BID/INQUIRY RESPONSE FORM PLEASE READ AND RETURN …Lewiston, New York 14092 Title: Rockfall Removal...

BID/INQUIRY RESPONSE FORM PLEASE READ AND RETURN IMMEDIATELY

5777 Lewiston Road Collective #: N1620104978GJ Lewiston, New York 14092 Title: Rockfall Removal ServiceAttention: Grant Johnston Bid Due Date: 03/31/2016 RESPONSE (CHECK One) __ Yes, we will submit a proposal for the above Bid/Inquiry. __ No, we are unable to submit a proposal at this time. REASON(S) FOR NOT BIDDING (Check all applicable boxes) __ Not our scope of work. __ Present work load too heavy at this time. __ Scope of work too small. __ Scope of work too large. __ Not enough time to bid. How much more time needed? _________________ __ Specification requirements too stringent (Please explain on separate paper). __ Commercial requirements too stringent (Please explain on separate paper). __ Contract Reporter notification received too late to respond. Date Received _________________. __ Unable to meet Bond Requirements. __ Unable to meet Insurance Requirements. __ Unable to submit a competitive bid at this time. __ Key personnel unavailable at this time. __ Cannot meet Delivery or Schedule Requirements. __ Lack of experience. __ Other (Please Explain). _____________________________________________________________________________________________ __________________________________________________________________________________________________________________________________________________________________________________________ IF YOU ARE UNABLE TO SUBMIT A BID, DO YOU WISH TO RECEIVE FUTURE SOLICITATIONS FROM THE NEW YORK POWER AUTHORITY? ___ YES ___ NO Name ________________________________________ Company_______________________________________

(Please Print)

Date__________________________________________ Telephone No.___________________________________

(Mail or Fax this form to FAX No. (716) 286-6054)

Deliv. terms: FOB JOB SITE FREIGHT INCLUDEDPayt. terms: NET DUE WITHIN 30 DAYS

TITLE: ROCKFALL REMOVAL SERVICE AGREEMENTPLEASE REFERENCE N16-20104978GJ ON ALL BID DOCUMENTS.

The New York Power Authority (The "Authority" or "NYPA") is seekingproposals from qualified bidders to provide Rockfall Removal services atthe Niagara Power Project's South Access Road, as described in the biddocuments.

Bidders are hereby cautioned to make use of the New York PowerAuthority's website at www.nypa.gov in order to obtain current andcomplete bid documents, bid addenda, post-bid addenda and relatednotices. Bidders obtaining bid documents from sources other than NYPA'swebsite do so at their own risk. Incomplete bid responses may berejected by the Authority. To find the bid documents at the website Select Site: NIAGARA Category: CONSTRUCTION & MAINTENANCE

RESTRICTED PERIODThe Authority's designated contact person during the formal bid periodis the undersigned (John Briggs, Grant Johnston, or Alyson Danielewicz).No other Authority personnel is authorized to receive, initiate or

TO ALL BIDDERS. .. NY 14092

Your vendor number with us

100

Delivery Point:NIAGARA POWER PROJECTNEW YORK POWER AUTHORITY4750 WITMER RDNIAGARA FALLS NY 14305

Quotation Due byClose of Business: 03/31/2016Valid from: 04/15/2016Valid to: 04/14/2017

SEND YOUR QUOTATION TO:NEW YORK POWER AUTHORITY

Attn: Purchasing / NIAGARA

5777 LEWISTON RD

LEWISTON, NEW YORK 14092

THIS IS NOT A PURCHASE ORDERBIDDER MUST SUBMIT QUOTATION ON THIS FORM

_______________________________________________________________________

REQUEST FOR QUOTATION RFQ number/date

6000164552 / 03/09/2016Contact person/Telephone

GRANT JOHNSTON/716-286-6803E-Mail Address

[email protected] fax number

716-286-6054

communicate information of any kind regarding this RFQ during the"restricted period". All inquiries regarding this RFQ must be directedto the undersigned. Failure of prospective bidder to fully comply withthis requirement may result in the rejection of its bid proposal.

If there are any questions regarding this RFQ, under §§ 139-J and 139-Kof the State Finance Law (SFL), all questions Must be directed inwriting to:

Mr. John Briggs, Purchasing Manager, Mr. Grant Johnston, Assistant Purchasing Manager, or to Mrs. Alyson Danielewicz, Procurement Specialist II, Niagara Project - New York Power Authority 5777 Lewiston Road Lewiston, NY 14092

E-mail: [email protected]

Bidder must direct all inquiries regarding this RFQ to the abovedesignated contact persons, only. Failure to comply with thisrequirement may jeopardize your proposal which may result in itsrejection. Answers to all questions of a substantive nature will begiven to all bidders by return email, or if required, by a formaladdendum, which will be annexed to and become part of the ensuingcontract.

The Authority reserves the right to cancel the contract for convenienceor cause at any time during the contract period.

SPECIFICATIONS:1)"ROCKFALL REMOVAL SCENARIO", PAGES 1 OF 1, DATED: JANUARY 2015.

ATTACHMENTS:VENDOR/CONTRACTOR to submit valid proof of insurance prior tocommencement of work at the Authority's project in accordance withinsurance ATTACHMENT "A" that shall be incorporated into this PurchaseOrder/Contract.

APPENDIX "D" - The Authority's Background Screening Security Program ishereby incorporated into the Purchase Order/Contract. ALL backgroundscreening shall be performed by Summit Security Service Inc., 390 RXRPlaza, Uniondale, NY 11556 as noted in this Appendix. Allcorrespondence shall be online.




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APPENDIX "I" - North American Electric Reliability CorporationCritical Infrastructure Protection (NERC CIP), access requirements areincorporated into the Contract..APPENDIX "A" - Additional requirements shall be completed and returnedto the Authority.

APPENDIX "B" - is hereby incorporated into the Contract.

APPENDIX "E" - Omnibus Procurement Act of 1992 Requirements are herebyincorporated into the Contract and the Geographic Origin Form(Attachment 1) and other appropriate forms shall be completed andreturned to the Authority.

APPENDIX "G" - Equal Employment Opportunities Requirements are herebyincorporated into the Contract. Your EOO Policy Statement, StaffingPlan and Total Work Force information shall be furnished to theAuthority.

APPENDIX "H" - Tax Law Requirements are hereby incorporated into theContract and the appropriate form(s) shall be completed and returned tothe Authority.

APPENDIX "J" - Bidder / Contractor Compliance with State Finance LawSubsections 139-J and 139-K Providing for Certain ProcurementDisclosures is hereby incorporated into the Contract. Included FormsJ-1, J-2 and J-3 shall be completed and returned to the Authority.

APPENDIX "N" - NYS Iran Divestment Act of 2012,is hereby incorporated into the Contract.Contractor Certification of Compliance shall be completed and returnedto the Authority.

ASSIGMENT AND SUBCONTRACTING

Any assignment, subcontracting or transfer of any obligation ofContractor under this contract shall be entirely void without the priorwritten consent of the Authority. The Contractor's choice ofsubcontractors shall be subject to the Authority's approval prior tocommencing any Services hereunder. No contractual relationship shall




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exist between the Authority and any subcontractor. The Contractor shallnot be relieved of any of its obligations imposed by the terms of thiscontract for any part of the subcontracted Services.

UNCONTROLLABLE FORCES

The Contractor shall not be liable for loss or damage due to delay incompletion of the Work resulting from uncontrollable forces, the term"uncontrollable forces" being deemed for the purpose of this Contract tomean any cause beyond the reasonable control of the Contractor,including but not limited to, flood, earthquake, storm, lightning, fire,epidemic, war, riot, civil disturbance, sabotage or restraint by courtor public authority, which by exercise of due diligence and foresight,the Contractor could not reasonably have been expected to avoid. If theContractor is rendered unable to fulfill any obligations by reason ofuncontrollable forces, it shall so notify the Authority in writing, andshall exercise due diligence to remove such inability with allreasonable dispatch. ANY DELAY RESULTING FROM SUCH UNCONTROLLABLEFORCES SHALL NOT GIVE THE CONTRACTOR ANY CLAIM FOR ADDITIONALCOMPENSATION AGAINST THE AUTHORITY. THE AMOUNT OF TIME REASONABLYNECESSARY TO COMPLETE THE WORK SHALL EXTEND COMPLETION DATESCORRESPONDINGLY, SUBJECT TO THE APPROVAL OF THE AUTHORITY, WHICHEXTENSION SHALL BE THE CONTRACTOR'S SOLE REMEDY. Demonstrations,protests, labor walkoffs or slow downs, acts of vandalism, minor thefts,minor fires and normally occurring seasonal climatic variations such as,but not limited to, rain, freezing, thawing, or snowfall, shall not beconsidered uncontrollable forces.

NO DAMAGES FOR DELAY

a) THE CONTRACTOR AGREES TO MAKE NO MONETARY CLAIM FOR DELAYS,INTERFERENCES AND HINDRANCES OF ANY KIND IN THE PERFORMANCE OF THISCONTRACT OCCASIONED BY ANY ACT OR OMISSION TO ACT OF THE AUTHORITY ORANY OF ITS REPRESENTATIVES, AND AGREES THAT ANY SUCH CLAIM SHALL BEFULLY COMPENSATED FOR BY AN EXTENSION OF TIME TO COMPLETE PERFORMANCE OFTHE WORK.

b) Should the Contractor sustain any damage through any act or omissionof any other contractor having a contract with the Authority for theperformance of work upon the Site or of work which may be necessary tobe performed hereunder, or through any act or omission of a subcontractor of such contractor, the Contractor shall have no claimagainst the Authority for such damages, but shall have a right torecover such damage from the other contractor under the provision




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similar to the following provision which has been or will be inserted inthe contracts with such other contractors.

c) Should any other contractor having or who shall hereafter have acontract with the Authority for the performance of work upon the sitesustain any damage through any act or omissions of the Contractorhereunder or through any act or omission of any subcontractor of theContractor, the Contractor agrees to reimburse such other contractor forall such damages and to indemnify and hold the Authority harmless fromall such claims.

WARRANTY

a) Contractor warrants to the Authority that the Work shall beperformed in a good, workmanlike manner using the highest currentindustry practices and that upon notice of final acceptance by theAuthority, the Work shall be free from any defects in material andworkmanship and shall conform to the technical and performance standardsdescribed in the Technical Specifications. The Contractor's liabilityunder this warranty shall be the prompt and complete correction, repairor replacement of any defective work or materials to the Authority'sfull satisfaction at the Contractor's expense, provided that writtennotice thereof shall have been given by the Authority to the Contractorwithin one (1) year after notice of final acceptance of the Work by theAuthority. In the event any warranty work also proves defectivefollowing the performance of such work, such defective work shall alsobe promptly repaired, corrected or replaced at the Contractor's cost.

b) If the Contractor fails, when requested by the Authority, to proceedpromptly with the repair, replacement or correction of any defectiveWork under this warranty, the Authority may (1) by itself, third partycontract or otherwise, correct such defective Work, pursue otherappropriate remedies and charge to the Contractor the total actual costthereof and deduct such amount from any funds otherwise due toContractor, and/or (2) terminate this Contract for default.

c) The warranty obligations under this contract is in addition to anymanufacturer's warranties on components of the Work that extend over aperiod of time greater than the warranty period specified herein andshall not be modified or voided by any requirement of this contract. Upon execution of this Contract, the Contractor shall promptly providethe Authority with copies of all manufacturer's warranties which relateto the Work and assign them to the Authority.




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MANAGEMENT OF WORK

A. Direction By the Authority. In connection with the Work to beperformed hereunder, the Authority shall have the right, in its solediscretion to determine the number of Contractor's personnel, and theirskills to be used for the work; to determine work methods and proceduresincluding observance of all of the provisions of this Agreement andapplicable governmental statues and regulations; to determine workinghours and the amount of work to be performed by individual personnel orskill classifications; and generally to direct, plan and control eachand every aspect of the Work without limitation or restriction. TheAuthority may, in writing, require the Contractor to remove promptlyfrom the work Contractor's employees the Authority deems incompetent,careless, insubordinate, or otherwise objectionable, or whose continuedemployment on the work is deemed by the Authority to be contrary to thepublic interest, and such employee shall not be again employed by theContractor in connection with the work of this Agreement.

B. Contractor's Assurance. Contractor shall take all necessary stepsto ensure the personnel it provides to perform the Work hereunder shallwork harmoniously and side by side if necessary, with the employees ofthe same or different skill classifications of the Authority or others;shall not engage in any activities which would hinder progress of theWork; shall cooperate fully with and follow all directions by theAuthority. If any labor disputes arise, Contractor shall use its bestefforts to ensure that the Work continues unimpeded while taking allnecessary steps to negotiate and resolve such disputes.

SAFETY AND ACCIDENT PREVENTION

a) The Contractor shall at all times exercise reasonable precautionsfor the safety of the general public and persons engaged in theperformance of the work, and is responsible for the performance andmaintenance of safety activities of its employees and subcontractors. Before the award of any contract for work at an Authority property andat the request of the Authority data from the previous 3 years plus theyear-to-date that includes, each years' Experience Modification Rate,Recordable Injury/Illness Rate, Lost Time Injury/Illness Rate and anyfatalities that may have occurred in any one of those years. Upon awardof the contract the Contractor shall also submit a project specificHealth and Safety Plan (HASP) that addresses the hazards that will beexpected on the project and how those hazards will be addressed for




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review and comment by the Vice President of Environment Health andSafety and the Construction Manager.

b) The Contractor shall provide adequate equipment, facilities andpersonnel as are necessary or required, in the case of an accident, forfirst aid service to any person who may be injured in the prosecution ofthe work under this or other contracts being performed within the sitearea, and it shall have standing arrangements for adequate medical care,and for removal and hospital treatment of any person who may be injuredor who may become ill. Such equipment, facilities and arrangementsshall be satisfactory to the Authority.

c) The Contractor shall provide all fire and safety equipment(including fire extinguishers, respirators and lifelines) necessary forthe safe performance of the work.

d) The Contractor must report immediately to the Engineer everyaccident/illness to persons or damage to property, and shall furnish inwriting full information including testimony of witnesses, regarding allaccidents/illnesses. The Contractor shall comply fully with allapplicable provisions of the Occupational Safety and Health Act of 1970,(Public Law 91 596 of the United States, 29 U.S.C. Sec. 651 et. seq.)as it may be or may have been amended, all orders, directives, rulesand/or regulations issued pursuant thereto and/or deemed to beoccupational safety and health standards issued under such Act oramendments, and all standards legally incorporated by reference in suchlaws, rules and regulations; provided however, that in the event a NewYork State plan for the development of occupational safety and healthstandards has the approval of the United States Secretary of Labor inaccordance with such act of amendments thereto, then the Contractorshall fully comply with such New York State occupational safety andhealth standards, and with all applicable provisions of New York Statelaws, and with all valid rules and regulations adopted or promulgated byNew York State agencies pursuant thereto. In the further event,however, that such manual or such laws of New York State or rules orregulations issued pursuant thereto contain particular provisions forstandards, measures, equipment, devices, techniques, or conditions, notinconsistent with, and which provide for greater protection foremployees appropriate to the performance of work than those prescribedor approved pursuant to the Occupational Safety and Health Act of 1970,then the Contractor shall comply with such particular provisions. TheContractor's attention is specifically called to the applicable rules,regulations, codes and bulletins of the New York State Department ofLabor, Board of Standards and Appeals. The Contractor shall cooperate




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with the safety representatives of the Engineer and/or the Authority andcomply with any specific safety recommendations which they may make atno additional cost.

e) The wearing of approved safety hats which comply with ANSI Z89.1 byall persons in the contract work area is mandatory, and the Contractorshall be responsible for and enforce the wearing of such hats. Eyeprotection that complies with ANSI Z87.1 shall be worn at all times whenemployees are performing operations considered hazardous to the eyes andthe Contractor shall be responsible for and enforce the wearing of sucheye protection. Note that all NYPA site specific Personal ProtectionEquipment requirements must be adhered to, including, but not limitedto: sturdy safety shoes/boots, reflective vest and hearing protection.

f) Attention is directed to the section below entitled "Suspension ofWork" in this contract. In the event of noncompliance by theContractor of provisions of this contract, the Authority therefore, mayexercise such right to suspend work and in such event the Contractorshall not be entitled to any delay or expenses occasioned thereby.

g) The Contractor shall also comply with the Authority's safety andaccident prevention rules.

h) The contractor shall provide, in both printed copy and electronicPDF format, to the Engineer a Material Safety Data Sheet (MSDS) and whenavailable, a SDS(Safety Data Sheet). The SDS will replace the MSDS and all chemicalmanufacturers will need to update their old MSDS's to the new format byJune 2015. The SDS has been standardized so the data sheet conforms to aspecific format meeting current and future requirements of OSHA Part1926 for materials to be used in the work, before each material is firstused in the project. The requirement to provide a MSDS shall apply toall materials to which workers are exposed, to the extent that OSHA Part1926.59 requires a MSDS for that material. This applies to thosematerials brought to the jobsite to be incorporated into the work, aswell as to all materials that are encountered at the jobsite as a resultof the use or incorporation of the other materials. This requirementshall be waived for commonly used generic construction materials such asPortland cement and asphalt cement by providing to the Engineer a listof those materials. Such waiver however does not relieve the contractorfrom the responsibility to maintain a copy of the MSDS for each materialto which the contractors workers will be exposed, as required by OSHAPart 1926.




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TOXIC/HAZARDOUS MATERIALS

a) Asbestos

1) As required by the New York State Labor Law, the Contractor shallpost in a prominent place a sign informing workers of their right toknow about toxic substances found in their workplace.

2) In every instance possible, the Contractor shall use asbestos freematerials for incorporation into any structure or which will be used inperforming any feature of the work required by this Contract.

3) All asbestos related work performed by the Contractor shall be inaccordance with all Federal, State, and Local requirements including,but not limited to, those promulgated by the Department of Labor,Division of Occupational Safety & Health, and the New York StateDepartment of Labor. Training of asbestos workers shall also meet therequirements specified by the New York Department of Health. All costsassociated with meeting these requirements shall be included in theContract price.

b) Prohibition on Use of Hazardous Material

The Contractor shall not use or bring on the site any asbestos or anyother materials listed as hazardous, toxic or dangerous or of restricteduse, as classified or defined by any federal or New York State Law,regulation or agency policy, without prior written approval from theAuthority or its designee.

c) Material Safety Data

If any materials the Contractor plans to bring onto the site, or usesthere, is listed as hazardous by any New York or United Statesgovernmental regulation, the Contractor shall provide the Authority'sdesignee relevant Material Safety Data Sheets (MSDS) prior to bringingit onto the site.

SAFETY REQUIREMENTS AND PERFORMANCE DATA

a) All contractors supplying their personnel, or sub-contractedpersonnel, to Authority facilities, are responsible for reporting anyinjuries or illnesses arising at these facilities to the Authoritywithin 24 hours.




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b) Each employer who is subject to the record keeping requirements ofthe Occupational Safety and Health Act (OSHA) 1970 must maintain a logof all recordable occupational injuries and illnesses. OSHA form "OSHANo. 300" may be used to log and summarize occupational injuries andillnesses.

c) On a monthly basis, each contractor shall submit a copy of theirOSHA No. 300 log (or if accepted by the Authority a substitute report)to the Authority's facility safety representative or designee, asfollows:

WPO - Vice President of Environmental Health and SafetyNIA - Safety, Health & Fire Protection AdministratorCEC - Safety, Health & Fire Protection AdministratorBG - Environmental Health and Safety ScientistSTL/FDR - Safety, Health & Fire Protection AdministratorPOL - Environmental & Safety EngineerFlynn - Maintenance SuperintendentIn-City - Environmental & Safety Engineer500 MW -Environmental & Safety Engineer

(Note to Contractor: submit your OSHA No. 300 log only to the safetyrepresentative at the facility where the contract work is beingperformed. Do not submit your log to all of the above listedrepresentatives)

d) To prevent personal injury or damage to property, all tests, rentalsor other equipment of any kind, furnished by the Contractor or vendormust be in good working order and condition; properly tested, grounded,fit or otherwise suitable for its intended purpose or use; and free ofdefect. Proof of inspection and maintenance is required.

e) In addition to the above, all Contractors supplying their personnel,or sub-contracted personnel, to Authority facilities, are responsiblefor reporting on a monthly basis the number(s) of personnel working atthe facility, and person-hours worked by each.

f) In addition, all Contractors supplying their personnel orsub-contracted personnel shall ensure that those personnel have thetraining and certifications that are required by industry standard,state and federal law, and provide documentation of training andcertifications when requested.




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DAMAGES AND INDEMNIFICATION

a) All damages, direct or indirect, of whatever nature resulting fromthe performance of the Work or damage to the Work during its progressfrom whatever cause, including omissions and supervisory acts of theAuthority, shall be borne by the Contractor, and all Work shall besolely at its risk until the Work has been finally inspected andaccepted by the Authority. The Contractor, however, shall not beresponsible for damages resulting from faulty designs as shown in theTechnical Specifications nor damages resulting from willful acts ofofficers or employees of the Authority.

b) To the extent permitted by law, the Contractor shall assume theentire responsibility and liability for and defense of, and pay andindemnify the Authority and the State of New York against any loss,expense or liability and will hold the Authority and the State of NewYork harmless from and pay any loss, damage, cost or expense (includingwithout limitation, judgments, attorney's fees, and court costs) whichthe Authority or the State of New York incurs because of injury to ordeath of any person or on account of damage to property, or any otherclaim arising out of, in connection with, or as a consequence of,performance of the Work and/or any act or omission of the Contractor orany of its subcontractors, employees, agents or anyone directly orindirectly employed by the Contractor or anyone for whose actsContractor may be liable.

c) The Contract prices shall include all royalties and costs arisingfrom any use in the Work of any proprietary design, device, material,system or process covered by any patent, trademark or copyright. TheContractor shall indemnify the Authority for any costs, expenses anddamages which it may incur or be obliged to pay, by reason of anyinfringement at any time during the prosecution or after the completionof the Work.

SUSPENSION OF WORK

a) The Authority may, at its sole option, by notice in writing to theContractor suspend at any time the performance of all or any portion ofWork to be performed under the Contract. Upon receipt of any suchnotice, the Contractor shall immediately discontinue Work on the dateand to the extent specified in the notice and place no further orders orsubcontracts for materials, services, or facilities with respect to




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suspended Work other than to the extent required in the notice. TheContractor shall thereupon submit an invoice, and the Authority shallpay for all unpaid materials and/or services provided by the Contractorunder the Contract prior to the notice of suspension.

b) The Contractor shall designate in writing the amount and type oflabor and equipment effected by the suspension which shall be subject tothe approval of the Authority. During the period of suspension, theContractor shall use its best efforts to utilize its labor and equipmentin such a manner as to minimize costs associated with suspension. Uponreceipt of notice to resume suspended Work, the Contractor shall, assoon as reasonably possible, resume performance of the suspended Work tothe extent required in the notice. Any claim on the part of theContractor for time extension or price adjustment to complete the Workshall be made in writing within thirty (30) calendar days after receiptof notice to resume Work and the Contractor shall submit for review arevised project completion schedule.

TERMINATION

A. The Authority, within its sole discretion, and for any reason or forno reason may terminate this Agreement at any time, as to all or anypart of the Services thereof, upon notice in writing to the Contractor. Unless otherwise specified in such notice, the Contractor shallimmediately discontinue all terminated Services, and the placing of anyorders for materials, facilities or supplies in connection with suchServices, shall proceed to cancel promptly any existing orders, andshall terminate sub-contracted work.

B. Except in the event of termination for non-performance and/orunsatisfactory performance by the Contractor, the Authority shall paythe Contractor for all Services satisfactorily performed to the date oftermination and for such other Services as the Authority may direct theContractor to perform to bring the terminated part of Services to anorderly conclusion.




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PREVAILING WAGE SCHEDULE - All work shall be performed underPRC# 2016002315 Niagara County.

LABOR LAW REQUIREMENTS

A Prevailing Wage Schedule is annexed to this Request for Quotation(RFQ) and will become a part of any resulting Purchase Order / Contract.A copy of the Wage Schedule can also be obtained via the Internet bygoing to the site,

http://wpp.labor.state.ny.us/wpp/showFindProject.do?method=showIt

and then entering the PRC number which is displayed in the upper rightcorner of the Wage Schedule.

In addition:a) Prime Contractors are required to provide all of its subcontractorswith prevailing wage schedules.

b) Before work begins, the Contractor and every Subcontractor must postwage schedules and supplements in a prominent and accessible place atthe construction site so that workers know what they are entitled to bepaid. The prevailing wage schedule must be encased in, or constructedof, materials capable of withstanding adverse weather conditions and betitled: "PREVAILING RATE OF WAGES" in letters no smaller than two (2)inches by two (2) inches.

c) Contractors are required to file the following Labor Affidavits:Before final payment is made by a public agency (i.e., the Authority)for any amounts due on a public work contract, the public agency shallrequire the Contractor or subcontractor to file a statement in writingcertifying to the amounts then due and owing from such Contractor to oron behalf of any worker employed on the jobsite.

d) Contractors and their subcontractors must provide certified payrollrecords every thirty (30) days. The Contractor and each subcontractorshall submit to the Authority, within thirty (30) days after issuance ofits first payroll and every thirty (30) days thereafter, a transcript ofthe original payrolls, subscribed and affirmed as true under penalty ofperjury. The filing of the payrolls by the Contractor, with theAuthority, as required by Labor Law Section 220, is a conditionprecedent to payment of any sums due and owing the Contractor for thework.




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e) Under NYS Prevailing Wage Law, no worker can be employed on thisproject in excess of eight (8) hours in any one day, nor 5 days in anyone calendar week without approval from the NYS Department of Labor. Ifyou intend to work outside of these restrictions, you must note this inyour proposal.

BID/INQUIRY RESPONSE FORMPlease acknowledge receipt of this Request for Quotation, statingwhether or not you intend to submit a proposal by IMMEDIATELY returningthe enclosed "Bid/Inquiry Response Form"

SAFETY ORIENTATION & SECURITY BADGINGWhen preparing your bid, please note that all of your employees comingonto the Niagara site who have NOT received the Authority's safetyorientation and who do NOT have current security badges will have toreceive the safety orientation and security badges. This process cantake up to three (3) hours. The cost of doing this must be included inyour proposal.

QUALIFICATIONS - Receipt of these bid documents does not indicate thatthe New York Power Authority ("Authority") has pre-determined yourcompany's qualifications to receive a contract award. Such determinationwill be made after the bid opening and will be based on our evaluationof your bid submission compared to the specific requirements andqualifications contained in these bid documents. Please include a listof references and recent jobs with your quote.

SUBCONTRACTORS - Should the Contractor propose to sublet any portion ofthe Work, it must obtain, prior to subletting, the written approval ofthe Authority and provide the names and addresses of all subcontractorstogether with the extent and character of the precise work to be done byeach subcontractor. The Contractor shall impose on its subcontractorsthe same responsibility that it assumes under the Contract and shall beresponsible to the Authority for the acts and omissions of itssubcontractors and for persons directly or indirectly employed by them.

Your proposal shall be submitted in accordance with the followingrequirements:

BID PREPARATION - Prepare your bid on this Request for Quote, usingindelible ink. An original and one (1) copy of your proposal is to besubmitted by the bid due date.




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BID DEVIATIONS - If your bid differs from the specifications explainsuch deviation(s) or qualification(s); and if necessary, attach aseparate sheet.

BID DELIVERY - Bidders assume all risks for timely, properly submitteddeliveries. Bidders are strongly encouraged to arrange for delivery ofbids to the Authority prior to the date of the bid opening. LATE BIDSwill be rejected.

NOTE: If mailing bid package via the United States Postal Service, sendto:New York Power Authority5777 Lewiston RoadLewiston, NY 14092

ANY other delivery service ( ex: Federal Express, United Parcel ServiceUPS, etc.) or hand deliveries:New York Power Authority4750 Witmer RoadNiagara Falls, NY 14305

FAXED/EMAILED BIDS CANNOT BE ACCEPTED.

BID ENVELOPES - An envelope containing a bid should be marked "Bid enclosed for Collective Number N16-20104978GJ Bid Due Date: 03/31/2016."Failure to complete all information on the bid envelope may necessitatethe premature opening of the bid and may compromise confidentiality.

HAND DELIVERIES - must deliver bids to the Main Warehouse and NOT to theSecurity Department. The Main Warehouse is located at 4750 Witmer Road,Niagara Falls, NY. Bidders assume all risks for timely, properlysubmitted deliveries. Delivery must be made by 3:00PM.

NOTE: The Authority reserves the right to award a contract to one ormore responsive and responsible bidders, if multiple contracts are themost practical and economic alternative and are in the best interest ofthe Authority.

All expenses incurred by you in preparation of your proposal will be toyour account.

The right is reserved to reject any or all proposals.




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_________________________________________________________________________

Item Material Unit Extended RFQ quantity Unit Price Price_________________________________________________________________________

00001 1 EACH $____________$ ____________

.CONTRACTOR TO PROVIDE ALL SUPERVISION, LABOR, EQUIPMENT, AND MATERIALSTO PERFORM EMERGENCY ROCKFALL REMOVAL SERVICES ON THE AUTHORITY'S SOUTHACCESS ROAD..THIS WORK SHALL BE PERFORMED ON AN "AS NEEDED" BASIS BEGINNINGAPRIL 15, 2016 AND ENDING APRIL 14, 2017.VENDOR TO PROVIDE LUMP SUMP PRICE FOR MOBILIZATION AND DEMOBILIZATION OFCREW AND EQUIPMENT (EXCLUDING CRANE). IT IS MANDATORY THAT CONTRACTOR'SCREW BE ON SITE WITHIN FOUR (4) HOURS AFTER BEING CALLED OUT BY THEAUTHORITY. BECAUSE A ROCKSLIDE CAN OCCUR WITHOUT WARNING, ROAD OPENINGSERVICES MAY BE REQUIRED AT ANY TIME OF THE DAY.

00002

.OPENING SOUTH ACCESS ROAD:Open South Access Road on an "as needed bases", provide allsupervision, labor and equipment to open two lanes. Work includes, butis not limited to:.Clear road of rockslide debris which may include, but is not limited toboulders, rocks, soil, fence posts and fencing..Load, haul and dump rockslide debris at NYSDEC permitted facility. Weighbills are required. Disposal fees shall be compensated at cost plus_____..Provide traffic control as required:Replace jersey barriers to original position on road. Repair rockcatchment fence as required...PRICE BASED ON ESTIMATED COMPLETION OF ALL TASKS USING ONE EIGHT (8)HOUR STRAIGHT TIME SHIFT AS FOLLOWS:.




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_________________________________________________________________________

Item Material Unit Extended RFQ quantity Unit Price Price_________________________________________________________________________

CRAFT AND CREW SIZE:CLASSIFICATION ST. HRLY OT HYLY PREMIUM HRLYSUPERINTENDENT $_____ $______ $______LABOR FOREMAN $_____ $______ $______LABORER $_____ $______ $______OPERATING ENG. $_____ $______ $______TRUCK DRIVER $_____ $______ $______OTHER $_____ $______ $______.EQUIPMENT:.TANDEN DUMP TRUCK WITH DRIVER.................$_____ PER HOUR.325 TRACK HOE WITH HYDRAULIC BREAKER..........$_____ PER HOUR.3' BUCKET (OR EQUIVALENT) WITH OPERATOR.......$_____ PER DAY

00003

VENDOR TO PROVIDE MOBILIZATION/DEMOBILIZATION OF65 TON CRANE WITH MAN BASKET LUMP SUM $______.ANY ADDITIONAL MOBILIZATION COSTS FOR SPECIFIC EQUIPMENT. $______

00004

CRANE RENTAL:FOR ROCK SCALING OF SOUTH ACCESS ROAD SLOPE.TWO (2) MAN CRANE OPERATING CREW REQUIRED..CRANE WITH CREW OPERATING COST $_______ PER DAY

00005

OTHER MATERIALS PROVIDED BY VENDOR:.INVOICE AT COST PLUS ______%




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BIDDER CONTACT INFORMATON:.TELEPHONE ___________________________________.FAX ___________________________________.EMAIL ___________________________________.COMPANY NAME _________________________________.NAME ___________________________________

PLEASE RETURN One (1) original and one (1) copy of the following:____ This Signed RFQ____ Signed Appendix A____ Completed Appendix ECompleted Appendix G requirements ____ EEO Policy Statement ____ Name of EEO Officer ____ Staffing Plan____ Completed Appendix J____ Completed Appendix N




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1. TERMS AND CONDITIONS. All terms and conditions of this order areset forth on this and any attached sheet or sheets, and include all theprovisions on each side thereof; no terms, conditions or provisions other thanthose so set forth or specifically incorporated in this order by reference on thisor an attached sheet shall be binding upon the Authority unless subsequentlyaccepted by it in writing, The words "Vendor" and "Contractor" as used in thisPurchase Order shall refer to the party or parties entering into this PurchaseOrder with the Authority. 2. WORKERS COMPENSATION LAW. The Vendor specifically agrees, asrequired by the New York State Finance Law, Section 142, that; (a) He willsecure workers compensation and keep insured during the life of this order forthe benefit of such employees as are required to be insured by the provisions ofChapter 41 of the Laws of 1914, as amended, known as the WorkersCompensation Law, and (b) This order shall be void and of no effect unless theContractor complies with this provision. 3. NEW YORK STATE LABOR LAW. Vendor specifically agrees that inperforming the work under this Purchase Order he will comply with all applicableprovisions of the New York State Labor Law, including but not limited to thoseas to hours of and rate of pay for employment. 4. WARRANTY. Acceptance by the Vendor of this order shall constitute anexpress warranty by Vendor that all articles covered hereby are fit for thepurpose intended, of first class quality, and in every respect according todescription or sample. Any defects in materials or workmanship or other failureto meet requirements of the specifications which are disclosed prior to finalpayment, or prior to acceptance by the Authority, whichever occurs at the laterdate, shall, if so directed by the Engineer, be corrected entirely at the expenseof the Vendor. Any latent defects not disclosed before date of final payment ordate of acceptance, whichever is the later date, but disclosed within one yearafter the articles, materials or supplies shall have been placed in use, shall becorrected promptly by and at the expense of the Vendor, or at the Authority'soption by the Authority at the expense of the Vendor, except that the cost ofinstalling replacement parts will be borne by the Authority; provided that thetotal period during which the Vendor is liable for replacement due to latentdefects shall not exceed 24 months after date of complete delivery of thematerials or equipment. Acceptance or use of articles by the Authority shall notconstitute a waiver of any claim under this warranty. 5. ASSIGNMENT. The Vendor shall not assign, transfer, convey, sublet, orotherwise dispose of this order or of his right, title or interest therein, or hispower to execute this order to any other person, company or corporationwithout the previous written consent of the Authority. 6. INSOLVENCY. If Vendor shall become insolvent or shall make anassignment for the benefit of creditors, or if a receiver or trustee shall beappointed for any of Vendor's property or business, this order may forthwith becancelled by the Authority without liability. 7. INSPECTION AND EXPEDITING. For purposes of inspection andexpediting of the materials, equipment and apparatus covered by this order, orwork thereon, the Vendor shall give the Authority's representative free access tohis works and provide for such access to the works of his subvendors, but anyapproval by such representative shall not relieve the Vendor from his obligationto comply with the requirements of this order in every respect. 8. CANCELLATION. At any time the Authority may cancel this order, inwhich event the Authority shall pay the Vendor the proportionate part of theagreed upon price representing the material and/or equipment previouslydelivered together with the amount of actual cost incurred in connection withthe undelivered portion of the order. However the Authority shall not be liablefor any claims for anticipated profits on the uncompleted portion of thematerials and/or equipment or consequential damages.

9. RESPONSIBILITY FOR ARTICLES. Except as otherwise provided in thisorder, (i) the Vendor shall be responsible for the articles covered by this orderuntil they are delivered at the designated delivery point, regardless of the pointinspection; and (ii) the Vendor shall bear all risks as to rejected articles after thenote of rejection.

10. EQUAL EMPLOYMENT OPPORTUNITIES AND MINORITY ANDWOMEN-OWNED BUSINESS ENTERPRISE PARTICIPATION GOAL REQUIREMENT.During the performance of this contract, the Contractor agrees as follows: Refer to the attachments entitled "Appendix C - Minority and WomenBusiness(M/WBE) Participation Goal Requirement" and/or "Appendix G - EqualEmployment Opportunities".

11. SAFETY REQUIREMENTS AND PERFORMANCE DATA a) All Contractors supplying their personnel, or sub-contracted personnel, toAuthority facilities, are responsible for reporting any injuries or illnesses arisingat these facilities to the Authority. b) Each employer who is subject to the recordkeeping requirements of theOccupational Safety and Health Act (OSHA) 1970 must maintain a log of allrecordable occupational injuries and illnesses. OSHA form "OSHA No. 300" maybe used to log and summarize occupational injuries and illnesses. c) On a monthly basis, each contractor shall submit a copy of its OSHANo. 300 log (or if accepted by the Authority, a substitute report) to theAuthority's relevant facility safety representative or designee,as follows: WPO - Vice President of Environmental Health and Safety NIA. - Safety, Health & Fire Protection Administrator Clark - Safety, Health & Fire Protection Administrator BG - Environmental Health and Safety Scientist ST.L/FDR - Safety, Health & Fire Protection Administrator POL - Environmental & Safety Engineer FLYNN - Maintenance Superintendent IN-CITY - Environmental & Safety Engineer 500 MW - Environmental & Safety Engineer d) To prevent personal injury or damage to property, all test, rental orother equipment of any kind , furnished by the Contractor or Vendor must be ingood working order and condition; properly tested, grounded, fit or otherwisesuitable for its intended purpose or use; and free of defect. e) In addition to the above, all Contractors supplying their personnel, orsub-contracted personnel, to Authority facilities, are responsible for reporting ona monthly basis the number(s) of personnel working at the facility, andperson-hours worked by each. f) In addition, all Contractors supplying their personnel or sub-contractedpersonnel shall ensure that those personnel have the training and certificationsthat are required by industry standard, state and federal law and providedocumentation of training and certifications when requested.

12. MATERIAL SAFETY DATA SHEET Vendor shall provide current Material Safety Data Sheets, "MSDS", foritems on or before delivery is received at the Authority.

Vendor shall provide shelf life data including Cure Date and ExpirationDate. Material shall possess at least 80% of it's shelf life when received at theAuthority.

In accordance with Appendix B - Prompt Payment Policy, Vendors' failureto comply with the above requirements may result in the delay of payment untilthe receipt of all proper documentation.

13. NEW YORK STATE SALES AND COMPENSATING USE TAX ACT. Underthe provisions of the New York State Sales and Compensating Use Tax Act, theAuthority is exempt from the payment of such taxes on sales to the Authorityof tangible property of services. The Authority is not required to furnishexemption certificates, and the Authority's contract may be accepted in lieu ofan exemption certificated with the Contractor's copy as proof that the sales areexempt.

14. MEN AND MEANS. Contractor will not employ or allow to be employedin connection with, or related or incidental to, any of contractor's activities oroperations under this Contract,or in the vicinity of the premises in which suchactivities or operations occur, personnel, methods or means which, in theopinion of the Authority, may cause or tend to cause work stoppages, strikes,picketing or other cause for the delay of or interference with any work by or onbehalf of the Authority in connection with the Authority's reference project.

THE FOLLOWING CONDITIONS SHALL APPLY TO THIS PRICE INQUIRY EXCEPT AS OTHERWISEMODIFIED ON THE FACE OF SUCH INQUIRY

IMPORTANT VENDOR NOTE!YOUR QUOTATION WILL NOT BE ACCEPTED UNLESS YOU HAVE SIGNED THE NON-COLLUSIVE BIDDING CERTIFICATION AND HAVE COMPLETED THE FOLLOWING

TERMS AND SHIPPING INFORMATION

NON-COLLUSIVE BIDDING CERTIFICATION:

Under the provisions of Chapter 295 of the Laws of 1987, the N.Y. Power Authority is required to report to the N.Y. State Dept. of Taxation and Finance inconnection with your proposal for or the award of these services or goods the following information:

Your Federal social security:______________________________________________________________________________________________________________________________

Your Federal employer identification number:______________________________________________________________________________________________________________

If you do not have the above numbers, please state the reason or reasons why:___________________________________________________________________________Such numbers shall only be made available to the public as provided by law.

Under the provisions of Section 94(1)(d) of the New York Public Officers Law, the N. Y. Power Authority is required to provide this notice when collecting personalinformation from bidders doing business as 1099 contractors in the Authority's SAP system.

This information is requested pursuant to Article 5, Title I of the Public Authorities Law and Section 6041 of the Federal Internal Revenue Code. The principalpurpose for which the information is collected is to comply with requirements of the Federal Internal Revenue Code in accordance with Section 96(1) of the PersonalPrivacy Protection Law, particularly subdivisions (b), (e) and (f). Because service providers doing business as 1099 status contractors typically submit their personalsocial security numbers and residential addresses to the Authority for business use and tax requirements, such personal information must be maintained by theAuthority in accordance with New York's Personal Privacy Protection Law.

Failure to provide the requested information may result in fines by the Federal Government for failure to properly report income and preclusion from providing servicesto the Authority.

This information will be maintained by the Office of Procurement at the Power Authority of New York located at 123 Main Street, 16th Floor, White Plains, NewYork, or when appropriate, at one of the various Authority Facilities.

(1)(a) By submission of this bid, each Bidder and each person signing on behalfof any bidder certifies and in the case of a joint bid each party thereto certifiesas to its own organization under penalty of perjury that to the best of hisknowledge and belief (1)The prices in this bid have been arrived at independently without collusion,consultation, communication or agreement, for the purpose of restrictingcompletion, as to any matter relating to such prices with any other bidder orwith any competitor. (2)Unless otherwise required by law, the prices which have been quoted inthis bid have not been knowingly disclosed by the bidder and will not knowinglybe disclosed by the bidder prior to opening directly or indirectly to any otherbidder or competitor: and, (3)No attempt has been made or will be made by the bidder to induce anyother person, partnership or corporation to submit or not to submit a bid for thepurpose of restricting competition. Terms__________________________ F.O.B._____________________________________ Ship Via___________________________________________________________________ Shipping Date______________________________________________________________

(b)A bid shall not be considered for award nor shall any award be madewhere (a) (1) (2) and (3) above have not been complied with, provided howeverthat if in any case the bidder cannot make the foregoing certification, the biddershall so state and shall furnish with the bid a signed statement which sets forthin detail the reasons therefore. Where (a) (1) (2) and (3) above have not beencomplied with,the bid shall not be considered for award nor shall any award bemade unless the head of the purchasing unit of the state, public department oragency to which the bid is made, or his designee, determines that suchdisclosure was not made for the purpose of restricting competition. The fact that a bidder (a) has published price lists, rates, or tariffs coveringitems being procured, (b) has informed prospective customers of a proposed orpending publication of new or revised price lists for such items, or (c) has soldthe same items to other customers at the same prices being bid, does notconstitute, without more a disclosure within the meaning of subparagraph one(a) ___________________________________________________________________________ FULL NAME OF BIDDER___________________________________________________________________________ SIGNATURE___________________________________________________________________________ DATE

January 2015

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ROCKFALL REMOVAL SCENARIO

Assume that a rockfall has occurred during the night and is blocking the Authority’s SouthAccess Road at a point about halfway down the hill. A total of 100 tons of material areinvolved and includes: 20 cubic yards of talus consisting of mud to 1 ft. square boulders, 10cubic yards of boulders 1 ft to 3 ft. square, and 20 cubic yards of solid rock blocks largerthan 5 ft. square. Also, two panels of rock barrier fence and their support posts arecollapsed and must be replaced, and a number of Jersey barriers need to be reset.

Under this contract, the Contractor must:

Mobilize equipment and labor to the site within 4 hours of notification Clear the road to allow at least one lane of traffic past the slide area as soon as

possible. Remove mud, boulders and oversize rock blocks to reopen both road lanes and

clean out the roadside ditch Repair the fence with some materials provided by the Authority and some provided

by the Contractor. Reset the Jersey barriers as required. Remove from the slope any unstable rock identified by the Authority by hand

scaling or by a method approved by the Authority. Provide traffic control during site work

PROC-BRev. 2, 3/2010

APPENDIX "B"

A. GENERAL

1. This statement is intended to establish rules and regulations as required under Section 2880 of the Public Authorities Law describing the policy ofthe Power Authority of the State of New York (the "Authority") to promptly pay all proper invoices submitted by any Contractor. Subject to theconditions and exceptions set forth in Section 2880 and herein, in the event any proper invoice is not paid promptly, the Authority shall be liable forthe payment of interest on late payments. This policy shall apply to all Contracts entered into on or after April 30, 1988.

B. DEFINITIONS

1. "CONTRACT" means an enforceable agreement entered into between the Authority and a Contractor.

2. "CONTRACTOR" means any person, partnership, private corporation or association: a) selling materials, equipment or supplies or leasingproperty or equipment to the Authority; b) constructing, reconstructing or repairing buildings, highways or other improvements for or on behalf ofthe Authority; or c) rendering or providing services to the Authority pursuant to a Contract.

3. "DESIGNATED PAYMENT OFFICE" means the office designated by the Authority to which a proper invoice is to be submitted by a Contractor.

4. "PROPER INVOICE" means a written request for a Contract Payment that is submitted by a Contractor to the Authority's designated paymentoffice setting forth the description, price and quantity of goods, property or services delivered or rendered in accordance with the terms of theContract, in such form and supported by such other substantiating documentation as the Authority may reasonably require.

5. "RECEIPT OF AN INVOICE" and "INVOICE RECEIVED DATE" mean (a) the date on which proper invoice is actually received in the designatedpayment office, or (b) the date on which the Authority receives the purchased goods, property or services covered by the proper invoice, whicheveris later. With regard to final payments on construction contracts, (b) shall mean the date on which all the Contract Work has been accepted ascompleted by the Authority in accordance with the Contract terms.

6. "SET-OFF" means the reduction by the Authority of a payment due a Contractor by an amount equal to the amount of an unpaid legallyenforceable debt owed by the Contractor to the Authority.

C. RESPONSIBILITY FOR PROMPT PAYMENT

1. The Authority's Controller shall have the responsibility for the implementation of the Prompt Payment Policy and the prompt payment of all properinvoices under the general guidance and supervision of the Executive Vice President & Chief Financial Officer.

D. PROMPT PAYMENT PROCEDURE

1. A Contractor shall request payment under a Contract by submitting a proper invoice to the Authority at its designated payment office at the timeand in the manner specified in the Contract.

2. The Authority shall have fifteen (15) calendar days after receipt of an invoice at its designated payment office to notify the Contractor of certainfacts and conditions, including but not limited to those listed below, which, in the opinion of the Authority's Controller, justify extension of thestatutory payment period.

a) there is a defect in the delivered goods, property or services;

b) there is a defect in the invoice;

c) there are suspected defects or improprieties of any kind the existence of which prevent the commencement of the statutory payment period;

d) prior to payment, a statutory or contractual provision requires an inspection period or an audit to determine the resources applied or used bythe Contractor in fulfilling the contract terms;

e) a proper invoice must be examined by the federal government prior to payment;

f) the Authority is prevented from making payment by reason of the filing of a lien, attachment, other legal process or requirement of law.

Any time taken to satisfy or rectify any such facts or conditions shall extend the date by which contract payment must be made in order for theAuthority not to become liable for interest payments by an equal period of time.

3. Should the Authority fail to notify a Contractor of such facts and conditions within fifteen calendar days of the invoice received date, the number ofdays allowed for payment of the corrected proper invoice will be reduced by the number of days between the fifteenth day and the day thatnotification was transmitted to the Contractor. Should the Authority, in such situations, fail to provide reasonable grounds for its contention that afact or condition justifying a time extension exists, the date by which contract payment must be made in order for the Authority not to become liablefor interest payment shall be calculated from the invoice received date.

4. The Authority shall make payment within forty five (45) calendar days after the invoice received date. Effective July 1, 1989, the Authority shallmake payment within thirty (30) calendar days, excluding legal holidays, after invoice received dates occurring after that date.

5. Except for the payments described in Paragraph E, every payment by the Authority to a Contractor pursuant to a Contract is eligible for interestshould the Authority fail to make such payment within forty five (45) days after the invoice received date for contracts entered into between April30, 1988 and June 30, 1989 and within thirty (30) days for contracts entered into on or after July 1, 1989.

6. The Authority shall not be liable for interest on any retention amounts withheld by the Authority in accordance with the terms of the Contract.

7. Interest shall be computed at the rate set by the state tax commission for corporate taxes pursuant to paragraph one of subsection (e) of section1096 of the tax law, but the Authority shall not be liable for payment of interest when such interest is less than ten dollars.

8. The Authority has available funds in its custody to pay all interest penalties.

E. EXCEPTIONS

1. Payments are not eligible for interest when they are due and owing by the Authority:

a) under the eminent domain procedure law;

b) as interest allowed on a judgement by a court pursuant to any provision of law other than section 2880 of the Public Authorities Law;

c) to the federal government; to any state agency or its instrumentalities; to any duly constituted unit of local government including but notlimited to, counties, cities, towns, villages, school districts, or any of their related instrumentalities; to any other public authority or publicbenefit corporation; or to its employees when acting in, or incidental to, their public employment capacity;

d) in situations where the Authority exercises a legally authorized set-off against all or part of the payment due the Contractor.

Procedure Title: PS 2.1 Background Screening: NYPA Contractor‘s Packet (Appendix D)

Procedure Number: O-TC-32-018-R02

Revision Date 2/1/2016

Approved By: Randy Crissman Vice President, Technical Compliance

Content Owner: Larry Mallory Director, Physical Infrastructure Security

FOR BID INFORMATION PURPOSES ONLY

Background screening company electronic access portal will be provided to the successful bidder upon contract award.

Printed copies are not controlled. For the latest revision of this document, please refer to the Policy and Procedure PowerNet site.

Procedure Title:

PS 2.1 Background Screening: NYPA Contractor‘s Packet (Appendix D)

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Revision Date

Revision Description/Modification Author and Title

mm/dd/yyyy 2 Ryan Aguiar Sr. Physical Infrastructure

Security Specialist

6/23/2015 1 Performed biennial review. Performed biennial review. Added supporting procedures to section 1.0, expanded definitions section 4, added section 5.1 precautions and Limitations, adjusted applicability section, added criteria in section 5.2.7 for valid photo and non-photo identification, updated the CARCO contact information and procedure formatting enhancements.

Ryan Aguiar Sr. Physical Infrastructure

Security Specialist

12/30/2013 0 Original Issue of CS 2.1. Formerly part of CS 2 Background Screening Program. Describes requirements for Contractors seeking unescorted access to NYPA facilities.

Thomas Carpenter Senior Security Specialist

Refer to last page of document for electronic approvals of latest revision.

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1 PURPOSE

The purpose of this procedure is providing guidance to contractors or other authorized third parties requiring completion of a Personal Risk Assessment (PRA) to achieve unescorted access within New York Power Authority (NYPA) Facilities.

2 SCOPE

Provides step-by-step actions to be performed by contractor(s) or authorized third parties submitting a background check application as well as providing answers to commonly asked questions regarding the PRA process.

3 APPLICABILITY

This procedure applies to all hired contractors requiring unescorted access inside NYPA facilities.

BIDDER MUST NOT SUBMIT APPLICATIONS FOR ANY OF ITS PERSONNEL TO SUMMIT SECURITY SERVICES.

BACKGROUND SCREENING COMPANY ELECTRONIC ACCESS PORTAL WILL BE PROVIDED TO THE SUCCESSFUL BIDDER UPON CONTRACT AWARD.

4 DEFINITIONS

Contractor - Contractors who have been awarded a contract (hired) with NYPA

General Access Badge – are issued to NYPA employees and programed with the approved levels to facilitate access within protected and restricted areas.

Physical Access Request (PAR) – A PAR is an online AIMS request for NYPA Personnel requiring physical access to NYPA PSP / CCA (restricted) areas. Approved PAR access privileges will be implemented in the ACS system by Facility Security.

PSP – Physical Security Perimeter. A PSP is defined as the physical enclosure surrounding computer rooms, telecommunications rooms, operational centers, and other locations which house High Impact BES Cyber Systems or Medium Impact BES Cyber Systems with external routable connectivity or PACS associated with High Impact BES Cyber Systems, and PACS associated with Medium Impact BES Cyber Systems with external routable connectivity. Physical access to PSP‘s must be controlled through the use of card readers, special locks, or escorts by authorized personnel.

Point of Contact (POC) – A NYPA management individual sponsoring contractors and authorized third party (visitors) for facility access and ultimately responsible for ensuring access and training requirements for General and PSP / CCA access are obtained, maintained and terminated per procedure and policy guidance.

Protected Area - A Protected Area is defined as a NYPA-owned property / area encompassed by physical barriers (i.e. fencing) to which access is controlled, and may include vehicle barriers to prohibit physical entry by unauthorized persons / vehicles.

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PRA – Personal Risk Assessment.

Restricted Areas - A Restricted Area is defined as an internal isolated area within the Protected Area and has been declared such due to its importance in the protection of either plant safety or security systems. All access doors leading into a Restricted Area shall be alarmed and access shall be controlled by either card reader or key or both.

System Access – logical access to any NYPA system.

5 PROCEDURE IMPLEMENTATION

5.1 Precautions and Limitations

5.1.1 Section 5.2 has been prepared in a question and answer format to provide clarification to commonly asked questions.

5.1.2 NYPA SHALL restrict certain personal information from POC and others in an effort to protect your personal privacy and therefore have limited the NYPA review process for Contractors to NYPA Physical Infrastructure Security and Legal departments.

5.1.3 SHOULD an individual contractor have a break in service greater than 365 retraining and an update of background screening status SHALL be required regardless of whether unescorted access was granted for general and/or restricted access.

5.1.4 ―Hired Contractors‖ are expected to use the following link – PROVIDED TO SUCCESSFUL BIDDER which will connect contractors to the webpage of NYPA‘s third-party background screening provider. The website link is intended to initiate the electronic submission of application. NOTE: Electronic applications are required to be submitted at least 30 days PRIOR to requested site entry.

5.2 Frequently Asked Questions

5.2.1 Who needs background screening and when should I apply? What do they check for?

A. Hired Contractor(s) or authorized third parties awarded a contract (hired) with NYPA will find this procedure attached to their awarded contract, ―referenced as (Appendix D)‖. NOTE: Contractors will NOT use the attached procedure copy

for processing of applications but is intended for reference only.

B. Approval to initiate the electronic ―Background Screening Application‖ can be obtained by contacting your NYPA Point of Contact (POC). Approval is necessary since an individual‘s ―job scope‖ MAY only require work activity outside NYPA facility structures and wouldn‘t require background screening.

C. The POC determines the authorized number of contractors, NYPA pays all costs for background screening. The ―Hired Contractor‖ is EXPECTED to

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allow ONLY the authorized number of individual contractors to initiate the electronic ―Background Screening Application‖.

D. The background screening process includes verifying each contractors identity followed by a seven (7) year criminal history check, sex offender registry check, and Global Watch Lists check performed by our background investigative vendor and reviewed by NYPA.

5.2.2 My POC decided I need to apply for background screening. How do I do

that?

A. Once the POC approves and provides a start date, you should complete the electronic application process as soon as possible but at least thirty (30) days before your expected ―start work date‖.

B. Applicants requiring GENERAL ACCESS, PHYSICAL and/or SYSTEM

ACCESS should click on the Summit Link (LINK PROVIDED TO SUCCESSFUL BIDDER) to initiate the electronic submission of application through NYPA‘s 3rd party background screening provider

1. Contractors / Vendors requiring access to NERC-CIP Physical Security Perimeters require completion of NERC–CIP Cyber Security Training which takes approximately thirty (30) minutes to complete.

2. Contractors and Vendors requiring ENTRY within Physical Security Perimeters or obtain Remote System access as part of their work assignment may perform the NERC-CIP Cyber Security Training at their assigned NYPA Facility.

Failure to complete the NERC-CIP Cyber Security Training in advance may delay access to Physical Security Perimeters / Remote System Access.

C. Once you have clicked the link and are connected to the webpage of the 3rd

party background screening provider you begin the application process following the directions provided on the webpage. IF you‘re having trouble completing the application contact your POC for assistance.

D. Required steps include:

1. Providing your name, SSN, DOB and address. 2. Provide your electronic signature authorizing the background screening.

NOTE

The background screening process will NOT begin until all data is submitted. All documents will be submitted and signed electronically. You will also receive copies of all signed documents via email.

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3. Providing your electronic signature for additional certifications that must be signed electronically within the secure site before you can gain access to NYPA facilities.

E. Identifying your POC during the application process is essential because the POC is the point of contact for receiving information of your background screening once submitted.

F. IF NYPA‘s 3rd party background screening company contacts you requesting additional information, a timely response is EXPECTED to acquire necessary information. Failure to respond timely MAY result in processing delays or termination of application.

5.2.3 During the waiting process I have been advised that an adverse finding or

concern was discovered in relation to my background screening investigation. What does this mean and, if I disagree with final decision, can I appeal?

A. NYPA shall restrict personal information from POC and others in an effort to

protect your personal privacy and therefore have limited the NYPA review process for Contractors to NYPA Physical Infrastructure Security and Legal departments.

B. NYPA‘s background screening company and/or Physical Infrastructure Security will contact you requesting clarification or additional information regarding a concern.

C. Attached to this document are two advisory documents. You will also be provided access to these documents during your background check submission, as well as if there is an adverse finding.

1. The first is Attachment 8.2 ―Fair Credit Reporting Act‖, which describes your rights including access to personal file information and how your personal information obtained shall be handled.

2. Attachment 8.5 ―New York Correction Law Article 23-A‖, describes how the evaluation process by NYPA shall be handled to include:

Applicability

Prohibited unfair discrimination

Previous criminal conviction factors and written denial statement process.

3. All timely appeals initiated by applicant is reviewed by NYPA Legal for possible re-consideration of initial final decision.

4. The applicant SHALL be made aware of final appeal decision in writing by NYPA.

5. In certain circumstances you MAY be denied solely because certain foreign countries do not participate with releasing information.

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6. Your denial of access letter SHALL contain the reason(s) for denial. 5.2.4 My POC has advised me that my contractor employees (if applicable) and I have

been approved for unescorted access. I realize that means I can enter approved facilities by myself, but are there restricted areas of the facility I may NOT be allowed to enter? A. Yes, NYPA is part of a regulated power industry and as such must comply

with both federal and state laws, regulations and standards established.

B. FERC (Federal Energy Regulatory Commission) has mandated NYPA to control (physical and electronic) access to identified ―Restricted Areas‖ and/or materials ONLY to authorized personnel.

C. Your POC will advise you of your work assignment and level of access, contractors are advised that unless they are approved by their POC to enter such restricted areas then access is prohibited.

D. Remember: ―When in doubt, stay out‖. Restricted Areas are clearly marked stating such on outside doors/cabinets.

E. Contractors authorized for such restricted areas need to receive additional related training both initially (prior to entry/material access) and annually and need to re-apply for background screening every year (in both cases MUST

complete PRIOR to 365 days from prior approval).

F. Contact your POC regarding any questions concerning required annual training/background screening compliance.

5.2.5 I understand I have to provide ―valid‖ identification prior to entering a NYPA facility. What types of identification are acceptable?

A. A single form of a ―valid‖ photo Identification issued by local, state, or federal

agencies is required. Examples include the following: 1. State Driver‘s License; 2. State Identification Card; 3. U.S. Passport or U.S. Passport Card; 4. Permanent Resident Card; (form I-551); 5. Firearm Permit: 6. US Citizen ID Card; (form I-197) 7. ID Resident Citizen in US; (form I-179)

NOTE

Personnel requiring access within a restricted area MUST present a valid Photo identification for unescorted access to be granted.

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B. IF an individual is unable to provide a single form of photo identification then two (2) forms of non-photo identification is acceptable for non PSP escorted access. Examples include the following: (photo copied documents are not

acceptable) 1. Birth Certificate with raised seal; 2. Social Security Card; 3. School ID; 4. DD214 Military discharge papers; 5. Medical Card;

C. Equivalent foreign documents are acceptable in certain cases provided they

are officially transcribed to English language.

5.2.6 When the duration of my work assignment is interrupted or terminated, what am I required to do before leaving the facility? A. Always notify your POC of any change in your working situation at NYPA.

B. If your authorized period of work has ended or is subjected to a break in service (i.e. stop work at NYPA then begin again at some point in the future), immediately contact your POC and provide details with as much notice as possible.

C. WHEN hired contractors no longer require unescorted access to a NYPA facility, the contractor/subcontractor employer ―Supervisors and/or company Management‖ SHALL immediately inform there POC of the details as quickly as possible (no less than within 24 hours before occurrence begins).

D. ALL terminations (particularly ―for cause‖, i.e. performance) SHALL be reported within 24 hours (seven days a week) to POC and if not available then contact site security;

E. Attachment 8.6 ―Revocation of Access‖ can be utilized and submitted to site security as notification of all terminations. Written correspondence such as e-mails/business letters are also acceptable to provide contractor work status changes notification.

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5.3 Compliance with the Immigration Reform and Control Act (IRCA)

5.3.1 Contractors are responsible for proper completion and retention of I-9 forms for ALL of its employee‘s assigned to work for NYPA in any work capability.

5.3.2 Contractor understands, and is in compliance with its obligations under IRCA.

5.3.3 Contractor warrants that it is NOT knowingly employing ANY workers assigned to NYPA who are not authorized to work for the contractor in the United States.

5.3.4 Contractor agrees to defend and indemnify NYPA for any liability arising out of claims that the Contractor‘s employees are not authorized to work in the United States for the Contractor and/or any claims based upon alleged IRCA violations committed by the Contractor or Contractor personnel.

6 REQUIRED COMPLIANCE INFORMATION

The following information illustrates compliance with the Procedure.

Identifier Procedure Name

PS 2.0 Background Screening: Program Overview and Guidelines

7 EXPIRATION AND DATA RETENTION

This procedure shall be reviewed every two years unless changes to the procedures underlying assumptions require a change before the review cycle. The outcome of each change is a new revision. If the document requires no changes as a part of the review, the Content Owner shall acknowledge that no changes are required and the acknowledgement shall be captured in the revision history table. The background records will be maintained for three years.

Records shall be retained in accordance with NYPA‘s approved records retention schedules and/or in compliance with all applicable legal requirements pertaining to NYPA.

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8 ATTACHMENTS

8.1 Independent Contractors Screening Data Entry Cover Sheet

8.2 Fair Credit Reporting Act and Authorization Notice

8.3 Contractor Certification

8.4 A Summary of Rights under the Fair Credit Reporting Act

8.5 New York Correction Law Article 23-A

8.6 Revocation of Access Form

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ATTACHMENT 8.1

INDEPENDENT CONTRACTORS SCREENING DATA ENTRY SCREEN

Completed Application shall be submitted to SUMMIT SECURITY 30 Days PRIOR to requested site entry

DO NOT FILL OUT OR FAX TO THIRD-PARTY BACKGROUND SCREENING PROVIDER

Forms are provided for example purposes only.

Contractor/Vendor must electronically fill out and submit via secure website portal.

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ATTACHMENT 8.2

FAIR CREDIT REPORTING ACT AND AUTHORIZATION NOTICE


Forms are provided for example purposes only.

Contractor/Vendor must electronically fill out and submit via secure website portal.

Disclosure and Authorization Form

Disclosure:

In connection with my request for an independent contractor assignment at NYPA, I understand that a consumer report, as that term is defined in the Federal Fair Credit Reporting Act as amended ("FCRA"), 15 U.S.C. 1681 et seq. and applicable state law, may be obtained by NYPA from a consumer reporting agency. You must provide authorization for this background check to be conducted. This will be done via an electronic signature.

Authorization:

I hereby authorize NYPA now, or at any time while I am an independent contractor at NYPA, to obtain a consumer report on me that is limited to a seven (7) year criminal background check and verification of my identity through a Social Security number trace. I further understand that, upon my written request, I will be given the name and address of each consumer reporting agency from which a consumer report or investigative consumer report may have been obtained, and, if an investigative consumer report has been obtained, a description of the nature and scope of the investigation. I understand that I may obtain additional information concerning the report by contacting the consumer reporting agency

The report will be prepared by:

Summit Security Services, Inc 390 RXR Plaza Uniondale, NY 11556 Phone: 888.869.8444

Summit's Privacy Policy can be viewed at http://www.summitsecurity.com/privacy-policy/

This investigation will be conducted in compliance with federal law, which provides specific protection to you, as stated in the following document: Summary of Your Rights Under the Fair Credit Reporting Act prepared pursuant to 15 U.S.C. Section 1681-1681u.

Click here to view the document ―Summary of Your Rights Under the Fair Credit Reporting Act.‖

□ ALL Applicants: I agree that I have been provided with and have read a copy of the Summary of Your Rights Under the Fair Credit Reporting Act.

□ NY Applicants Only: I agree that I have been provided with and have read a copy of New York Correction Law, Article 23-A. Click here to view Article 23-A.

□ CA, MN, OK Residents Only: Yes, I wish to receive a copy of any report obtained pursuant to this release.

Print Applicant Contractor Name Applicant Contractor Signature Date

http://www.summitsecurity.com/privacy-policy/

http://www.summitsecurity.com/wp-content/uploads/2015/08/FCRA-Summary-of-Rights-CFPB8_2015.pdf

http://www.summitsecurity.com/wp-content/uploads/2014/02/NOTIFICATION-OF-NEW-YORK-CORRECTION-LAW.pdf

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ATTACHMENT 8.3

CONTRACTOR CERTIFICATION


Forms are provided for example purposes only. Contractor/Vendor must electronically fill out and submit via secure website portal.

I certify that I have read the New York Power Authority's ("NYPA") Access Authorization CS. 2.1 Background Screening: NYPA Contractor Packet. I shall comply and assist NYPA/SUMMIT SECURITY SERVICES in any assistance needed in order to process my request for unescorted access to perform authorized work as an independent contractor at NYPA.

It is understood that upon my discharge, voluntary resignation, or transfer to a position where unescorted access authorization is no longer required, NYPA shall be notified in writing (utilizing Attachment 8.6 Revocation of Access or business letter/email) immediately not longer than 24 hour after occurrences taken place, so that I may be removed from the unescorted access list. It is understood that I shall return my access badge immediately to NYPA when unescorted access is no longer required.

I hereby certify that all statements I have made in connection with this request are true and that I have not withheld any pertinent information. I understand that any falsification or willful misrepresentation can result in denial of access to NYPA facilities and premises and possible reimbursement to NYPA for any and all costs associated with conducting the background screening process.

Print Applicant Contractor Name Applicant Contractor Signature Date

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ATTACHMENT 8.4 Page 1 of 4

A SUMMARY OF RIGHTS UNDER THE FAIR CREDIT REPORTING ACT

Para informacion en español, visite www.consumer finance.gov/learnmore o ESCRIBE al Consumer

Financial Protection Bureau, 1700 G Street NW Washington, DC 20552.

A Summary of Your Rights Under the Fair Credit Reporting Act

The federal Fair Credit Reporting Act (FCRA) promotes the accuracy, fairness, and privacy of

information in the files of consumer reporting agencies. There are many types of consumer

reporting agencies, including credit bureaus and specialty agencies (such as agencies that sell

information about check writing histories, medical records, and rental history records). Here is a

summary of your major rights under the FCRA. For more information, including information

about additional rights, go to www.consumerfinance.gov/learnmore or write to:

Consumer Financial Protection Bureau, 1700 G Street N.W., Washington, DC 20552.

• You must be told if information in your file has been used against you. Anyone who

uses a credit report or another type of consumer report to deny your application for credit,

insurance, or employment - or to take another adverse action against you - must tell you,

and must give you the name, address, and phone number of the agency that provided the

information.

• You have the right to know what is in your file. You may request and obtain all the

information about you in the files of a consumer reporting agency (your "file disclosure").

You will be required to provide proper identification, which may include your Social

Security number. In many cases, the disclosure will be free. You are entitled to a free file

disclosure if:

• a person has taken adverse action against you because of information in your credit report;

• you are the victim of identity theft and place a fraud alert in your file;

• Your file contains inaccurate information as a result of fraud;

• You are on public assistance;

• You are unemployed but expect to apply for employment within 60 days.

In addition, all consumers are entitled to one free disclosure every 12 months upon request

from each nationwide credit bureau and from nationwide specialty consumer reporting

agencies. See www.consumerfinance.gov/learnmore for additional information.

• You have the right to ask for a credit score. Credit scores are numerical summaries of

your credit-worthiness based on information from credit bureaus. You may request a credit

score from consumer reporting agencies that create scores or distribute scores used in

residential real property loans, but you will have to pay for it. In some mortgage transactions,

you will receive credit score information for free from the mortgage lender.

• You have the right to dispute incomplete or inaccurate information. If you identify

information in your file that is incomplete or inaccurate, and report it to the consumer

reporting agency, the agency must investigate unless your dispute is frivolous. See

www.consurnerfinance.gov/learnmore for an explanation of dispute procedures.

http://www.consumerfinance.gov/learnmore


http://www.consurnerfinance.gov/learnmore

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• Consumer reporting agencies may not report outdated negative information. In most cases, a consumer reporting agency may not report negative information

that is more than seven years old, or bankruptcies that are more than 10 years

old.

• Access to your file is limited. A consumer reporting agency may provide information

about you only to people with a valid need -- usually to consider an application with a

creditor, insurer, employer, land lord, or other business. The FCRA specifies those

with a valid need for access.

• You must give your consent for reports to be provided to employers. A

consumer reporting agency may not give out information about you to your

employer, or a potential employer, without your written consent given to the

employer. Written consent generally is not required in the trucking industry. For

more information, go to

www.consumerfinance.gov/learnmore.

• You may limit "prescreened" offers of credit and insurance you get based on

information in you r credit report. Unsolicited "prescreened" offers for credit and

insurance must include a toll-free phone number you can call if you choose to remove your name and address from the lists these offers are based on. You may

opt out with the nationwide credit bureaus at 1-888-5-0PTOUT (1-888-567-8688).

• You may seek damages from violators. If a consumer reporting agency, or, in

some cases, a user of consumer reports or a furnisher of information to a consumer

reporting agency violates the FCRA, you may be able to sue in state or federal court.

• Identity theft victims and active duty military personnel have additional rights.

For more information, visit www.consumerfinance.gov/learnmore.

States may enforce the FCRA, and many states have their own consumer reporting laws. In some

cases, you may have more rights u nder state law. For more information, contact you r state or local

consumer protection agency or you r state Attorney General. For information about your federal

rights, contact:


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TYPE OF BUSINESS CONTACT

I. a. Banks, savings associations, and credit unions

with total assets of over $10 billion and their

affiliates

b. Such affiliates that are not banks, savings

associations, or credit unions also should list, i n

addition to the CFPB:

a. Consumer Financial Protection Bureau

1700 G. Street N.W.

Washington, DC 20552

b. Federal Trade Commission: Consumer

Response Center – FCRA


a. (877) 382-4357

2. To the extent not included in item 1 above:

a. National banks, federal savings associations, and

federal branches and federal agencies of foreign

banks

b. State member banks, branches and agencies

of foreign banks (other than federal branches,

federal agencies, and Insured State Branches of

Foreign Banks), commercial lending companies

owned or controlled by foreign banks, and

organizations operating under section 25 or 25A of

the Federal Reserve Act

c. Nonmember Insured Banks, Insured State

Branches of Foreign Banks, and insured state

savings associations

d. Federal Credit Unions

a. Office of the Comptroller of the Currency

Customer Assistance Group

1301 McKinney Street, Suite 3450 Houston, TX 77010-9050

b. Federal Reserve Consumer Help Center P.O. Box. 1200

Minneapolis, MN 55480

c. FDIC Consumer Response Center

1100 Walnut Street, Box # 11

Kansas City, MO 64106

d. National Credit Union Administration

Office of Consumer Protection (OCP)

Division of Consumer Compliance and

Outreach (DCCO)

1775 Duke Street Alexandria, VA 22314

3. Air carriers Asst. General Counsel for Aviation

Enforcement & Proceedings

Aviation Consumer Protection Division

Department of Transportation

1200 New Jersey Avenue, S.E.


4. Creditors Subject to the Surface

Transportation Board

Office of Proceedings,

Surface Transportation Board

Department of Transportation

395 E Street, S.W. Washington,

DC 20423

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TYPE OF BUSINESS CONTACT

5. Creditors Subject to the Packers and

Stockyards Act, 1921

Nearest Packers and Stockyards

Administration area supervisor

6. Small Business Investment Companies Associate Deputy Administrator for Capital

Access United States Small Business Administration 409

Third Street, S.W., 8th

Floor Washington, DC 20549

7. Brokers and Dealers Securities and Exchange Commission

100 F Street, N.E.


8. Federal Land Banks, Federal Lank Bank Associations, Federal Intermediate Credit Banks, and Production Credit Associations

Farm Credit Administration 1501 Farm Credit

Drive McLean, VA 22102-5090

9. Retailers, Finance Companies, and All Other Creditors Not Listed Above

FTC Regional Office for region in which the

creditor operates or

Federal Trade Commission:

Consumer Response Center - FCRA

Washington, DC 20580 (877) 382-4357

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New York Correction Law Article 23-A

NOTIFICATION OF NEW YORK CORRECTION LAW [ARTICLE 23‐A]

A COPY OF THIS LAW IS BEING PROVIDED TO YOU IN CONJUNCTION WITH OUR

ORDERING BACKGROUND REPORTS ON YOU. New York Bus Code 380‐c(b)(2) and 380‐g(d)

§750. Definitions. For the purposes of this article, the following terms shall have the following meanings:

(1) ―Public agency‖ means the state or any local subdivision thereof, or any state or local department, agency, board or commission.

(2) ―Private employer‖ means any person, company, corporation, labor organization or association which employs ten or more persons.

(3) ―Direct relationship‖ means that the nature of criminal conduct for which the person was convicted has a direct bearing on his fitness or ability to perform one or more of the duties or responsibilities necessarily related to the license, opportunity, or job in question.

(4) ―License‖ means any certificate, license, permit or grant of permission required by the laws of this state, its political subdivisions or instrumentalities as a condition for the lawful practice of any occupation, employment, trade, vocation, business, or profession. Provided, however, that ―license‖ shall not, for the purposes of this article, include any license or permit to own, possess, carry, or fire any explosive, pistol, handgun, rifle, shotgun, or other firearm.

(5) ―Employment‖ means any occupation, vocation or employment, or any form of vocational or educational training. Provided, however, that ‗employment‖ shall not, for the purposes of this article, include membership in any law enforcement agency.

§751. Applicability. The provisions of this article shall apply to any application by any person for a license or employment at any public or private employer, who has previously been convicted of one or more criminal offenses in this state or in any other jurisdiction, and to any license or employment held by any person whose conviction of one or more criminal offenses in this state or in any other jurisdiction preceded such employment or granting of a license, except where a mandatory forfeiture, disability or bar to employment is imposed by law, and has not been removed by an executive pardon, certificate of relief from disabilities or certificate of good conduct. Nothing in this article shall be construed to affect any right an employer may have with respect to an intentional misrepresentation in connection with an application for employment made by a prospective employee or previously made by a current employee.

§752. Unfair discrimination against persons previously convicted of one or more criminal offenses prohibited. No application for any license or employment, and no employment or license held by an individual, to which the provisions of this article are applicable, shall be denied or acted upon adversely by reason of the individuals having been previously convicted of one or more criminal offenses, or by reason of a finding of lack of ‗good moral character‘ when such

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O-TC-32-018-R02 PS 2 1 Background Screening-NYPA Contractors Packet (App D - LM) (2).docx Printed copies are not controlled. For the latest revision of this document, please refer to the Policy and Procedure

PowerNet site.

ATTACHMENT 8.5 Page 2 of 2 New York Correction Law Article 23-A

finding is based upon the fact that the individual has previously been convicted of one or more criminal offenses, unless:

(1) There is a direct relationship between one or more of the previous criminal offenses and the specific license or employment sought or held by the individual; or

(2) the issuance or continuation of the license or the granting or continuation of the employment would involve an unreasonable risk to property or to the safety or welfare of specific individuals or the general public.

§753. Factors to be considered concerning a previous criminal conviction; presumption. 1. In making a determination pursuant to section seven hundred fifty—two of this chapter, the public agency or private employer shall consider the following factors:

(a) The public policy of this state, as expressed in this act, to encourage the licensure and employment of persons previously convicted of one or more criminal offenses.

(b) The specific duties and responsibilities necessarily related to the license or employment sought or held by the person.

(c) The bearing, if any, the criminal offense or offenses for which the person was previously convicted will have on his fitness or ability to perform one or more such duties or responsibilities.

(d) The time which has elapsed since the occurrence of the criminal offense or offenses.

(e) The age of the person at the time of occurrence of the criminal offense or offenses.

(f) The seriousness of the offense or offenses.

(g) Any information produced by the person, or produced on his behalf, in regard to his rehabilitation and good conduct.

(h) The legitimate interest of the public agency or private employer in protecting property, and the safety and welfare of specific individuals or the general public.

2. In making a determination pursuant to section seven hundred fifty—two of this chapter, the public agency or private employer shall also give consideration to a certificate of relief from disabilities or a certificate of good conduct issued to the applicant, which certificate shall create a presumption of rehabilitation in regard to the offense or offenses specified therein.

§754. Written statement upon denial of license or employment. At the request of any person previously convicted of one or more criminal offenses who has been denied a license or employment, a public agency or private employer shall provide, within thirty days of a request, a written statement setting forth the reasons for such denial.

§755. Enforcement. 1. In relation to actions by public agencies, the provisions of this article shall be enforceable by a proceeding brought pursuant to article seventy—eight of the civil practice law and rules.

2. In relation to actions by private employers, the provisions of this article shall be enforceable by the division of human rights pursuant to the powers and procedures set forth in article fifteen of the executive law, and, concurrently, by the New York city commission on human rights.

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O-TC-32-018-R02 PS 2 1 Background Screening-NYPA Contractors Packet (App D - LM) (2).docx Printed copies are not controlled. For the latest revision of this document, please refer to the Policy and Procedure

PowerNet site.

ATTACHMENT 8.6

REVOCATION OF ACCESS FORM

NYPA ACCESS AUTHORIZATION – BACKGROUND SCREENING SECURITY PROGRAM REVOCATION OF ACCESS FORM

Company: Effective Date:

NYPA Locations:

Albany Headquarters

Small Clean Power Plants

Poletti (POL) / 500MW

White Plains Office

Blenheim-Gilboa (B-G)

Flynn (HOL)

St. Lawrence (STL)

Clark Energy Center (CEC)

Niagara (NIA)

Other / Specify:

________________________

The independent contractor listed below no longer require access to NYPA Facilities:

Independent Contractor Name: _________________________________________________________________________

Address: _________________________________________________________________________

Date of Birth: _________________________________________________________________________

NYPA Badge Number: __________________________ Returned on: ________________________________

Reason for Revocation: _________________________________________________________________________

Company Representative Signature Title

Company Name Telephone Date

NOTE: Terminations / Removal from NYPA job location or removal of need for NERC CIP CCA access warrants an immediate notification (within 24 hours) to Physical Infrastructure / Site Security and paperwork to follow-up within 7 calendar days.

PROC-GRev. 1, 5/98

APPENDIX G

EQUAL EMPLOYMENT OPPORTUNITIES REQUIREMENTS

During the performance of this contract, the Contractor agrees as follows:

I. EQUAL EMPLOYMENT OPPORTUNITIES (EEO) REQUIREMENTS [Applicable to all Contracts valued at $25,000 or less]

A. The Contractor will not discriminate against any employee or applicant for employment because of age, race, creed, color, sex, national origin,marital status or disability (as defined in Section 292 of the Executive Law) and will take affirmative action to insure that they are afforded equalemployment opportunities without discrimination because of age, race, creed, color, sex, national origin, marital status or disability. Such actionshall be taken with reference, but not limited to: recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff ortermination, rates of pay or other forms of compensation, and selection for training or retraining, including apprenticeship and on-the-job training.

B. The Contractor will send to each labor union or representative of workers with which he is bound by a collective bargaining or other agreement orunderstanding, a notice, to be provided by the State Division of Human Rights, advising such labor union or representative of the Contractor'sagreement under clauses (a) through (g) (hereinafter called "nondiscrimination clauses"). If the Contractor was directed to do so by the Authority aspart of the bid or negotiation of this Contract, the Contractor shall request such labor union or representative to furnish him with a written statementthat such labor union or representative will not discriminate because of age, race, creed, color, sex national origin, marital status or disability and thatsuch labor union or representative either will affirmatively cooperate, within the limits of its legal and contractual authority, in the implementation ofthe policy and provisions of these nondiscrimination clauses or that is consistent and agrees that recruitment, employment and the terms andconditions of employment under this Contract shall be in clauses. If such labor union or representative fails or refuses to comply with such requestthat it furnish such a statement, the Contractor shall promptly notify the Authority of such failure or refusal.

C. The Contractor will post and keep posted in conspicuous places, available to employees and applicants for employment, notices to be provided bythe State Division of Human Rights setting forth the substance of the provisions of clauses A. and B. and such provisions of the State's laws againstdiscrimination as the State Division of Human Rights shall determine.

D. The Contractor will state, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, that all qualified applicants willbe afforded equal employment opportunities without discrimination because of age, race, creed, color, sex, national origin, marital status or disability.

E. The Contractor will comply with the provisions of Sections 291-299 of the Executive Law and with the Civil Rights Law, will furnish all informationand reports deemed necessary by the State Division of Human Rights under these nondiscrimination clauses and such sections of the ExecutiveLaw, and will permit access to his books, records and accounts by the Authority, the State Division of Human Rights, the Attorney General and theCommissioner of Labor for purposes of investigation to ascertain compliance with these nondiscrimination clauses and such section of theExecutive Law and Civil Rights Law.

II. EQUAL EMPLOYMENT OPPORTUNITIES (EEO) REQUIREMENTS [Applicable to all Contracts valued over $25,000]

A. In accordance with the Authority's Minority and Women Owned Business Enterprise Policy and with Article 15-A of the Executive Lawand the regulations promulgated thereto, the Authority has established the following Equal Employment Opportunity Requirements. TheEEO requirements are applicable to all Authority Contracts issued in excess of $25,000 and/or where a Contractor has a work force of 10employees or more working on an Authority Contract.

B. The Contractor shall designate and make known to the Authority an EEO officer who will have the responsibility for and the authority to effectivelyadminister their EEO program.

C. IF A CONTRACTOR DOES NOT SUBMIT, WITH ITS BID PROPOSAL, AN EEO POLICY STATEMENT AND STAFFING PLAN OR TOTALWORK FORCE INFORMATION, THE BID WILL BE REJECTED UNLESS REASONABLE JUSTIFICATION FOR SUCH FAILURE ISPROVIDED IN WRITING OR A COMMITMENT IS MADE TO PROVIDE SUCH DOCUMENTS BY A DATE SPECIFIED BY THE AUTHORITY.

EEO POLICY

It is the policy of the Authority to afford Equal Employment Opportunities regardless of race, creed, color, national origin, sex, age, disability or maritalstatus. The EEO requirements also provide methods for Contractors to identify, recruit, and employ minority group members and women on Statecontracts. The parties agree as a condition of an Authority Contract to be bound by the provisions of Section 312 of Article 15-A of the Executive Law, aswell as to any other applicable provisions under the law and this Contract.

1. DEFINITIONS

A) Business Enterprise. Any entity, including a sole proprietorship, partnership or corporation which is authorized to and engages in lawfulbusiness transactions in accordance with New York State Law.

B) Contractor. The person, partnership or corporation to whom the Authority's Procurement/Service Contract for Goods/Materials or Services isawarded.

C) Equal Employment Opportunities (EEO). A Contractor and subcontractor's concurrence and active efforts to afford employment opportunitiesfor minority group members and women without discrimination because of race, creed, color and national origin, sex, age, disability or maritalstatus, and to employ and utilize minority group members and women in their work forces on Authority Contracts.

D) Labor Force Availability Data. Data pertaining to the relevant availability and expected levels of participation of minority group members andwomen on Authority Contracts. The data are developed by the New York State (NYS) Department of Economic Development, Division ofMinority and Women's Business Development (DMWBD) and are based upon the most recent census data provided by the NYS Departmentof Labor, Bureau of Labor Market Information, aggregated into nine (9) Federal Occupational Categories. The nine Occupational Categoriesinclude: Official and Admin., Professionals, Office and Clerical, Skilled Craft, Operatives, Laborers, Technicians, Service Workers, and SalesWorkers.

E) Minority Group Member. A United States Citizen or permanent resident alien who is and can demonstrate membership in one of the followinggroups:

1) Black persons having origins in any of the Black African racial group;2) Hispanic persons of Mexican, Puerto Rican, Dominican, Cuban, Central or South American descent of either Indian or Hispanic origin,

regardless of race;

PROC-GRev. 1, 5/98

3) Native American or Alaskan native persons having origins in any of the original peoples of North America;4) Asian and Pacific Islander persons having origins in any of the Far East countries, South East Asia, the Indian subcontinent or the Pacific

Islands.

F) Staffing Plan (Form G-1). Describes the anticipated work force on an Authority Contract broken down by ethnic background, gender andspecified occupational categories and required for all non-construction Contracts subject to EEO requirements, prior to award. The form ofthe staffing plan shall be provided by the Authority.

G) Work Force Employment Utilization Reports (Form G-2, G-3 & G-4). Required within ten (10) days of all contract awards. It requires abreakdown of total hours worked by Federal Occupational Category, by number of employees, by gender and by ethnic categories for Non-Construction Contracts. Work Force Employment Utilization Reports shall be provided by the Authority.

1) Project Specific Work Force Reports. Required where the work force on an Authority Contract can be separated out from a Contractor'stotal work force. (Required quarterly)

2) Total Work Force Reports. Required where work force on an Authority Contract cannot be separated out from a Contractor's total workforce. (Required semi-annually)

H) Monthly Work Force Employment Utilization Report - Construction (Form G-5). Required within ten (10) days of all contract awards. Itrequires a breakdown of total hours worked by Job Category, by number of employees by Federal occupational categories, by gender and byethnic categories for Construction Contracts. The Monthly Work Force Employment Utilization Report - Construction shall be provided by theAuthority.

Referencing subparagraphs G1), G2), and H) above, if there has been no change in the work force quarterly, semi-annually or monthly,respectively, a written notice of such must be provided to the Authority.

I) Goal. The term referring to the aim of ensuring that minority group members and women and certified businesses be given the opportunitiesfor meaningful participation in employment on and in the performance of and Authority contract.

III. SUMMARY OF EQUAL EMPLOYMENT OPPORTUNITY REGULATIONS

A. The new Equal Employment Opportunity (EEO) regulations provide methods for Contractors to identify, recruit and employ minority group membersand women on State contracts. The regulations enable the State, with regard to minority group members and women, to measure utilization and toassist Contractors in expanding employment opportunities.

B. The regulations are in accordance with Section 312 of Executive Law, Article 15-A, and are consistent with the State's policy of affording equalemployment opportunities regardless of race, creed, color, national origin, sex, age, disability or marital status. The regulations apply to all Statecontracts, as defined by Article 15-A.

C. RESPONSIBILITIES OF CONSTRUCTION CONTRACTORS ARE TO:

1. undertake or continue existing programs of affirmative action;2. submit to the Authority, prior to the award of the Contract, an EEO Policy Statement;3. ensure that all subcontractors comply with the EEO requirements;4. submit to the Authority, within ten (10) days of Contract award, a Work Force Employment Utilization Report including the same information

now mandated by the federal government, such as employees' hours worked on activities related to the Contract broken down by specifiedethnic background, gender and the construction related job titles; and

5. provide the Authority with a Work Force Employment Utilization Report on a monthly basis throughout the life of the Contract.6. within five (5) business days of contract award, obtain from the Authority a copy of the New York State Labor Force Availability data document

for its use in complying with EEO requirements.

D. RESPONSIBILITIES OF COMMODITIES, SERVICES/CONSULTING, AND PROFESSIONAL CONSTRUCTION CONSULTANTCONTRACTORS ARE TO:

1. undertake or continue existing programs of affirmative action;2. submit to the Authority an EEO policy statement after a bid opening, but before the Contract is awarded;3. ensure that all subcontractors comply with the EEO requirements;4(a). submit to the Authority, pre-award, a staffing plan that describes the anticipated work force on the contract broken down by ethnic background,

gender and specific occupational categories;4(b). or alternatively submit, pre-award, where the work force on the Contract can not be separated out from the contractor's total work force,

information on the total work force broken down by ethnic background, gender and specified occupational categories;5(a). submit to the Authority, within ten (10) days of Contract award, a Work Force Employment Utilization Report including the total number of

actual employees working on the Contract broken down by ethnic background, gender and specified occupational categories;5(b). or alternatively submit, within ten (10) days of Contract award, where the work force on the Contract cannot be separated out from the

Contractor's total work force, semi-annual information on the total work force; and6. provide to the Authority, when the work force utilization information changes, revised work force utilization reports on a quarterly basis

throughout the life of the Contract.

E. RESPONSIBILITIES OF STATE AGENCIES ARE TO:

1. revise their annual goal plans to include steps that will be taken to implement and ensure compliance with the EEO requirements and anyproposed modifications to the implementation of these requirements;

2. supply to the successful Contractor a copy of New York State's Economic Development Labor Force Availability Data. The data is provided asa tool to aid in determining the expected level of participation consistent with the labor force availability and geographic locations of minorityand women in the county where the work is being performed.

3. provide quarterly reports to the DMWBD on Contractors' work force information broken down by ethnic background, gender and specifiedoccupational categories;

4. monitor Contractors' compliance with the EEO regulations and provide the DMWBD with written compliance findings annually;5. resolve noncompliance matters with Contractors. Those matters that cannot be resolved must be submitted to the Executive Director of the

DMWBD; and6. conduct, on selected Contracts, in-depth analysis, evaluating whether, with regard to minority group members and women, the Contractor:

a) maintains a list of recruitment sources (available from DMWBD);b) provides written notification to recruitment sources of job openings;c) disseminates its EEO policy by including it in advertising; andd) supports recruiting, hiring, apprentice training and internal EEO policies and procedures.

Form G-1CONTRACTOR STAFFING PLAN

Project/RFP Title Location of Contract: County ZIP

Contractor/Firm Name Address City State ZIP

Check applicable categories: (1) Staff Estimates include: Contract/Project Staff Total Work Force Subcontractors(2) Type of Contract: Construction Consultants Commodities Services/Consultants

Total Anticipated Work Force

FederalOccupational

Category

Total Number ofEmployees

Black(Not of Hispanic

Origin)

Hispanic Asian or PacificIslander

Native American/Alaskan Native

Male Female Male Female Male Female Male Female Male Female

TotalPercent

MinorityEmployees

TotalPercentFemale

Employees

Officials/Admin.

Professionals

Technicians

Sales Workers

Office & Clerical

Craft Workers

Operatives

Laborers

Service Workers

TOTALS

Company Official's Name Title

Company Official's Signature Date

Telephone Number ( )

CONTRACTOR WORK FORCE EMPLOYMENT UTILIZATION REPORT Form G-2PROFESSIONAL CONSTRUCTION CONSULTANT FIRMS

Agency New York Power Authority /Code 99905 Reporting Period Check one: Quarterly Report Semi-Annual Report

Contractor Firm Name Address City State Zip

Type of Report: Contract Specific Work Force Total Work Force Check if NOT-FOR-PROFIT

Federal ID/Payee Id No. Check One: Prime Contractor Subcontractor

Contract Amount: $

Contract No. Location of Work County ZIP

Product/Service Provided:

Contract Start Date: Percent of Job Completed

Number of Employees

FederalOccupational

Category



Origin)




TotalPercent

MinorityEmployees

TotalPercentFemale

Employees

Officials/Admin.

Professionals

Technicians

Sales Workers

Office & Clerical

Craft Workers

Operatives

Laborers

Service Workers

TOTALS




WORK FORCE EMPLOYMENT UTILIZATION REPORTPROFESSIONAL CONSTRUCTION CONSULTANT FIRMS

INSTRUCTIONS FOR COMPLETION

PURPOSE: The Work Force Employment Utilization Report for Professional Construction Consultant Firms is prepared by all contractors,and subcontractors if any, providing professional construction (e.g. architectural, engineering) services to document their actual employmentof minority group members and women during the period covered by the report. The report has a format similar to forms used by the Federalgovernment for reporting equal employment opportunity data. When the contract specific work force can be identified, the report covers allemployees (including apprentices or trainees) working on the project. If the contract spec`ific work force cannot be separated out, thecontractor's total work force is reported. The completed reports are used by the contracting state agency to monitor the contractor's andsubcontractor's compliance with the contract's equal employment opportunity requirements.

GENERAL INFORMATION:1. Name of contracting state agency and state agency code (five digit code).2. Reporting period covered by report (mm/dd/yy to mm/dd/yy); check to indicate Quarterly or Semi-Annual Report.3. Contractor firm name (prime contractor on summary report submitted to agency) and address (including city name, state and zip

code); check if the contractor is a NOT-FOR-PROFIT.4. Type of Report: check to indicate whether report covers (i) the Contract Specific Work Force or (ii) the Company's Total Work

Force (in the event the contract specific work force cannot be separated out).5. Contractor Federal Employer Identification number or payee identification number (prime contractor i.d. on summary report);

check to indicate prime or subcontractor report.6. Contract Amount is dollar amount based on terms of the contract.7. Contract number is the agency assigned number given to the contract.8. Location of work including county and zip code where work is performed.9. Indicate Product or Service provided by contractor (brief description).10. Contract start date is month/day/year work on contract actually began.11. Contractor's estimate of the percentage of work completed at the end of this reporting period.

FEDERAL OCCUPATIONAL CATEGORIES: The contractor's work force is broken down and reported by the nine FederalOccupational Categories (FOC's) consistent with the Federal government's EEO-1 categories for the private sector labor force. These are: Officials and Manager, Professionals, Technicians, Sales, Office & Clerical (Administrative Support), Craft Workers, Operative, Laborersand Service Workers. The categories are general in nature, and include all related occupational job titles. The contracting agency canprovide assistance in categorizing specific jobs.

TOTAL NUMBER OF EMPLOYEES: Record the total number of all persons employed in each FOC during the reporting period,regardless of ethnicity (either working on the specific contract OR in the contractor's total work force, based on the type of report indicatedabove). Report the total number of male (M) employees in column (1) and the total number of female (F) employees in column (2) for eachFOC. In columns (3) through (10) report the numbers of male and female minority group members employed, based on the following definedgroups:

$$ Black (not of Hispanic origin):all persons having origins in any of the Black African racial groups;$$ Hispanic: all persons of Mexican, Puerto Rican, Dominican, Cuban, Central or South American or either Indian or Hispanic origin,

regardless of race;$$ Asian or Pacific Islander: all persons having origins in any of the Far East countries, South East Asia, the Indian subcontinent or

Pacific Islands;$$ Native American or Alaskan Native: all persons having origins in any of the original peoples of North America.

TOTAL % MINORITY = sum of all minority group members (male and female) employed in the FOC divided by the total number ofall employees in that FOC (column 1 + column 2).

TOTAL % FEMALE = total number of female employees in the FOC (column 2) divided by the total number of all employees in thatFOC (column 1 + column 2).

TOTALS: column totals should be calculated (sum each column) for all FOC's combined. Total minority and female percentages shouldbe calculated as shown above, based on the column totals.

SUBMISSION: The Work Force Employment Utilization Report is to be completed by both prime and subcontractors and signed and datedby an authorized representative before submission. This Company Official's name, official title and telephone number should be printedor typed where indicated on the bottom of the form.

The prime contractor shall complete a report for its own work force, collect reports completed by each subcontractor, and prepare asummary report for the entire combined contract work force. The reports shall include the total number of employees in eachoccupational category for all payrolls completed in the monthly reporting period. The prime contractor shall submit the summary report tothe contracting agency as required by Part 542 of Title 9 Subtitle N of the NYCRR pursuant to Article 15-A of the Executive Law.

CONTRACTOR WORK FORCE EMPLOYMENT UTILIZATION REPORT Form G-3COMMODITIES FIRMS





Contract Amount: $




Number of Employees

FederalOccupational

Category



Origin)




TotalPercent

MinorityEmployees

TotalPercentFemale

Employees

Officials/Admin.

Professionals

Technicians

Sales Workers

Office & Clerical

Craft Workers

Operatives

Laborers

Service Workers

TOTALS




WORK FORCE EMPLOYMENT UTILIZATION REPORTCOMMODITIES FIRMS


PURPOSE: The Work Force Employment Utilization Report for Commodities Firms is prepared by all contractors, and subcontractors ifany, providing goods, products or merchandise to a state agency to document their actual employment of minority group members and womenduring the period covered by the report. The report has a format similar to forms used by the Federal government for reporting equalemployment opportunity data. When the contract specific work force can be identified, the report covers all employees (includingapprentices or trainees) working on the project. If the contract specific work force cannot be separated out, the contractor's total work force isreported. The completed reports are used by the contracting state agency to monitor the contractor's and subcontractor's compliance with thecontract's equal employment opportunity requirements.















CONTRACTOR WORK FORCE EMPLOYMENT UTILIZATION REPORT Form G-4SERVICE and/or CONSULTANT FIRMS





Contract Amount: $




Number of Employees

FederalOccupational

Category



Origin)




TotalPercent

MinorityEmployees

TotalPercentFemale

Employees

Officials/Admin.

Professionals

Technicians

Sales Workers

Office & Clerical

Craft Workers

Operatives

Laborers

Service Workers

TOTALS




WORK FORCE EMPLOYMENT UTILIZATION REPORTSERVICE and/or CONSULTANT FIRMS


PURPOSE: The Work Force Employment Utilization Report for Service and/or Consultant Firms is prepared by all contractors, andsubcontractors if any, providing services (skilled or non-skilled) or professional consulting services to a state agency to document their actualemployment of minority group members and women during the period covered by the report. The report has a format similar to forms usedby the Federal government for reporting equal employment opportunity data. When the contract specific work force can be identified, thereport covers all employees (including apprentices or trainees) working on the project. If the contract specific work force cannot be separatedout, the contractor's total work force is reported. The completed reports are used by the contracting state agency to monitor the contractor'sand subcontractor's compliance with the contract's equal employment opportunity requirements.















CONTRACTOR MONTHLY WORK FORCE EMPLOYMENT Form G-5UTILIZATION REPORT - CONSTRUCTION

Agency New York Power Authority /Code 99905 Reporting Period

Contractor Firm Name Address City State ZIP

Federal Id/Payee Id No. Check One: Prime Contractor Subcontractor

Contract Amount $

Contract No. Location of Work County ZIPContract Start Date: Percent of Job Completed:

F=Foreman/Supv.J=JourneyworkerA=Apprentice/Trainee

Total Hours Worked During Reporting Period

Job or TradeCategory

** Total HoursWorked AllEmployees

Black (Not ofHispanic Origin) Hispanic

Asian orPacificIslander

NativeAmerican/

Alaskan NativeMinority

%Female

%

TotalNumber

ofEmployees

TotalNumber

ofMinority

Employees

M F M F M F M F M F M F M F

Field Office Staff:

Professionals

Office/Clerical

F

JLaborers

A

F

JEquipment

OperatorsA

F

Surveyors J

A

F

Truck Drivers J

A

F

Iron Workers J

A

F

Carpenters J

A

F

Cement Masons J

A

F

Painters J

A

F

Electricians J

A

F

Plumbers J

A

Other: F

J

A

GRAND TOTALS




MONTHLY WORK FORCE EMPLOYMENT UTILIZATION REPORT - CONSTRUCTIONINSTRUCTIONS FOR COMPLETION

PURPOSE: The Monthly Work Force Employment Utilization Report is prepared by all construction contractors, and subcontractors todocument their actual employment of minority group members and women during the period covered by the report. The report has a formatsimilar to forms used by the Federal government (e.g. U.S. Department of Labor) for reporting equal employment opportunity data. Thereport covers all hourly workers, including foremen, supervisors or crew chiefs, journey workers and apprentices or trainees working on theproject. Professional and office clerical field office staff working ont he contract shall also be reported. The completed reports are used bythe contracting state agency to monitor the contractor's and subcontractor's compliance with the contract's equal employment opportunityrequirements.

GENERAL INFORMATION:1. Name of contracting state agency and state agency code (five digit code).2. Reporting period covered by report (month/year).3. Contractor or subcontractor firm name (prime contractor on summary report submitted to agency) and address (including city

name, state and zip code).4. Contractor or subcontractor Federal Employer Identification number or payee identification number (prime contractor i.d. on

summary report); check to indicate prime or subcontractor report.5. Contract Amount is dollar amount based on terms of the contract.6. Contract number is the agency assigned number given to the contract.7. Location of work including county and zip code where work is performed.8. Contract start date is month/day/year work on contract actually began.9. Contractor's estimate of the percentage of work completed at the end of this reporting period.

JOB OR TRADE CATEGORIES:A field office staff category plus ten job categories are printed on the form. These are trades commonlyused in construction. The categories are intended to be general in nature, and may include several occupational job titles. IF trades otherthan those identified are required to perform work on the contract, this work should be combined and reported in the "Other" category. Work level designations of foreman/supervisor (F), journeyworker (J), and apprentice/trainee (A) are included as separate entries for eachstandard job category; hours worked must be recorded opposite the appropriate work level for each.

TOTAL HOURS WORKED DURING REPORTING PERIOD: Record the total hours worked by all employees during the reportingperiod, regardless of ethnicity, under each job category in column (1) for males (M) and column (2) for females (F). In columns (3) thru (10)report the total hours worked by male and female minority group members of one of the following defined groups:




MINORITY % = sum of all minority group members (M and F) in job category divided by the total hours worked by all employees inthat job category (column 1 + column 2).

FEMALE % = total hours worked by all female employees in the job category (column 2) divided by the total hours worked by allemployees in that job category (column 1 + column 2).

TOTAL NUMBER OF EMPLOYEES: record the total number of all persons employed during the reporting period, regardless ofethnicity; report the numbers of male (M) and female (F) employees separately.

TOTAL NUMBER OF MINORITY EMPLOYEES: record the total number of minority persons employed during the reporting period; report the numbers of minority male (M) and minority female (F) employees separately.

GRAND TOTALS: column totals should be calculated for all job categories combined. Total minority and female percentages should becalculated as shown above, based on the column grand totals.

SUBMISSION: The monthly Work Force Employment Utilization Report is to be completed by both prime and subcontractors and signedand dated by an authorized representative before submission. This Company Official's name, official title and telephone number shouldbe printed or typed where indicated on the bottom of the form.

The prime contractor shall complete a report for its own work force, collect reports completed by each subcontractor, and prepare asummary report for the entire combined contract work force. The reports shall include the total work hours for all employees in eachwork category for all payrolls completed in the monthly reporting period. The prime contractor shall submit the summary report to thecontracting agency as required by Part 542 of Title 9 Subtitle N of the NYCRR pursuant to Article 15-A of the Executive Law.

PROC-H Page 1 of 1 REV. 2, 5/07

APPENDIX H TAX LAW REQUIREMENTS

New York State Tax Law Section 5-a became effective August 20, 2004 for all covered procurements initiated on or after January 1, 2005 and was subsequently amended effective April 26, 2006. It applies to contracts where (1) the total amount of contractor’s sales delivered into New York State are in excess of $300,000 for the four sales tax quarters immediately preceding the quarterly period in which the certification is made, and with respect to any contractors, subcontractors, or affiliates of contractors whose sales delivered into New York State exceeded $300,000 for the four sales tax quarters immediately preceding the quarterly period in which the certification is made, and (2) the contracts or agreements with state agencies or public authorities for the sale of commodities or services have a value in excess of $100,000. This law imposes upon contractors the obligation to certify, prior to the effective date of the contract, whether or not the contractor, its subcontractors, and affiliates of the contractors are required to register to collect state sales and compensating use tax. Where required to register, the contractor must also certify that it is, in fact, registered with the Department of Taxation and Finance (DTF). Contractor certification forms and instructions for completing the forms can be found at the website noted below. Proposed contractors should complete and return the certification forms within two business days of request prior to any contract award. Failure to respond timely may render a proposed contractor non-responsive and non-responsible. Proposed contractors shall take the necessary steps to provide properly certified forms, within a timely manner to ensure compliance with the law. In addition, if the contractor fails to make the certification required by New York Tax Law Section 5-a, or if, during the term of the contract, the approving agency discovers that such certification was false when made, then such failure or false certification will be a material breach of the contract, and the contract may be subject to termination if the approving agency determines that such action is in the best interests of the State of New York.

IMPORTANT NOTICE

In the case of a contract in which the terms provide for renewal upon expiration of an initial or subsequent term, the contractor must submit a certification document to the Authority, by the day prior to the commencement date of the next succeeding term of the contract. All covered contracts awarded, amended, extended, renewed or assigned on or after April 26, 2006 require form ST-220-CA to be filed with the Authority which certifies that ST-220-TD has been filed with the DTF and is up to date. 1

Contractors may call the DTF at 1-800-698-2931 for any and all questions relating to Tax Law Section 5-a and relating to a company’s registration status with the DTF. For additional information and frequently asked questions, please refer to the DTF website: http://www.nystax.gov

1 All covered procurements initiated on or after January 1, 2005 and awarded prior to April 26,2006 shall be governed by the former rules and procedures as described in http://www.osc.state.ny.us/agencies/gbull/g222.htm

NewYorkStateDepartmentofTaxationandFinance

ContractorCertificationtoCoveredAgency (PursuanttoSection5-aoftheTaxLaw,asamended,effectiveApril26,2006)

ST-220-CA(6/06)

Contractorname

Contractor’sprincipalplaceofbusiness City State ZIPcode

Contractor’smailingaddress(if different than above)

Contractor’sfederalemployeridentificationnumber(EIN) Contractor’ssalestaxIDnumber(ifdifferentfromcontractor’sEIN)

Contractor’stelephonenumber Coveredagencyname

Coveredagencyaddress

I, ,herebyaffirm,underpenaltyofperjury,thatIam (name) (title)

oftheabove-namedcontractor,thatIamauthorizedtomakethiscertificationonbehalfofsuchcontractor,andIfurthercertifythat:

(Mark an X in only one box)

G ThecontractorhasfiledFormST-220-TD withtheDepartmentofTaxationandFinanceinconnectionwiththiscontractand,tothebestofcontractor’sknowledge,theinformationprovidedontheFormST-220-TD,iscorrectandcomplete.

G ThecontractorhaspreviouslyfiledFormST-220-TDwiththeTaxDepartmentinconnectionwith (insert contract number or description)

and,tothebestofthecontractor’sknowledge,theinformationprovidedonthatpreviouslyfiledFormST-220-TD,iscorrectandcompleteasofthecurrentdate,andthusthecontractorisnotrequiredtofileanewFormST-220-TDatthistime.

Sworntothis dayof ,20

(sign before a notary public) (title)

For covered agency use only

Contract number or description

Estimated contract value over the full term of contract (but not including renewals)

$

Covered agency telephone number

Forinformation,consultPublication223,Questions and Answers Concerning Tax Law Section 5-a(seeNeed Help? on back).

Instructions

GeneralinformationTaxLawsection5-awasamended,effectiveApril26,2006.Onorafterthatdate,inallcaseswhereacontractissubjecttoTaxLawsection5-a,acontractormustfile(1)FormST-220-CA,Contractor Certification to Covered Agency, withacoveredagency,and(2)FormST-220-TDwiththeTaxDepartmentbeforeacontractmaytakeeffect.Thecircumstanceswhenacontractissubjecttosection5-aarelistedinPublication223,Q&A3.ThispublicationisavailableonourWebsite,byfax,orbymail.(SeeNeed help?formoreinformationonhowtoobtainthispublication.)Inaddition,acontractormustfileanewFormST-220-CAwithacoveredagencybeforeanexistingcontractwithsuchagencymayberenewed.

Ifyouhavequestions,pleasecallourinformationcenterat1800698-2931.

Note:FormST-220-CAmustbesignedbyapersonauthorizedtomakethecertificationonbehalfofthecontractor,andtheacknowledgementonpage2ofthisformmustbecompletedbeforeanotarypublic.

WhentocompletethisformAssetforthinPublication223,acontractissubjecttosection5-a,andyoumustmaketherequiredcertification(s),if:

i. Theprocuringentityisacovered agencywithinthemeaningofthestatute(seePublication223,Q&A5);

ii. Thecontractorisacontractorwithinthemeaningofthestatute(seePublication223,Q&A6);and

iii.Thecontractisacontractwithinthemeaningofthestatute.Thisisthecasewhenit(a)hasavalueinexcessof$100,000and(b)isacontractforcommoditiesorservices,assuchtermsaredefinedforpurposesofthestatute(seePublication223,Q&A8and9).

Furthermore,theprocuringentitymusthavebegunthesolicitationtopurchaseonorafterJanuary1,2005,andtheresultingcontractmusthavebeenawarded,amended,extended,renewed,orassignedon or after April 26, 2006(theeffectivedateofthesection5-aamendments).

Internetaccess:www.nystax.gov (forinformation,forms,andpublications)

Fax-on-demandforms: 1800748-3676

Telephoneassistanceisavailablefrom 8:00A.M.to5:00P.M.(easterntime), MondaythroughFriday. 1800698-2931

Toorderformsandpublications: 1800462-8100

FromareasoutsidetheU.S.andoutsideCanada: (518)485-6800

Hearingandspeechimpaired(telecommunicationsdeviceforthedeaf(TDD)callersonly): 1800634-2110

Personswithdisabilities:Incompliancewiththe AmericanswithDisabilitiesAct,wewillensurethatourlobbies, offices,meetingrooms,andotherfacilitiesareaccessibletopersonswithdisabilities.Ifyouhavequestionsaboutspecial

accommodationsforpersonswithdisabilities,pleasecall1800972-1233.

Needhelp?

Individual,Corporation,Partnership,orLLCAcknowledgment

STATEOF } : SS.:COUNTYOF }

Onthe dayof intheyear20 ,beforemepersonallyappeared ,

knowntometobethepersonwhoexecutedtheforegoinginstrument,who,beingdulyswornbymediddeposeandsaythat

heresidesat ,

Townof ,

Countyof ,

Stateof ;andfurtherthat:

[MarkanX intheappropriateboxandcompletetheaccompanyingstatement.]

G(Ifanindividual):_heexecutedtheforegoinginstrumentinhis/hernameandonhis/herownbehalf.

G (Ifacorporation):_heisthe

of ,thecorporationdescribedinsaidinstrument;that,byauthorityoftheBoardofDirectorsofsaidcorporation,_heisauthorizedtoexecutetheforegoinginstrumentonbehalfofthecorporationforpurposessetforththerein;andthat,pursuanttothatauthority,_heexecutedtheforegoinginstrumentinthenameofandonbehalfofsaidcorporationastheactanddeedofsaidcorporation.

G (Ifapartnership):_heisa

of ,thepartnershipdescribedinsaidinstrument;that,bythetermsofsaidpartnership,_heisauthorizedtoexecutetheforegoinginstrumentonbehalfofthepartnershipforpurposessetforththerein;andthat,pursuanttothatauthority,_heexecutedtheforegoinginstrumentinthenameofandonbehalfofsaidpartnershipastheactanddeedofsaidpartnership.

G (Ifalimitedliabilitycompany):_heisadulyauthorizedmemberof , LLC,thelimitedliabilitycompanydescribedinsaidinstrument;that_heisauthorizedtoexecutetheforegoinginstrument

onbehalfofthelimitedliabilitycompanyforpurposessetforththerein;andthat,pursuanttothatauthority,_heexecutedtheforegoinginstrumentinthenameofandonbehalfofsaidlimitedliabilitycompanyastheactanddeedofsaidlimitedliabilitycompany.

NotaryPublic

RegistrationNo.

Page2of2 ST-220-CA(6/06)

PrivacynotificationTheCommissionerofTaxationandFinancemaycollectandmaintainpersonalinformationpursuanttotheNewYorkStateTaxLaw,includingbutnotlimitedto,sections5-a,171,171-a,287,308,429,475,505,697,1096,1142,and1415ofthatLaw;andmayrequiredisclosureofsocialsecuritynumberspursuantto42USC405(c)(2)(C)(i).

Thisinformationwillbeusedtodetermineandadministertaxliabilitiesand,whenauthorizedbylaw,forcertaintaxoffsetandexchangeoftaxinformationprogramsaswellasforanyotherlawfulpurpose.

Informationconcerningquarterlywagespaidtoemployeesisprovidedtocertainstateagenciesforpurposesoffraudprevention,supportenforcement,evaluationoftheeffectivenessofcertainemploymentandtrainingprogramsandotherpurposesauthorizedbylaw.

Failuretoprovidetherequiredinformationmaysubjectyoutocivilorcriminalpenalties,orboth,undertheTaxLaw.

ThisinformationismaintainedbytheDirectorofRecordsManagementandDataEntry,NYSTaxDepartment,WAHarrimanCampus,AlbanyNY12227;telephone1800225-5829.FromareasoutsidetheUnitedStatesandoutsideCanada,call(518)485-6800.

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Proc-N, Rev 0. 6/28/13 Page 1 of 2

Appendix “N”The New York State Iran Divestment Act of 2012

Iranian Energy Sector Divestment

This bid document and any resulting contract are subject to the provisions of New York StateFinance Law § 2879-c Iranian Energy Sector Divestment. This Appendix requires persons ororganizations to certify that they do not “engage in investment activities” (as defined in section 2below) in an energy sector of Iran and if they do, to take certain other actions.

1. As used in this section [§ 2879-c]:

a) “Energy sector” of Iran means activities to develop petroleum or natural gas resources ornuclear power in Iran.

b) “Financial institution” means the term as used in Section 14 of the Iran Sanctions Act of1996 (Public Law 104-172; 50 U.S.C. 1701 note).

c) “Investment” means a commitment or contribution of funds or property, a loan or otherextension of credit; and the entry into or renewal of a contract for goods or services.

d) “Iran” includes the government of Iran and any agency or instrumentality of Iran.e) “Person” means any of the following;

i) A natural person, corporation, company, limited liability company, business association,partnership, society, trust, or any other nongovernmental entity, organization, or group.

ii) Any governmental entity or instrumentality or a government, including a multilateraldevelopment institution, as defined in Section 1701(c)(3) of the International FinancialInstitutions Act (22 U.S.C. 262r(c)(3).).

iii) Any successor, subunit, parent entity, or subsidiary of, or any entity under commonownership or control with, any entity described in subparagraph one or two of thisparagraph.

2. For purposes of this section [§ 2879-c], a person engages in investment activities in Iran if:

a) The person provides goods or services of twenty million dollars or more in the energy sectorof Iran, including a person that provides oil or liquefied natural gas tankers, or products usedto construct or maintain pipelines used to transport oil or liquefied natural gas, for theenergy sector of Iran, or

b) The person is a financial institution that extends twenty million dollars or more in credit toanother person, for forty-five days or more, if that person will use the credit to provide goodsor services in the energy sector in Iran and is identified on The List of Entities created by theCommissioner of General Services at www.ogs.ny.gov.

3. Notwithstanding any other provision of § 2879-c or any other law to the contrary, no state orlocal public authority or an interstate or international authority, or subsidiary thereof, shall enterinto any contract for work or services performed or to be performed or goods sold or to be sold,with a person that is identified on a list created by the Commissioner of General Servicespursuant to paragraph (b) of subdivision three of section one hundred sixty-five-a of the statefinance law as a person engaging in investment activities in Iran as described in subdivisiontwo of the section.

Proc-N, Rev 0. 6/28/13 Page 2 of 2

Appendix “N”Contractor Certification of Compliance

Contractor certifies that all information provided to the Authority regarding Contractor’s investment

activities in the Iranian energy sector is complete, true, and accurate. Contractor affirms that it

understands and agrees to comply with the practices of the Authority relative to permissible

contacts as required by New York State Finance Law § 2879-c and New York State Iran Divestment

Act of 2012.

Bid/Contract Number:

CONTRACTOR CERTIFICATION:

“By signing this contract, each person and each person signing on behalf of any other party certifies, and in

the case of a joint bid or partnership each party thereto certifies as to its own organization, under penalty of

perjury, that to the best of its knowledge and belief that each person is not on The List of Entities created by

the Commissioner of General Services pursuant to paragraph (b) of subdivision 3 of section 165-a of the

New York State Finance Law.”

By (signature): Date:

Name (printed or typed):

Title:

Contractor:

Address:

City: State: Zip Code:

BID/INQUIRY RESPONSE FORM PLEASE READ AND RETURN …Lewiston, New York 14092 Title: Rockfall Removal...

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