s accreditation can be found in Appendix D. Copies of Watts’ Asbestos Handling License and the Asbestos Building Inspector’s certification can be found in Appendix E. Photographs are found in Appendix F.


3.0 BULK SAMPLE RESULTS, LOCATIONS AND QUANTITIES This section includes information on all suspect ACM sampled. This section contains the following: Homogeneous Materials Lists containing the homogeneous materials identified, their corresponding sample numbers and whether or not they are ACM, as well as drawings (immediately following the bulk sample laboratory result tables) identifying the approximate locations of asbestos bulk samples. The field survey was conducted between June 21st and June 23rd, 2016 and included the following:

• A visual site inspection of the buildings to identify suspect ACM;

• Collection and laboratory analysis of samples from each identified suspect material;

• Documentation of bulk sample locations on floor-plan drawings and chain-of-custody forms; and,

• Photographs. Johnstone Supply Building – 824-828 Burnet Avenue The inspection included the collection and analysis of fifty-two (52) bulk samples to represent all identified suspect ACM. Based on the laboratory analysis and visual observations, the following ACM have been identified:

• Grey caulk around electrical feed/pipe located on the east side of the building. [Approximately 1 linear foot].

• Tar and paper on knee wall (parapet wall) located around perimeter of roof (except west side of roof). [Approximately 1,550 square feet].

• Black/grey tar located on capstones on east side of the roof. [Approximately 30 linear feet].

• Grey/white caulk located between capstones on east side of the roof. [Approximately 35 linear feet].

The following materials have been tested and are not ACM:

• Black covebase and adhesive • Black seam tar on roof • Blue covebase and adhesive • Carpet mastic • Cement backer board beneath loading dock • Decorative ceramic tile grout


• Decorative ceramic tile thinset • Drywall • Drywall joint compound • Grey caulk around main entrance doors • Grey caulk on roof at joint between capstone and EPDM membrane • Grey covebase and adhesive • Grey sink sound dampener • Grey wall expansion joint caulk • Interior white caulk around east door in warehouse • Light grey expansion joint caulk at base of wall/sidewalk at main entrance • Mortar around glass block windows • Pinhole ceiling tile • Roof felt paper • Transite board at loading dock • White caulk around garage bar door • White expansion joint caulk in 1st floor showroom

Due to the inaccessibility within the wall cavities without destructive testing, it is possible that suspect mud pipe fittings, pipe insulation, water-proofing tar, and/or spray-on insulation may be present. It is recommended that during demolition/removal activities that the contractor proceeds with caution. Any suspect materials discovered during such activities should be followed up by proper sample collection and analysis for asbestos content. It is also possible that exterior waterproofing may be present on the underground portion of the foundation. Evidence of this material could not be confirmed at the time of the survey since hardscape surfaces surround the entire structure and inspection would require excavation and significant physical disruption of the site. According to our site contact at Johnstone Supply, manager Bob Spanfelner, the building and its entirety underwent extensive renovations five years ago. The interior space is divided amongst two floors, the first floor providing a large warehouse space for the storage of inventory and the remaining portion acting as a store front space for customer interaction. There is a second floor to the building which contains a lecture room, bathroom, and small office space. There are two (2) stairwells on either side of the second floor, one of which provides access to the roof. The roof is of new construction, EPDM roof membrane with ISO insulation beneath which is on top of the roof deck itself. There is, however, asbestos-containing black/grey tar and grey/white caulk located on the capstones on the east side of the roof. A knee wall (parapet wall, approximately 3’ high) surrounds the perimeter of the wall on the north, east and south sides with the west end of the roof being exposed.

Environmental Paving Solutions – 204 North Beech Street

The inspection included the collection and analysis of fifty-five (55) bulk samples to represent all identified suspect ACM. Based on the laboratory analysis and visual observations, the following ACM have been identified:


Main Building

• Tan mastic beneath 2’ x 2’ blue vinyl tile inside rear (west) entrance. [Approximately 25 square feet].

• White duct insulation located on ductwork in the basement. [Approximately 15 square feet].

• Black roof tar over front stair awning. [Less than 5 square feet]. • Built-up beneath roof membrane. [Approximately 900 square feet]. • Black/grey tar on roof penetrations, capstones, base of chimney and parapet wall on

west side of roof. [Approximately 75 square feet].

Maintenance Garage

• Original asphalt shingle roofing underneath top roof layer. [Approximately 550 square feet]. • Bottom layer of rolled shingle membrane on east portion of roof. [Approximately 850 square feet].

The following materials have been tested and are not ACM: Main Building

• Asphalt underlayment • Black and green asphalt shingles • Black roof tar • Black tar paper stair tread • Brown mastic behind ceramic covebase • Brown mastic behind wall paneling • Ceramic tile grout • Ceramic tile set • Drywall • Exterior grey caulk • Exterior light brown window caulk • Exterior white caulk around basement transom windows • Grey base coat plaster • Old wire insulation • Pinhole/wormhole ceiling tile • Rolled roof membrane • White braid rope inside fireplace door • White finish plaster • White skim coat plaster on basement walls


Maintenance Garage

• Black seam tar on rolled shingle membrane • Drywall • Drywall joint compound • Exterior, rolled roofing on wall • Felt paper behind exterior wood paneling • Interior rolled roofing membrane • Rolled membrane on top layer of shingle membrane • Rolled shingle membrane, top layer • Roof paper beneath rolled shingle membrane • Tan panel mastic • Tar on roof underlayment

Main Building Due to the inaccessibility within the wall cavities without utilizing destructive methods, it is possible that suspect mud pipe fittings, pipe insulation, water-proofing tar, and/or spray-on insulation may be present. It is recommended that during demolition/removal activities that the contractor proceeds with caution. Any suspect materials discovered during such activities should be followed up by proper sample collection and analysis for asbestos content. It is also possible that exterior waterproofing may be present on the underground portion of the foundation. Evidence of this material could not be confirmed at the time of the survey since hardscape surfaces surround the entire structure and inspection would require excavation and significant physical disruption of the site. The building acts as an office space for Environmental Paving Solutions. The basement acts as a storage space for documents. The ductwork present in the basement has asbestos-containing insulation most noticeably at the location where it enters up through the ceiling/floor to the main floor. It should be noted that it is possible that the asbestos-containing ductwork insulation could be present within the wall/floor cavities, increasing the amount of ductwork insulation that was observed during the survey. Demolition of the wall and floor cavities would be required to confirm its extent and quantity. The first floor contains men’s and women’s restrooms, a small conference room and two (2) office spaces. There is ceramic floor tile throughout the entire space, a combination of drywall, plaster, and wood paneling on the walls, and a ceiling tile grid system in place with a plaster ceiling above. There is a small awning located over the front entrance door with asbestos-containing black/grey tar where the roof shingles and flashing meet the brick of the building. The roof contains a rolled roof sheeting membrane adhered to asbestos-containing built-up tar beneath on top of the wooden roof deck. The west side of the roof has a 3’ parapet wall with asbestos-containing black/grey tar which was also observed to be the capstone seams around the perimeter of the


roof, at roof penetrations, and around the bottom 12” of the chimney. Adjacent to the Environmental Paving Solutions main office building is a trailer separate from the building. The trailer was not included into the scope of work at the time the site investigation was conducted. Maintenance Garage The maintenance garage consists of three (3) bays, east, middle and west bays. The east bay has an overhead door for an entrance with a concrete floor. An open space with some drywall walls, ceilings with exposed timber framing, and a small storage area with wooden shelving and a small bathroom space were also located in this area. The middle portion of the maintenance garage has exposed wall and ceiling wood framing with fiberglass insulation in between the studs. Wood shelving provides storage space for inventory and the floors are concrete. The west bay is consistent with the rest of the garage with respect to the concrete floors, exposed wall and ceiling wood framing with fiberglass insulation between the studs. There is an overhead door entrance on the north side of the west bay. The exterior of the maintenance garage has wood paneling with a felt paper behind attached to the wood framing itself. The roof is broken up into three (3) different sections. The roof over the east bay, the larger portion of the roof, has an asbestos-containing bottom layer of rolled-on roof shingle membrane that is adhered to the wood roof deck. The middle area of the roof has a multi-level system. The bottom layer (believed to be the original layer of roof) has asbestos-containing roof shingles. In order to raise the level of the middle area of this roof, wood framing was laid out and framed and then two layers of rolled roofing membrane was adhered to the “raised” wood roof deck. The west area of the roof had two layers of rolled roofing membrane adhered to the wood roof deck. Billboards – Four Various Locations The inspection included the collection and analysis of twelve (12) bulk samples to represent all identified suspect ACM. Based on the laboratory analysis and visual observations, no ACM has been identified. 991 Canal Street

• Brown/black paint on main support column 204 Beech Street

• Black paint on main support column 200 Vine Street

• Black paint on main support column


• Black painted, white caulk on backside of wood billboard 828 Burnet Avenue

• Brown/black paint on main support column • Black painted, white caulk on backside of wood billboard

The investigation of each billboard identified that the construction consisted of metal and wood composition, except for billboards at 828 Burnet Avenue and 200 Vine Street, where there was non-asbestos-containing caulk on the backside seams of the wood billboard. Tables 3-1 through 3-4 provide a summary of the laboratory analytical results for the samples collected during the assessment. The bold results indicate the materials that have been identified to be asbestos-containing. Reference should be made to the following legend to assist in understanding the abbreviations used in these tables. Results NA – Not analyzed. NA/PS – Not analyzed positive stop. ND – None detected. NAD – No asbestos detected. Non-ACM – Final Residue <1% of Original Subsample. Type ACM T = Thermal Y = Yes S = Surfacing N = No M = Miscellaneous


TABLE 3-1

HOMOGENEOUS MATERIALS LIST Johnstone Supply Building and Roof

824-828 Burnet Avenue Syracuse, New York

Material Description

Sample Location Type Sample Number

Results (% Asbestos) ACM

PLM TEM Y/N

Grey Caulk Around Main Entrance

Doors, North Side M

JS-01 JS-02

NAD NAD

NAD NAD

N

Mortar Around Glass Block Windows

North Side West Side

M JS-03 JS-04

NAD NAD

NA NA

N

Transite Board East Side of Loading Dock M

JS-05 JS-06

NAD NAD

NA NA

N

Cement Backer Board

Beneath Loading Dock, West Side

M JS-07 JS-08

NAD NAD

NA NA

N

Grey Wall Expansion Joint

Caulk South Wall, West Side M

JS-09 JS-10

NAD NAD

NAD NAD

N

White Caulk Around Garage Bay Door,

East Side M

JS-11 JS-12

NAD NAD

NAD NAD

N

Light Grey Expansion Joint

Caulk

At Base of Wall/Sidewalk,

At Main Entrance

M JS-13 JS-14

NAD NAD

NAD NAD

N

Grey Caulk

Around Electrical

Feed/Pipe, East Side

M JS-15 JS-16

1.8% Chrysotile NA/PS

NA NA

Y

Interior White Caulk Around Door in

Warehouse, East Side M

JS-17 JS-18

NAD NAD

NAD NAD

N

Drywall Joint Compound

Warehouse, Southeast Corner, IT Room

Main Showroom

M JS-19

JS-20

NAD

NAD

NA

NA N


TABLE 3-1






PLM TEM Y/N

Drywall 1st Floor, Warehouse

2nd Floor, Training Room M

JS-21 JS-22

NAD NAD

NA NA

N

Blue Covebase and Adhesive

Main Entrance, Foyer

1st Floor, South Stairwell M

JS-23A JS-23B

JS-24A JS-24B

NAD NAD

NAD NAD

NAD NAD

NAD NAD

N

Pinhole Ceiling Tile 1st Floor Bathroom

1st Floor Office M

JS-25 JS-26

NAD NAD

NA NA

N

Black Covebase and Adhesive

North Part of Warehouse

East Side of Warehouse M

JS-27A JS-27B

JS-28A JS-28B

NAD NAD

NAD NAD

NAD Chrysotile Trace

NAD NAD

N

Carpet Mastic 1st Floor Office/Storage

Room M

JS-29 JS-30

NAD NAD

NAD NAD

N

Grey Sink Sound Dampener

1st Floor Kitchen Sink 2nd Floor Kitchen Sink

M JS-31 JS-32

NAD NAD

NAD NAD

N

Grey Covebase and Adhesive

1st Floor Office/Storage

2nd Floor Office M

JS-33A JS-33B

JS-34A JS-34B

NAD NAD

NAD NAD

NAD NAD

NAD NAD

N

White Expansion Joint Caulk

1st Floor, in Floor Joint,

Main Showroom

M JS-35 JS-36

NAD NAD

NAD NAD

N

Decorative Ceramic Tile Thinset

2nd Floor Bathroom M JS-37 JS-38

NAD NAD

NA NA

N

Decorative Ceramic Tile Grout

2nd Floor Bathroom M JS-39 JS-40

NAD NAD

NA NA

N


TABLE 3-1






PLM TEM Y/N

Tar and Paper on Knee Wall

Knee Wall, North Side of Roof

M JS-41 JS-42


NA NA

Y

Black Seam Tar

South End of Roof

Northwest Quadrant of Roof

M JS-43

JS-44

NAD

NAD

NAD

NAD N

Roof Felt Paper

Beneath Insulation, East Side

Beneath Insulation, North Side

M JS-45

JS-46

NAD

NAD

NA

NA N

Black/Grey Tar

East Side of Roof on

Capstone

M JS-47 JS-48


NA NA

Y

Grey Caulk East Side of Roof, Joint at

Capstone and Roof Membrane Meet

M JS-49 JS-50

NAD NAD

Chrysotile Trace NAD

N

Grey/White Caulk

East Side of Roof, Between Capstone

Northeast Corner of Roof, Between Capstone

M JS-51 JS-52

<1.0% Chrysotile <0.25% Chrysotile


Y


TABLE 3-2

HOMOGENEOUS MATERIALS LIST Environmental Paving Solutions - Main Building

204 North Beech Street Syracuse, New York




PLM TEM Y/N

White Braid Rope Inside Fireplace Door M EPS-MAIN-01 EPS-MAIN-02

NAD NAD

NA NA

N

Tan Mastic 2’x 2’ Blue Vinyl Tile

Inside Rear Entrance M EPS-MAIN-03 EPS-MAIN-04


NA NA

Y

Brown Mastic Behind Ceramic

Covebase

Hallway Outside Men’s Room

M EPS-MAIN-05 EPS-MAIN-06

NAD NAD

Chrysotile Trace Chrysotile Trace

N

Drywall Southwest Office Behind

Wood Paneling M

EPS-MAIN-07 EPS-MAIN-08

NAD NAD

NA NA

N

Ceramic Tile Set Women’s Restroom

Men’s Restroom M


NAD NAD

NA NA

N

Ceramic Tile Grout Men’s Restroom Men’s Restroom


NAD NAD

NA NA

N

White Skim Coat Plaster

Basement, North Wall Basement, North Wall Basement, North Wall Basement, East Wall Basement, East Wall

S

EPS-MAIN-13 EPS-MAIN-14 EPS-MAIN-15 EPS-MAIN-16 EPS-MAIN-17

NAD NAD NAD NAD NAD

NA NA NA NA NA

N

White Duct Insulation

Duct in Basement by Electrical Panel

Duct in Basement Behind Heat Unit

M EPS-MAIN-18

EPS-MAIN-19

19.0% Chrysotile

NA/PS

NA

NA Y

Old Wire Insulation

Southwest Office, Above Ceiling

Hallway Outside Women’s Restroom, Above Ceiling

M

EPS-MAIN-20

EPS-MAIN-21

NAD

NAD

NAD

NAD

N

Brown Mastic Behind Wall

Paneling Southwest Office M


NAD NAD

NAD NAD

N


TABLE 3-2






PLM TEM Y/N

Grey Base Coat Plaster

Closest Adjacent to Built in Safe

Southwest Office, Just

Inside Door Above Ceiling

Southwest Office, Just Inside Door Above Ceiling

Southwest Office, South

Wall Above Ceiling

Southwest Office, South Wall Above Ceiling

S

EPS-MAIN-24

EPS-MAIN-25

EPS-MAIN-26

EPS-MAIN-27

EPS-MAIN-28

NAD

NAD

NAD

NAD

NAD

NA

NA

NA

NA

NA

N

Exterior Grey Caulk Around Front Stairs M EPS-MAIN-29 EPS-MAIN-30

NAD NAD

NAD NAD

N

White Caulk

Around Basement Transom Window, East

Side

Around Basement Transom Window, North

Side

M EPS-MAIN-31

EPS-MAIN-32

NAD

NAD

NAD

NAD N

White Finish Plaster

Closest Adjacent to Built In Safe

Closest Adjacent to

Built In Safe

Closest Adjacent to Built In Safe

Southwest Office, Above

Door

Southwest Office, Over South Window

S

EPS-MAIN-33

EPS-MAIN-34

EPS-MAIN-35

EPS-MAIN-36

EPS-MAIN-37

NAD

NAD

NAD

NAD

NAD

NA

NA

NA

NA

NA

N

Black and Green Asphalt Shingle

Exterior Awning Over Front Door


NAD NAD

NAD NAD

N


TABLE 3-2






PLM TEM Y/N

Black Roof Tar





NA NA

Y

Asphalt Underlayment




NAD NAD

NAD NAD

N

Exterior Light Brown Window Caulk

North Side, Window West Side, Window


NAD NAD

NAD NAD

N

Pinhole/Wormhole Ceiling Tile

Hallway, outside Men’s Restroom

Northwest Office

M EPS-MAIN-46

EPS-MAIN-47

NAD

NAD

NAD

NAD N

Black Tar Paper Stair Tread

Stairs Leading to Basement


NAD NAD

NAD NAD

N

Rolled Roof Membrane

West Side of Roof Middle of Roof


NAD NAD

NAD Chrysotile Trace

N

Built-up Beneath Roof Membrane

West Side of Roof Middle of Roof



NA NA

Y

Black/Grey Tar

North Side of Roof, Around base of Chimney

Southwest Corner of Roof, Capstone Seam



NA NA

Y


TABLE 3-3

HOMOGENEOUS MATERIALS LIST Environmental Paving Solutions - Garage



Sample Location Type Sample Number Results (% Asbestos) ACM

PLM TEM Y/N

Drywall

Garage, Middle Storage Room

Garage, East End Storage Bay

M EPS-Garage-01 EPS-Garage-02

NAD NAD

NAD NAD

N

Drywall Joint Compound

Garage, East End Bay

Garage, East End, Middle Storage Room

M EPS-Garage-03

EPS-Garage-04

NAD

NAD

NAD

NAD N

Tan Panel Mastic Garage, East End,

Bathroom M

EPS-Garage-05 EPS-Garage-06

NAD NAD

NAD NAD

N

Exterior, Rolled Roofing on Wall

Garage, South Side, West End

Garage, South Side, West End


NAD NAD

NAD NAD

N

Felt Paper Behind Exterior Wood

Paneling M


NAD NAD

NAD NAD

N

Interior Rolled Roofing Membrane

Garage, West End Bay M EPS-Garage-11 EPS-Garage-12

<0.25% Chrysotile NAD

NAD NAD

N

Original Asphalt Shingle

Garage, South Side, Middle Roof, Under Top

Roof M


0.3% Chrysotile 9.7% Chrysotile

NA NA

Y

Rolled Shingle Membrane – Top

Layer

Garage, East Roof, Middle

Garage, Middle Roof, Middle


NAD <0.25% Chrysotile

NAD NAD

N

Rolled Membrane on Top Layer of

Shingle Membrane

Garage, East Roof,

Middle


NAD NAD

NAD NAD

N

Bottom Layer of Rolled Shingle

Membrane





NA NA

Y


TABLE 3-3

HOMOGENEOUS MATERIALS LIST Environmental Paving Solutions - Garage



Sample Location Type Sample Number Results (% Asbestos) ACM

PLM TEM Y/N

Roof Paper Beneath Rolled Shingle

Membrane Garage, Middle Roof M


NAD NAD

NAD NAD

N

Black Seam Tar on Rolled Shingle

Membrane

Garage, West Roof Garage, Middle Roof


NAD NAD

NAD NAD

N

Tar on Roof Underlayment

Garage, Middle Roof, South Side, Under Top

Roof M


NAD NAD

NAD NAD

N


TABLE 3-4

HOMOGENEOUS MATERIALS LIST

Billboards – Four Various Locations Syracuse, New York




PLM TEM Y/N

Brown/Black Paint 991 Canal Street

Billboard, Main Support Column

M Billboards-01 Billboards-02

NAD NAD

NA NA

N

Black Paint 200 Vine Street Billboard,

Main Support Column M

Billboards-03 Billboards-04

NAD NAD

NAD NAD

N

Brown/Black Paint 828 Burnet Avenue



NAD NAD

NAD NAD

N

Black Paint 204 Beech Street



NAD NAD

NAD NAD

N

Black Painted White Caulk

200 Vine Street Billboard, Backside of Wood

Billboard M


NAD NAD

Tremolite Trace Tremolite Trace

N

Black Painted White Caulk

828 Burnet Avenue Billboard, Backside of

Wood Billboard M


NAD NAD

Anthophyllite Trace Anthophyllite Trace

N


4.0 NYSDOT STANDARD SPECIFICATIONS – BASIS OF PAYMENT This section summarizes the positively identified ACM found in each structure from Watts asbestos assessment. Each ACM is identified along with its location, the approximate quantity, and the NYSDOT standard specification item number.


TABLE 4-1

NYSDOT ACM ITEM NUMBER Johnstone Supply Building and Roof


Identified ACM Item

Number Description Location

Approximate Quantity

Pay Unit

Grey Caulk 210.1201 Removal and Disposal of

Caulk/Glazing ACM Around Electrical

Feed/Pipe, East Side 1 Linear Foot

Tar and Paper on Knee Wall (Parapet

Wall) 210.1002

Removal and Disposal of Roofing ACM

Roof, Around Perimeter Knee Wall (Parapet Wall)

1,550 Square Foot

Black/Grey Tar on Capstones

210.1002 Removal and Disposal of

Roofing ACM East Side of Roof on

Capstones 7.5

Square Foot

Grey/White Caulk 210.1201 Removal and Disposal of

Caulk/Glazing ACM Roof, East Side, Between

Capstones 35 Linear Foot


TABLE 4-2

NYSDOT ACM ITEM NUMBER Environmental Paving Solutions – Main Building


Identified ACM Item Number Description Location Approximate

Quantity Pay Unit

Tan Mastic Underneath 2’ x 2’

Blue Vinyl Tile 210.1302

Removal and Disposal of Flooring/Mastic ACM

Inside Rear Entrance 25 Square Foot

White, Ductwork Insulation


Miscellaneous ACM Basement, Ductwork 15+

Square Foot

Black Roof Tar 210.1002 Removal and Disposal of

Roofing ACM Exterior Awning over Front

Door <5

Square Foot

Built-up Beneath Roof Membrane


Roofing ACM Roof 900

Square Foot

Black/Grey Tar 210.1002 Removal and Disposal of

Roofing ACM

Roof (Penetrations, on Capstone Seams, Parapet Wall, Base of Chimney)

75 Square Foot


TABLE 4-3

NYSDOT ACM ITEM NUMBER Environmental Paving Solutions – Maintenance Garage


Identified ACM Item

Number Description Location

Approximate Quantity

Pay Unit

Original Asphalt Shingle


Roofing ACM Middle Roof, Underneath

Top Roof Layer 550

Square Foot

Bottom Layer of Rolled Shingle

Membrane 210.1002

Removal and Disposal of Roofing ACM

East Portion of Roof 850 Square Foot

Appendix A - Project Location Maps

Watts Architecture & Engineering, D.P.C. 95 Perry Street Buffalo, New York

July 2016

Figure 1 – Project Location Map

I-690 Access Improvement Project Lodi Street to Teall Avenue

City of Syracuse, Onondaga County Not to Scale

Source: ESRI ArcMap Project Location

N Project Limits

Appendix B Appendix B Appendix B Appendix B ---- Laboratory Results and ChainLaboratory Results and ChainLaboratory Results and ChainLaboratory Results and Chain----ofofofof----Custody FormsCustody FormsCustody FormsCustody Forms

LABORATORY RESULTSLABORATORY RESULTSLABORATORY RESULTSLABORATORY RESULTS

JOHNSTONE SUPPLY: 824JOHNSTONE SUPPLY: 824JOHNSTONE SUPPLY: 824JOHNSTONE SUPPLY: 824----828 BURNET 828 BURNET 828 BURNET 828 BURNET AVENUEAVENUEAVENUEAVENUE

ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS –––– MAIN BUILDINGMAIN BUILDINGMAIN BUILDINGMAIN BUILDING: : : : 204 NORTH BEECH STREET204 NORTH BEECH STREET204 NORTH BEECH STREET204 NORTH BEECH STREET

ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS –––– MAINTENANCE GARAGE: MAINTENANCE GARAGE: MAINTENANCE GARAGE: MAINTENANCE GARAGE: 204 NORTH BEECH STREET204 NORTH BEECH STREET204 NORTH BEECH STREET204 NORTH BEECH STREET

BILLBOARDSBILLBOARDSBILLBOARDSBILLBOARDS

CHAINCHAINCHAINCHAIN----OFOFOFOF----CUSTODY FORMSCUSTODY FORMSCUSTODY FORMSCUSTODY FORMS

BULK SAMPLE CHAINBULK SAMPLE CHAINBULK SAMPLE CHAINBULK SAMPLE CHAIN----OFOFOFOF----CUSTODY FORMCUSTODY FORMCUSTODY FORMCUSTODY FORM

The purpose of the chain-of-custody form is to reduce the possibility of misidentifying individual samples, to help trace any samples that may be lost, and to provide a record certifying that the samples were delivered to and received by the analytical laboratory. An important feature of this form is the signature section at the bottom, identifying all persons who handled the samples.

JOHNSTONE SUPPLY: 824JOHNSTONE SUPPLY: 824JOHNSTONE SUPPLY: 824JOHNSTONE SUPPLY: 824----828 BURNET 828 BURNET 828 BURNET 828 BURNET AVENUEAVENUEAVENUEAVENUE

ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS –––– MAINMAINMAINMAIN BUILDINGBUILDINGBUILDINGBUILDING: : : :

204 NORTH BEECH STREET204 NORTH BEECH STREET204 NORTH BEECH STREET204 NORTH BEECH STREET

ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS ENVIRONMENTAL PAVING SOLUTIONS –––– MAINTENANCE GARAGE: MAINTENANCE GARAGE: MAINTENANCE GARAGE: MAINTENANCE GARAGE:


BILLBOARDSBILLBOARDSBILLBOARDSBILLBOARDS

H:\2013\13092 NYSDOT I-81 Viaduct\10. Env\10.f. Asbestos-Lead-PCB Assessment\Teall Interchange\Asbestos Survey Report 07132016.doc

Appendix C Appendix C Appendix C Appendix C –––– Sample Location DrawingsSample Location DrawingsSample Location DrawingsSample Location Drawings

JOHNSTONE SUPPLY: 824JOHNSTONE SUPPLY: 824JOHNSTONE SUPPLY: 824JOHNSTONE SUPPLY: 824----828 BURNET AVENUE828 BURNET AVENUE828 BURNET AVENUE828 BURNET AVENUE

WATTSARCHITECTURE& ENGINEERING95 Perry Street, Suite 300Buffalo, New York 14203

(716) 206-5100 | (716) 206-5199 Fax