59-17 Junction Boulevard

Flushing, New York 11373

Vincent Sapienza, P.E. Commissioner

Elisa VelazquezAssistant CommissionerAgency Chief Contracting Officer

CONTRACT:

DESCRIPTION:

Complete and submit this Bid in a sealed envelope to:NYC DEP Bid Administrator

59-17 Junction Boulevard, 17th Floor Flushing, New York 11373

For furnishing all labor and materialsnecessary and required for:

DEL-360

BWS SCADA System Software and Hardware Upgrade

FMS/PIP Helpdesk 212-857-1700 callcntr@fisa-opa.nyc.gov

Page 1/1

VENDEX Processing after PASSPort Implementation

Date: August 1, 2017

Attention: VENDEX users As of August 1, 2017, The Mayor’s Office of Contract Services (MOCS) has implemented the City’s Procurement and Sourcing Solutions Portal (PASSPort).

Unless instructed otherwise by MOCS, all VENDEX related processing should be performed on PASSPort.

Questions should be directed to help@mocs.nyc.gov.

Learn more at www.nyc.gov/passport.

Procurement and Sourcing Solutions Portal (PASSPort) Disclosure Filing (formerly known as Vendor Information Exchange System (VENDEX) Forms or Certificate of No Change)

All organizations intending to do business with the City of New York must complete the disclosure process in order to be considered for award of a contract. This disclosure process was formerly completed using Vendor Information Exchange System (VENDEX) paper-based forms. The City of New York has now moved collection of vendor disclosure information online. In anticipation of awards, potential bidders must create online accounts in the new Procurement and Sourcing Solutions Portal (PASSPort) and file all disclosure information. Paper submissions, including certifications of no changes to existing VENDEX packages will not be accepted in lieu of complete online filings.

Any reference to VENDEX in the Information for Bidders should be deemed to be a reference to PASSPort; the VENDEX questionnaire included herein no longer applies and will not be accepted by the Mayor’s Office of Contract Services.

For more information about PASSPort, please visit nyc.gov/passport.

NYC DEP SUPPLY AND SERVICE CONTRACT INVITATION FOR BIDS (“IFB”) CONTENTS LIST

Page 1 of 2 Contents List for Supply and Service IFB (7.16.14)

Part A: Information for Bidders

1. Cover Page/Summary (fill in bidder information and submit with the bid)

2. Special Notices (included in IFB if applicable to the bid)

3. DEP Standard Information for Bidders

4. “Schedule A” (significant contract-specific information, including bonding

and insurance requirements)

Part B: Bid Submission Materials (documents that the bidder must submit with the bid

when applicable, or the bid will be rejected as non-responsive)

1. Bid Form, including:

a) Bidder Information

b) Bidder Representations and Warranties

c) Bid Schedule of Prices, Signature of Bidder and Affidavit

d) Tax Affirmation

2. Acknowledgment of Receipt of any Addenda to the IFB

3. Bid Bond Form

4. Iran Divestment Certification

5. “Schedule B” – M/WBE Utilization Plan (included in IFB if applicable to

the bid, as indicated on Cover Page)

6. Apprenticeship Questionnaire (included in IFB if applicable to the bid, as

indicated on Cover Page)

7. Bidder’s Subcontractor Identification Form (if PLA is applicable)

Part C: Scope of Work to be Performed Under the Contract

1. Detailed Specifications (including any Exhibits or Appendices)

2. Contract Drawings (if any)

3. Environmental Health and Safety (“EHS”) Specifications

4. Prevailing Wage Requirements (if applicable)

Part D: Terms of Agreement

1. DEP Standard Supply and Service Contract (and Signature Pages)

2. Project Labor Agreement (if applicable)

Part E: Documents to be Submitted by the Apparent Low Bidder Upon Notification

from DEP

1. VENDEX Certification of No Change Form

2. VENDEX Questionnaires and Instructions (also downloadable from

http://www.nyc.gov/vendex)

NYC DEP SUPPLY AND SERVICE CONTRACT INVITATION FOR BIDS (“IFB”) CONTENTS LIST

Page 2 of 2

Contents List for Supply and Service IFB – 7.16.14

3. VENDEX Memorandum (to ACCO)

4. Supply and Services Contractor’s Employment Report Form and Less Than

50 Employees Certificate form

5. Electronic Funds Transfer (“EFT”) Enrollment Form and Instructions

6. Insurance Broker’s Certification Form

7. Payment Bond Form (if applicable)

8. Performance Bond Form (if applicable)

9. EHS Performance and Program Review Questionnaire

Part F: Other Attachments

1. Displacement Determination Form Pursuant to City Charter §312(a)

2. Subcontractor Approval Form and Instructions

3. [as needed]

Prospective bidders must examine the documents carefully. Before bidding, prospective

bidders must notify the Agency contact person listed on the IFB Cover Page (following this

Contents List), in writing, if items are missing and request that these missing items be

furnished to them.

NYC DEP SUPPLY AND SERVICE CONTRACT INVITATION FOR BIDS

PART A

INFORMATION FOR BIDDERS

INVITATION FOR BIDS COVER PAGE/SUMMARY

THE CITY OF NEW YORK DEPARTMENT OF ENVIRONMENTAL PROTECTION

Bid Information

Contract #:

DEL-360

E-PIN:

82618B0050

Description:

SCADA System Upgrade, Various Locations, Upstate, N.Y.

Work Location:

Upstate: Ulster

Agency Contact:

Kevin Heinle

EMail:

Heinlek@dep.nyc.gov

Pre-Bid Conference Date:

4/18/2018

Pre-Bid Conference Location:

Grahamsville Conference Room A/B, 7870 Route 42, Grahamsville, NY 12740 ,10am Last day for questions 4/27/18, email Agency Contact

Pre-Bid Conference Mandatory:

NO

Bond/Security Requirements

Bid Security Requirements: See Schedule A

Performance and Payment Bond Requirements: See Schedule A

The following programs/legal requirements will be enforced on this contract (if checked):

NYS/MWBE

X

LL 1 (See Schedule B)

LBE

PLA

Apprenticeship

Identification of Subcontractors Form

Other _____________________

Bid Date, Time and Location

Bid Date:

5/16/2018

Bid Time:

11:30 AM

Location:

NYC DEP Bid Room 59-17 Junction Blvd, 17th Floor Flushing, NY 11373

Bidder's Information

Bidder's Name:

Bidder's Address:

Bidder's Tel. No:

Bidder's Fax. No:

Type of organization (check one):

Corporation ( ) Partnership ( ) Joint Venture* ( ) Individual ( ) LLC ( ) Other ( ) _________________________ [Specify]

*If the bidder is a joint venture, the bidder must obtain a separate Federal Tax Identification Number for the joint venture.

INVITATION FOR BIDS COVER PAGE/SUMMARY

THE CITY OF NEW YORK DEPARTMENT OF ENVIRONMENTAL PROTECTION

INVITATION FOR BIDS COVER PAGE/SUMMARY

THE CITY OF NEW YORK DEPARTMENT OF ENVIRONMENTAL PROTECTION

INVITATION FOR BIDS COVER PAGE/SUMMARY

THE CITY OF NEW YORK DEPARTMENT OF ENVIRONMENTAL PROTECTION

INVITATION FOR BIDS COVER PAGE/SUMMARY

THE CITY OF NEW YORK DEPARTMENT OF ENVIRONMENTAL PROTECTION

(rev. 7.16.14)

NOTICE TO BIDDERS

As of March 2013 the City has implemented a new web based subcontractor reporting

system through the City's Payee Information Portal (PIP), available at www.nyc.gov/pip. In

order to use the new system, a PIP account will be required. Detailed instructions on creating a

PIP account and using the new system are also available at that site. Additional assistance with

PIP may be received by emailing the Financial Information Services Agency Help Desk at

pip@fisa.nyc.gov.

In order to obtain subcontractor approval under Article 11 of the Supply and Service

Contract and PPB Rule § 4-13 Contractor is required to list the subcontractor in the system. For

each subcontractor listed, Contractor is required to provide the following information: maximum

contract value, description of subcontractor work, start and end date of the subcontract and

identification of the subcontractor’s industry. Thereafter, Contractor will be required to report in

the system the payments made to each subcontractor within 30 days of making the payment. If

any of the required information changes throughout the term of the contract, Contractor will be

required to revise the information in the system.

Failure of the Contractor to list a subcontractor and/or to report subcontractor payments

in a timely fashion may result in the Agency declaring the Contractor in default of the Contract

and will subject Contractor to liquidated damages in the amount of $100 per day for each day

that the Contractor fails to identify a subcontractor along with the required information about the

subcontractor and/or fails to report payments to a subcontractor, beyond the time frames set forth

herein or in the notice from the City. For construction contracts, the provisions of Article 15 of

the Standard Construction Contract shall govern the issue of liquidated damages.

Contractor hereby agrees to these provisions.

(7/16/14)

NOTICE TO BIDDERS, PROPOSERS, CONTRACTORS,

AND RENEWAL CONTRACTORS

This contract includes a provision concerning the protection of employees for

whistleblowing activity, pursuant to New York City Local Law Nos. 30-2012 and 33-2012,

effective October 18, 2012 and September 18, 2012, respectively. The provisions apply to

contracts with a value in excess of $100,000.

Local Law No. 33-2012, the Whistleblower Protection Expansion Act (“WPEA”),

prohibits a contractor or its subcontractor from taking an adverse personnel action against an

employee or officer for whistleblower activity in connection with a City contract; requires that

certain City contracts include a provision to that effect; and provides that a contractor or

subcontractor may be subject to penalties and injunctive relief if a court finds that it retaliated in

violation of the WPEA. The WPEA is codified at Section 12-113 of the New York City

Administrative Code.

Local Law No. 30-2012 requires a contractor to prominently post information explaining

how its employees can report allegations of fraud, false claims, criminality, or corruption in

connection with a City contract to City officials and the rights and remedies afforded to

employees for whistleblowing activity. Local Law No. 30-2012 is codified at Section 6-132 of

the New York City Administrative Code.

DOI CAN ALSO BE REACHED BY MAIL OR IN PERSON AT: New York City Department of Investigation (DOI)

80 Maiden Lane, 17th floor New York, New York 10038

Attention: COMPLAINT BUREAU

OR FILE A COMPLAINT ON-LINE AT: www.nyc.gov/doi

All communications are confidential

Scan the QR Code at Left to File a Complaint

RREPORT CCORRUPTION, FRAUD, UNETHICAL CONDUCT

RRELATING TO A NYC-FUNDED CONTRACT OR PROJECT

CALL THE NYC DEPARTMENT OF INVESTIGATION

2212-825-5959

THE LAW PROTECTS EMPLOYEES OF CITY CONTRACTORS WHO REPORT CORRUPTION

• Any employee of a City contractor, or subcontractor of the City, or a City contractor with a contract valued at more than$100,000 is protected under the law from retaliation by his or her employer if the employee reports wrongdoing related tothe contract to the DOI.

• To be protected by this law, an employee must report to DOI − or to certain other specified government officials− information about fraud, false claims, corruption, criminality, conflict of interest, gross mismanagement, or abuse ofauthority relating to a City contract valued at more than $100,000.

• Any employee who makes such a report and who believes he or she has been dismissed, demoted, suspended, orotherwise subject to an adverse personnel action because of that report is entitled to bring a lawsuit against thecontractor and recover damages

Scan

(7.16.14)

IRAN DIVESTMENT ACT COMPLIANCE RIDER

FOR NE W YO R K C I T Y C O NT R ACTO RS

The Iran Divestment Act of 2012, effective as of April 12, 2012, is codified at State

Finance Law (“SFL”) §165-a and General Municipal Law (“GML”) §103-g. The Iran

Divestment Act, with certain exceptions, prohibits municipalities, including the City, from

entering into contracts with persons engaged in investment activities in the energy sector of

Iran. Pursuant to the terms set forth in SFL §165-a and GML §103-g, a person engages in

investment activities in the energy sector of Iran if:

(a) the person provides goods or services of twenty million dollars

or more in the energy sector of Iran, including a person that provides oil or

liquefied natural gas tankers, or products used to construct or maintain

pipelines used to transport oil or liquefied natural gas, for the energy sector of

Iran; or

(b) The person is a financial institution that extends twenty million

dollars or more in credit to another person, for forty-five days or more, if

that person will use the credit to provide goods or services in the energy

sector in Iran and is identified on a list created pursuant to paragraph (b) of

subdivision three of Section 165-a of the State Finance Law and maintained

by the Commissioner of the Office of General Services.

A bid or proposal shall not be considered for award nor shall any award be made

where the bidder or proposer fails to submit a signed and verified bidder’s certification.

(7.16.14)

Each bidder or proposer must certify that it is not on the list of entities engaged in

investment activities in Iran created pursuant to paragraph (b) of subdivision 3 of Section

165-a of the State Finance Law. In any case where the bidder or proposer cannot certify

that they are not on such list, the bidder or proposer shall so state and shall furnish with the

bid or proposal a signed statement which sets forth in detail the reasons why such

statement cannot be made. The City of New York may award a bid to a bidder who cannot

make the certification on a case by case basis if:

(1) The investment activities in Iran were made before the effective date

of this section (i.e., April 12, 2012), the investment activities in Iran have not been expanded or

renewed after the effective date of this section and the person has adopted, publicized and is

implementing a formal plan to cease the investment activities in Iran and to refrain from

engaging in any new investments in Iran: or

(2) The City makes a determination that the goods or services are

necessary for the City to perform its functions and that, absent such an exemption, the City

would be unable to obtain the goods or services for which the contract is offered. Such

determination shall be made in writing and shall be a public document.

05/2015

1

NOTICE TO ALL PROSPECTIVE CONTRACTORS

PARTICIPATION BY MINORITY-OWNED AND WOMEN-OWNED BUSINESS

ENTERPRISES IN CITY PROCUREMENT

ARTICLE I. M/WBE PROGRAM

Local Law No. 129 of 2005 added and Local Law 1 of 2013 amended Section 6-129 of

the Administrative Code of the City of New York (hereinafter “Section 6-129”). Section 6-129

establishes the program for participation in City procurement (“M/WBE Program”) by minority-

owned business enterprises (“MBEs”) and women-owned business enterprises (“WBEs”),

certified in accordance with Section 1304 of the New York City Charter. As stated in Section 6-

129, the intent of the program is to address the impact of discrimination on the City’s

procurement process, and to promote the public interest in avoiding fraud and favoritism in the

procurement process, increasing competition for City business, and lowering contract costs. The

contract provisions contained herein are pursuant to Section 6-129, and the rules of the

Department of Small Business Services (“DSBS”) promulgated thereunder.

If this Contract is subject to the M/WBE Program established by Section 6-129, the

specific requirements of MBE and/or WBE participation for this Contract are set forth in

Schedule B of the Contract (entitled the “M/WBE Utilization Plan”), and are detailed

below.

The Contractor must comply with all applicable MBE and WBE requirements for

this Contract.

All provisions of Section 6-129 are hereby incorporated in the Contract by reference and

all terms used herein that are not defined herein shall have the meanings given such terms in

Section 6-129.

Article I, Part A, below, sets forth provisions related to the participation goals for

construction, standard and professional services contracts.

Article I, Part B, below, sets forth miscellaneous provisions related to the M/WBE

Program.

PART A

PARTICIPATION GOALS FOR CONSTRUCTION, STANDARD

AND PROFESSIONAL SERVICES CONTRACTS OR TASK ORDERS

1. The MBE and/or WBE Participation Goals established for this Contract or Task

Orders issued pursuant to this Contract, (“Participation Goals”), as applicable, are set forth on

Schedule B, Part I to this Contract (see Page 1, line 1 Total Participation Goals) or will be set

forth on Schedule B, Part I to Task Orders issued pursuant to this Contract, as applicable.

05/2015

2

The Participation Goals represent a percentage of the total dollar value of the Contract or Task

Order, as applicable, that may be achieved by awarding subcontracts to firms certified with New

York City Department of Small Business Services as MBEs and/or WBEs, and/or by crediting

the participation of prime contractors and/or qualified joint ventures as provided in Section 3

below, unless the goals have been waived or modified by Agency in accordance with Section 6-

129 and Part A, Sections 10 and 11 below, respectively.

2. If Participation Goals have been established for this Contract or Task Orders issued

pursuant to this Contract, Contractor agrees or shall agree as a material term of the Contract that

Contractor shall be subject to the Participation Goals, unless the goals are waived or modified

by Agency in accordance with Section 6-129 and Part A, Sections 10 and 11 below, respectively.

3. If Participation Goals have been established for this Contract or Task Order issued

pursuant to this Contract, a Contractor that is an MBE and/or WBE shall be permitted to count its

own participation toward fulfillment of the relevant Participation Goal, provided that in

accordance with Section 6-129 the value of Contractor’s participation shall be determined by

subtracting from the total value of the Contract or Task Order, as applicable, any amounts that

the Contractor pays to direct subcontractors (as defined in Section 6-129(c)(13)), and provided

further that a Contractor that is certified as both an MBE and a WBE may count its own

participation either toward the goal for MBEs or the goal for WBEs, but not both.

A Contractor that is a qualified joint venture (as defined in Section 6-129(c)(30)) shall be

permitted to count a percentage of its own participation toward fulfillment of the relevant

Participation Goal. In accordance with Section 6-129, the value of Contractor’s participation

shall be determined by subtracting from the total value of the Contract or Task Order, as

applicable, any amounts that Contractor pays to direct subcontractors, and then multiplying the

remainder by the percentage to be applied to total profit to determine the amount to which an

MBE or WBE is entitled pursuant to the joint venture agreement, provided that where a

participant in a joint venture is certified as both an MBE and a WBE, such amount shall be

counted either toward the goal for MBEs or the goal for WBEs, but not both.

4. A. If Participation Goals have been established for this Contract, a prospective

contractor shall be required to submit with its bid or proposal, as applicable, a completed

Schedule B, M/WBE Utilization Plan, Part II (see Pages 2-4) indicating: (a) whether the

contractor is an MBE or WBE, or qualified joint venture; (b) the percentage of work it intends to

award to direct subcontractors; and (c) in cases where the contractor intends to award direct

subcontracts, a description of the type and dollar value of work designated for participation by

MBEs and/or WBEs, and the time frames in which such work is scheduled to begin and end. In

the event that this M/WBE Utilization Plan indicates that the bidder or proposer, as applicable,

does not intend to meet the Participation Goals, the bid or proposal, as applicable, shall be

deemed non-responsive, unless Agency has granted the bidder or proposer, as applicable, a pre-

award waiver of the Participation Goals in accordance with Section 6-129 and Part A, Section

10 below.

B. (i) If this Contract is for a master services agreement or other requirements type

contract that will result in the issuance of Task Orders that will be individually registered

(“Master Services Agreement”) and is subject to M/WBE Participation Goals, a prospective

05/2015

3

contractor shall be required to submit with its bid or proposal, as applicable, a completed

Schedule B, M/WBE Participation Requirements for Master Services Agreements That Will

Require Individually Registered Task Orders, Part II (page 2) indicating the prospective

contractor’s certification and required affirmations to make all reasonable good faith efforts to

meet participation goals established on each individual Task Order issued pursuant to this

Contract, or if a partial waiver is obtained or such goals are modified by the Agency, to meet the

modified Participation Goals by soliciting and obtaining the participation of certified MBE

and/or WBE firms. In the event that the Schedule B indicates that the bidder or proposer, as

applicable, does not intend to meet the Participation Goals that may be established on Task

Orders issued pursuant to this Contract, the bid or proposal, as applicable, shall be deemed non-

responsive.

(ii) Participation Goals on a Master Services Agreement will be established for

individual Task Orders issued after the Master Services Agreement is awarded. If Participation

Goals have been established on a Task Order, a contractor shall be required to submit a Schedule

B – M/WBE Utilization Plan For Independently Registered Task Orders That Are Issued

Pursuant to Master Services Agreements, Part II (see Pages 2-4) indicating: (a) whether the

contractor is an MBE or WBE, or qualified joint venture; (b) the percentage of work it intends to

award to direct subcontractors; and (c) in cases where the contractor intends to award direct

subcontracts, a description of the type and dollar value of work designated for participation by

MBEs and/or WBEs, and the time frames in which such work is scheduled to begin and end.

The contractor must engage in good faith efforts to meet the Participation Goals as established

for the Task Order unless Agency has granted the contractor a pre-award waiver of the

Participation Goals in accordance with Section 6-129 and Part A, Section 10 below.

C. THE BIDDER/PROPOSER MUST COMPLETE THE SCHEDULE B INCLUDED HEREIN

(SCHEDULE B, PART II). A SCHEDULE B SUBMITTED BY THE BIDDER/PROPOSER WHICH DOES

NOT INCLUDE THE VENDOR CERTIFICATION AND REQUIRED AFFIRMATIONS (SEE SECTION V OF

PART II) WILL BE DEEMED TO BE NON-RESPONSIVE, UNLESS A FULL WAIVER OF THE

PARTICIPATION GOALS IS GRANTED (SCHEDULE B, PART III). IN THE EVENT THAT THE CITY

DETERMINES THAT THE BIDDER/PROPOSER HAS SUBMITTED A SCHEDULE B WHERE THE

VENDOR CERTIFICATION AND REQUIRED AFFIRMATIONS ARE COMPLETED BUT OTHER ASPECTS

OF THE SCHEDULE B ARE NOT COMPLETE, OR CONTAIN A COPY OR COMPUTATION ERROR THAT

IS AT ODDS WITH THE VENDOR CERTIFICATION AND AFFIRMATIONS, THE BIDDER/PROPOSER

WILL BE NOTIFIED BY THE AGENCY AND WILL BE GIVEN FOUR (4) CALENDAR DAYS FROM

RECEIPT OF NOTIFICATION TO CURE THE SPECIFIED DEFICIENCIES AND RETURN A COMPLETED

SCHEDULE B TO THE AGENCY. FAILURE TO DO SO WILL RESULT IN A DETERMINATION THAT

THE BID/PROPOSAL IS NON-RESPONSIVE. RECEIPT OF NOTIFICATION IS DEFINED AS THE DATE

NOTICE IS E-MAILED OR FAXED (IF THE BIDDER/PROPOSER HAS PROVIDED AN E-MAIL ADDRESS

OR FAX NUMBER), OR NO LATER THAN FIVE (5) CALENDAR DAYS FROM THE DATE OF MAILING

OR UPON DELIVERY, IF DELIVERED.

5. Where an M/WBE Utilization Plan has been submitted, the Contractor shall, within 30

days of issuance by Agency of a notice to proceed, submit a list of proposed persons or entities

to which it intends to award subcontracts within the subsequent 12 months. In the case of multi-

year contracts, such list shall also be submitted every year thereafter. The Agency may also

require the Contractor to report periodically about the contracts awarded by its direct

05/2015

4

subcontractors to indirect subcontractors (as defined in Section 6-129(c)(22)). PLEASE NOTE:

If this Contract is a public works project subject to GML §101(5) (i.e., a contract valued at

or below $3M for projects in New York City) or if the Contract is subject to a project labor

agreement in accordance with Labor Law §222, and the bidder is required to identify at

the time of bid submission its intended subcontractors for the Wicks trades (plumbing and

gas fitting; steam heating, hot water heating, ventilating and air conditioning (HVAC); and

electric wiring), the Contractor must identify all those to which it intends to award

construction subcontracts for any portion of the Wicks trade work at the time of bid

submission, regardless of what point in the life of the contract such subcontracts will occur.

In identifying intended subcontractors in the bid submission, bidders may satisfy any

Participation Goals established for this Contract by proposing one or more subcontractors

that are MBEs and/or WBEs for any portion of the Wicks trade work. In the event that the

Contractor’s selection of a subcontractor is disapproved, the Contractor shall have a reasonable

time to propose alternate subcontractors.

6. MBE and WBE firms must be certified by DSBS in order for the Contractor to credit

such firms’ participation toward the attainment of the Participation Goals. Such certification

must occur prior to the firms’ commencement of work. A list of MBE and WBE firms may be

obtained from the DSBS website at www.nyc.gov/buycertified, by emailing DSBS at

buyer@sbs.nyc.gov, by calling (212) 513-6356, or by visiting or writing DSBS at 110 William

St., New York, New York, 10038, 7th floor. Eligible firms that have not yet been certified may

contact DSBS in order to seek certification by visiting www.nyc.gov/getcertified, emailing

MWBE@sbs.nyc.gov, or calling the DSBS certification helpline at (212) 513-6311. A firm that

is certified as both an MBE and a WBE may be counted either toward the goal for MBEs or the

goal for WBEs, but not both. No credit shall be given for participation by a graduate MBE or

graduate WBE, as defined in Section 6-129(c)(20).

7. Where an M/WBE Utilization Plan has been submitted, the Contractor shall, with each

voucher for payment, and/or periodically as Agency may require, submit statements, certified

under penalty of perjury, which shall include, but not be limited to,: the total amount the

Contractor paid to its direct subcontractors, and, where applicable pursuant to Section 6-129(j),

the total amount direct subcontractors paid to indirect subcontractors; the names, addresses and

contact numbers of each MBE or WBE hired as a subcontractor by the Contractor, and, where

applicable, hired by any of the Contractor’s direct subcontractors; and the dates and amounts

paid to each MBE or WBE. The Contractor shall also submit, along with its voucher for final

payment: the total amount it paid to subcontractors, and, where applicable pursuant to Section 6-

129(j), the total amount its direct subcontractors paid directly to their indirect subcontractors; and

a final list, certified under penalty of perjury, which shall include the name, address and contact

information of each subcontractor that is an MBE or WBE, the work performed by, and the dates

and amounts paid to each.

8. If payments made to, or work performed by, MBEs or WBEs are less than the amount

specified in the Contractor’s M/WBE Utilization Plan, Agency shall take appropriate action, in

accordance with Section 6-129 and Article II below, unless the Contractor has obtained a

modification of its M/WBE Utilization Plan in accordance with Section 6-129 and Part A,

Section 11 below.

05/2015

5

9. Where an M/WBE Utilization Plan has been submitted, and the Contractor requests a

change order the value of which exceeds the greater of 10 percent of the Contract or Task Order,

as applicable, or $500,000, Agency shall review the scope of work for the Contract or Task

Order, as applicable, and the scale and types of work involved in the change order, and

determine whether the Participation Goals should be modified.

10. Pre-award waiver of the Participation Goals. (a) A bidder or proposer, or contractor

with respect to a Task Order, may seek a pre-award full or partial waiver of the Participation

Goals in accordance with Section 6-129, which requests that Agency change one or more

Participation Goals on the grounds that the Participation Goals are unreasonable in light of the

availability of certified firms to perform the services required, or by demonstrating that it has

legitimate business reasons for proposing a lower level of subcontracting in its M/WBE

Utilization Plan.

(b) To apply for a full or partial waiver of the Participation Goals, a bidder, proposer, or

contractor, as applicable, must complete Part III (Page 5) of Schedule B and submit such request

no later than seven (7) calendar days prior to the date and time the bids, proposals, or Task

Orders are due, in writing to the Agency by email at scimino@dep.nyc.gov or via facsimile

at (718)595-3221. Bidders, proposers, or contractors, as applicable, who have submitted

requests will receive an Agency response by no later than two (2) calendar days prior to the due

date for bids, proposals, or Task Orders; provided, however, that if that date would fall on a

weekend or holiday, an Agency response will be provided by close-of-business on the business

day before such weekend or holiday date.

(c) If the Agency determines that the Participation Goals are unreasonable in light of the

availability of certified firms to perform the services required, it shall revise the solicitation and

extend the deadline for bids and proposals, or revise the Task Order, as applicable.

(d) Agency may grant a full or partial waiver of the Participation Goals to a bidder,

proposer or contractor, as applicable, who demonstrates—before submission of the bid, proposal

or Task Order, as applicable—that it has legitimate business reasons for proposing the level of

subcontracting in its M/WBE Utilization Plan. In making its determination, Agency shall

consider factors that shall include, but not be limited to, whether the bidder, proposer or

contractor, as applicable, has the capacity and the bona fide intention to perform the Contract

without any subcontracting, or to perform the Contract without awarding the amount of

subcontracts represented by the Participation Goals. In making such determination, Agency

may consider whether the M/WBE Utilization Plan is consistent with past subcontracting

practices of the bidder, proposer or contractor, as applicable, whether the bidder, proposer or

contractor, as applicable, has made efforts to form a joint venture with a certified firm, and

whether the bidder, proposer, or contractor, as applicable, has made good faith efforts to identify

other portions of the Contract that it intends to subcontract.

11. Modification of M/WBE Utilization Plan. (a) A Contractor may request a modification

of its M/WBE Utilization Plan after award of this Contract. PLEASE NOTE: If this Contract

is a public works project subject to GML §101(5) (i.e., a contract valued at or below $3M

for projects in New York City) or if the Contract is subject to a project labor agreement in

accordance with Labor Law §222, and the bidder is required to identify at the time of bid

05/2015

6

submission its intended subcontractors for the Wicks trades (plumbing and gas fitting;

steam heating, hot water heating, ventilating and air conditioning (HVAC); and electric

wiring), the Contractor may request a Modification of its M/WBE Utilization Plan as part

of its bid submission. The Agency may grant a request for Modification of a Contractor’s

M/WBE Utilization Plan if it determines that the Contractor has established, with appropriate

documentary and other evidence, that it made reasonable, good faith efforts to meet the

Participation Goals. In making such determination, Agency shall consider evidence of the

following efforts, as applicable, along with any other relevant factors:

(i) The Contractor advertised opportunities to participate in the

Contract, where appropriate, in general circulation media, trade and professional

association publications and small business media, and publications of minority

and women’s business organizations;

(ii) The Contractor provided notice of specific opportunities to

participate in the Contract, in a timely manner, to minority and women’s business

organizations;

(iii) The Contractor sent written notices, by certified mail or facsimile,

in a timely manner, to advise MBEs or WBEs that their interest in the Contract

was solicited;

(iv) The Contractor made efforts to identify portions of the work that

could be substituted for portions originally designated for participation by MBEs

and/or WBEs in the M/WBE Utilization Plan, and for which the Contractor

claims an inability to retain MBEs or WBEs;

(v) The Contractor held meetings with MBEs and/or WBEs prior to

the date their bids or proposals were due, for the purpose of explaining in detail

the scope and requirements of the work for which their bids or proposals were

solicited;

(vi) The Contractor made efforts to negotiate with MBEs and/or WBEs

as relevant to perform specific subcontracts, or act as suppliers or service

providers;

(vii) Timely written requests for assistance made by the Contractor to

Agency’s M/WBE liaison officer and to DSBS;

(viii) Description of how recommendations made by DSBS and Agency

were acted upon and an explanation of why action upon such recommendations

did not lead to the desired level of participation of MBEs and/or WBEs.

Agency’s M/WBE officer shall provide written notice to the Contractor of the determination.

(b) The Agency may modify the Participation Goals when the scope of the work has been

changed by the Agency in a manner that affects the scale and types of work that the Contractor

indicated in its M/WBE Utilization Plan would be awarded to subcontractors.

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12. If this Contract is for an indefinite quantity of construction, standard or professional

services or is a requirements type contract and the Contractor has submitted an M/WBE

Utilization Plan and has committed to subcontract work to MBEs and/or WBEs in order to meet

the Participation Goals, the Contractor will not be deemed in violation of the M/WBE Program

requirements for this Contract with regard to any work which was intended to be subcontracted

to an MBE and/or WBE to the extent that the Agency has determined that such work is not

needed.

13. If Participation Goals have been established for this Contract or a Task Order issued

pursuant to this Contract, at least once annually during the term of the Contract or Task Order, as

applicable, Agency shall review the Contractor’s progress toward attainment of its M/WBE

Utilization Plan, including but not limited to, by reviewing the percentage of work the Contractor

has actually awarded to MBE and/or WBE subcontractors and the payments the Contractor made

to such subcontractors.

14. If Participation Goals have been established for this Contract or a Task Order issued

pursuant to this Contract, Agency shall evaluate and assess the Contractor’s performance in

meeting those goals, and such evaluation and assessment shall become part of the Contractor’s

overall contract performance evaluation.

PART B

MISCELLANEOUS

1. The Contractor shall take notice that, if this solicitation requires the establishment of a

M/WBE Utilization Plan, the resulting contract may be audited by DSBS to determine

compliance with Section 6-129. See §6-129(e)(10). Furthermore, such resulting contract may

also be examined by the City’s Comptroller to assess compliance with the M/WBE Utilization

Plan.

2. Pursuant to DSBS rules, construction contracts that include a requirement for a M/WBE

Utilization Plan shall not be subject to the law governing Locally Based Enterprises set forth in

Section 6-108.1 of the Administrative Code of the City of New York.

3. DSBS is available to assist contractors and potential contractors in determining the

availability of MBEs and/or WBEs to participate as subcontractors, and in identifying

opportunities that are appropriate for participation by MBEs and/or WBEs in contracts.

4. Prospective contractors are encouraged to enter into qualified joint venture agreements

with MBEs and/or WBEs as defined by Section 6-129(c)(30).

5. By submitting a bid or proposal the Contractor hereby acknowledges its understanding of

the M/WBE Program requirements set forth herein and the pertinent provisions of Section 6-129,

and any rules promulgated thereunder, and if awarded this Contract, the Contractor hereby

agrees to comply with the M/WBE Program requirements of this Contract and pertinent

provisions of Section 6-129, and any rules promulgated thereunder, all of which shall be deemed

to be material terms of this Contract. The Contractor hereby agrees to make all reasonable, good

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faith efforts to solicit and obtain the participation of MBEs and/or WBEs to meet the required

Participation Goals.

ARTICLE II. ENFORCEMENT

1. If Agency determines that a bidder or proposer, as applicable, has, in relation to this

procurement, violated Section 6-129 or the DSBS rules promulgated pursuant to Section 6-129,

Agency may disqualify such bidder or proposer, as applicable, from competing for this Contract

and the Agency may revoke such bidder’s or proposer’s prequalification status, if applicable.

2. Whenever Agency believes that the Contractor or a subcontractor is not in compliance

with Section 6-129 or the DSBS rules promulgated pursuant to Section 6-129, or any provision

of this Contract that implements Section 6-129, including, but not limited to any M/WBE

Utilization Plan, Agency shall send a written notice to the Contractor describing the alleged

noncompliance and offering the Contractor an opportunity to be heard. Agency shall then

conduct an investigation to determine whether such Contractor or subcontractor is in compliance.

3. In the event that the Contractor has been found to have violated Section 6-129, the DSBS

rules promulgated pursuant to Section 6-129, or any provision of this Contract that implements

Section 6-129, including, but not limited to, any M/WBE Utilization Plan, Agency may

determine that one of the following actions should be taken:

(a) entering into an agreement with the Contractor allowing the Contractor

to cure the violation;

(b) revoking the Contractor's pre-qualification to bid or make proposals

for future contracts;

(c) making a finding that the Contractor is in default of the Contract;

(d) terminating the Contract;

(e) declaring the Contractor to be in breach of Contract;

(f) withholding payment or reimbursement;

(g) determining not to renew the Contract;

(h) assessing actual and consequential damages;

(i) assessing liquidated damages or reducing fees, provided that

liquidated damages may be based on amounts representing costs of delays in

carrying out the purposes of the M/WBE Program, or in meeting the purposes of

the Contract, the costs of meeting utilization goals through additional

procurements, the administrative costs of investigation and enforcement, or other

factors set forth in the Contract;

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(j) exercising rights under the Contract to procure goods, services or

construction from another contractor and charge the cost of such contract to the

Contractor that has been found to be in noncompliance; or

(k) taking any other appropriate remedy.

4. If an M/WBE Utilization Plan has been submitted, and pursuant to this Article II, Section

3, the Contractor has been found to have failed to fulfill its Participation Goals contained in its

M/WBE Utilization Plan or the Participation Goals as modified by Agency pursuant to Article

I, Part A, Section 11, Agency may assess liquidated damages in the amount of ten percent (10%)

of the difference between the dollar amount of work required to be awarded to MBE and/or

WBE firms to meet the Participation Goals and the dollar amount the Contractor actually

awarded and paid, and/or credited, to MBE and/or WBE firms. In view of the difficulty of

accurately ascertaining the loss which the City will suffer by reason of Contractor’s failure to

meet the Participation Goals, the foregoing amount is hereby fixed and agreed as the liquidated

damages that the City will suffer by reason of such failure, and not as a penalty. Agency may

deduct and retain out of any monies which may become due under this Contract the amount of

any such liquidated damages; and in case the amount which may become due under this Contract

shall be less than the amount of liquidated damages suffered by the City, the Contractor shall be

liable to pay the difference.

5. Whenever Agency has reason to believe that an MBE and/or WBE is not qualified for

certification, or is participating in a contract in a manner that does not serve a commercially

useful function (as defined in Section 6-129(c)(8)), or has violated any provision of Section 6-

129, Agency shall notify the Commissioner of DSBS who shall determine whether the

certification of such business enterprise should be revoked.

6. Statements made in any instrument submitted to Agency pursuant to Section 6-129 shall

be submitted under penalty of perjury and any false or misleading statement or omission shall be

grounds for the application of any applicable criminal and/or civil penalties for perjury. The

making of a false or fraudulent statement by an MBE and/or WBE in any instrument submitted

pursuant to Section 6-129 shall, in addition, be grounds for revocation of its certification.

7. The Contractor's record in implementing its M/WBE Utilization Plan shall be a factor in

the evaluation of its performance. Whenever Agency determines that a Contractor's compliance

with an M/WBE Utilization Plan has been unsatisfactory, Agency shall, after consultation with

the City Chief Procurement Officer, file an advice of caution form for inclusion in VENDEX as

caution data.

1 Pursuant to the PSLL, if fewer than five employees work for the same employer, as determined pursuant to

New York City Administrative Code §20-912(g), such employer has the option of providing such employees

uncompensated sick time.

PAID SICK LEAVE LAW CONTRACT RIDER

Introduction and General Provisions:

The Earned Sick Time Act, also known as the Paid Sick Leave Law (“PSLL”), requires covered

employees who annually perform more than 80 hours of work in New York City to be provided

with paid sick time.1 Contractors of the City of New York or of other governmental entities may

be required to provide sick time pursuant to the PSLL.

The PSLL became effective on April 1, 2014, and is codified at Title 20, Chapter 8, of the New

York City Administrative Code. It is administered by the City’s Department of Consumer

Affairs (“DCA”); DCA’s rules promulgated under the PSLL are codified at Chapter 7 of Title 6

of the Rules of the City of New York (“Rules”).

Contractor agrees to comply in all respects with the PSLL and the Rules, and as amended, if

applicable, in the performance of this agreement. Contractor further acknowledges that such

compliance is a material term of this agreement and that failure to comply with the PSLL in

performance of this agreement may result in its termination.

Contractor must notify the Agency Chief Contracting Officer of the City agency or other entity

with whom it is contracting in writing within ten (10) days of receipt of a complaint (whether

oral or written) regarding the PSLL involving the performance of this agreement. Additionally,

Contractor must cooperate with DCA’s education efforts and must comply with DCA’s

subpoenas and other document demands as set forth in the PSLL and Rules.

The PSLL is summarized below for the convenience of Contractor. Contractor is advised to

review the PSLL and Rules in their entirety. On the website www.nyc.gov/PaidSickLeave there

are links to the PSLL and the associated Rules as well as additional resources for employers,

such as Frequently Asked Questions, timekeeping tools and model forms, and an event calendar

of upcoming presentations and webinars at which Contractor can get more information about

how to comply with the PSLL. Contractor acknowledges that it is responsible for compliance

with the PSLL notwithstanding any inconsistent language contained herein.

Pursuant to the PSLL and the Rules:

Applicability, Accrual, and Use:

An employee who works within the City of New York for more than eighty hours in any

consecutive 12-month period designated by the employer as its “calendar year” pursuant to the

PSLL (“Year”) must be provided sick time. Employers must provide a minimum of one hour of

sick time for every 30 hours worked by an employee and compensation for such sick time must

be provided at the greater of the employee’s regular hourly rate or the minimum wage.

Employers are not required to provide more than forty hours of sick time to an employee in any

Year.

- 2 -

An employee has the right to determine how much sick time he or she will use, provided that

employers may set a reasonable minimum increment for the use of sick time not to exceed four

hours per day. In addition, an employee may carry over up to forty hours of unused sick time to

the following Year, provided that no employer is required to allow the use of more than forty

hours of sick time in a Year or carry over unused paid sick time if the employee is paid for such

unused sick time and the employer provides the employee with at least the legally required

amount of paid sick time for such employee for the immediately subsequent Year on the first day

of such Year.

An employee entitled to sick time pursuant to the PSLL may use sick time for any of the

following:

• such employee’s mental illness, physical illness, injury, or health condition or the care of

such illness, injury, or condition or such employee’s need for medical diagnosis or

preventive medical care;

• such employee’s care of a family member (an employee’s child, spouse, domestic

partner, parent, sibling, grandchild or grandparent, or the child or parent of an employee’s

spouse or domestic partner) who has a mental illness, physical illness, injury or health

condition or who has a need for medical diagnosis or preventive medical care;

• closure of such employee’s place of business by order of a public official due to a public

health emergency; or

• such employee’s need to care for a child whose school or childcare provider has been

closed due to a public health emergency.

An employer must not require an employee, as a condition of taking sick time, to search for a

replacement. However, an employer may require an employee to provide: reasonable notice of the

need to use sick time; reasonable documentation that the use of sick time was needed for a reason

above if for an absence of more than three consecutive work days; and/or written confirmation

that an employee used sick time pursuant to the PSLL. However, an employer may not require

documentation specifying the nature of a medical condition or otherwise require disclosure of the

details of a medical condition as a condition of providing sick time and health information

obtained solely due to an employee’s use of sick time pursuant to the PSLL must be treated by the

employer as confidential.

If an employer chooses to impose any permissible discretionary requirement as a condition of

using sick time, it must provide to all employees a written policy containing those requirements,

using a delivery method that reasonably ensures that employees receive the policy. If such

employer has not provided its written policy, it may not deny sick time to an employee because of

non-compliance with such a policy.

Sick time to which an employee is entitled must be paid no later than the payday for the next

regular payroll period beginning after the sick time was used.

- 3 -

Exemptions and Exceptions

Notwithstanding the above, the PSLL does not apply to any of the following:

• an independent contractor who does not meet the definition of employee under section

190(2) of the New York State Labor Law;

• an employee covered by a valid collective bargaining agreement in effect on April 1,

2014 until the termination of such agreement;

• an employee in the construction or grocery industry covered by a valid collective

bargaining agreement if the provisions of the PSLL are expressly waived in such

collective bargaining agreement;

• an employee covered by another valid collective bargaining agreement if such provisions

are expressly waived in such agreement and such agreement provides a benefit

comparable to that provided by the PSLL for such employee;

• an audiologist, occupational therapist, physical therapist, or speech language pathologist

who is licensed by the New York State Department of Education and who calls in for

work assignments at will, determines his or her own schedule, has the ability to reject or

accept any assignment referred to him or her, and is paid an average hourly wage that is

at least four times the federal minimum wage;

• an employee in a work study program under Section 2753 of Chapter 42 of the United

States Code;

• an employee whose work is compensated by a qualified scholarship program as that term

is defined in the Internal Revenue Code, Section 117 of Chapter 20 of the United States

Code; or

• a participant in a Work Experience Program (WEP) under section 336-c of the New York

State Social Services Law.

Retaliation Prohibited

An employer may not threaten or engage in retaliation against an employee for exercising or

attempting in good faith to exercise any right provided by the PSLL. In addition, an employer

may not interfere with any investigation, proceeding, or hearing pursuant to the PSLL.

Notice of Rights

An employer must provide its employees with written notice of their rights pursuant to the PSLL.

Such notice must be in English and the primary language spoken by an employee, provided that

DCA has made available a translation into such language. Downloadable notices are available

on DCA’s website at http://www.nyc.gov/html/dca/html/law/PaidSickLeave.shtml.

Any person or entity that willfully violates these notice requirements is subject to a civil penalty

in an amount not to exceed fifty dollars for each employee who was not given appropriate notice.

- 4 -

Records

An employer must retain records documenting its compliance with the PSLL for a period of at

least three years, and must allow DCA to access such records in furtherance of an investigation

related to an alleged violation of the PSLL.

Enforcement and Penalties

Upon receiving a complaint alleging a violation of the PSLL, DCA has the right to investigate

such complaint and attempt to resolve it through mediation. Within 30 days of written

notification of a complaint by DCA, or sooner in certain circumstances, the employer must

provide DCA with a written response and such other information as DCA may request. If DCA

believes that a violation of the PSLL has occurred, it has the right to issue a notice of violation to

the employer.

DCA has the power to grant an employee or former employee all appropriate relief as set forth in

New York City Administrative Code 20-924(d). Such relief may include, among other remedies,

treble damages for the wages that should have been paid, damages for unlawful retaliation, and

damages and reinstatement for unlawful discharge. In addition, DCA may impose on an

employer found to have violated the PSLL civil penalties not to exceed $500 for a first violation,

$750 for a second violation within two years of the first violation, and $1,000 for each

succeeding violation within two years of the previous violation.

More Generous Polices and Other Legal Requirements

Nothing in the PSLL is intended to discourage, prohibit, diminish, or impair the adoption or

retention of a more generous sick time policy, or the obligation of an employer to comply with

any contract, collective bargaining agreement, employment benefit plan or other agreement

providing more generous sick time. The PSLL provides minimum requirements pertaining to sick

time and does not preempt, limit or otherwise affect the applicability of any other law, regulation,

rule, requirement, policy or standard that provides for greater accrual or use by employees of sick

leave or time, whether paid or unpaid, or that extends other protections to employees. The PSLL

may not be construed as creating or imposing any requirement in conflict with any federal or

state law, rule or regulation.

(rev. 8.21.15) Part A(3)

DEP STANDARD

INFORMATION FOR BIDDERS

FOR SUPPLY AND SERVICE

CONTRACTS

i (rev. 8.21.15) Part A(3)

TABLE OF CONTENTS

PAGE

1. DESCRIPTION OF PROCUREMENT ................................................................................................. 1

2. TIME AND PLACE FOR RECEIPT OF BIDS ..................................................................................... 1

3. PROCUREMENT POLICY BOARD RULES ...................................................................................... 1

4. DEFINITIONS ....................................................................................................................................... 2

5. BID DOCUMENTS ............................................................................................................................... 2

6. PRE-BID CONFERENCE ..................................................................................................................... 3

7. AGENCY CONTACT PERSON ........................................................................................................... 3

8. EXAMINATION OF PROPOSED CONTRACT .................................................................................. 3

9. FORM OF BID ....................................................................................................................................... 4

10. SITE VISIT ............................................................................................................................................ 5

11. IRREVOCABILITY OF BID ................................................................................................................. 5

12. BID SAMPLES AND DESCRIPTIVE LITERATURE ......................................................................... 5

13. PROPRIETARY INFORMATION/TRADE SECRETS ....................................................................... 5

14. PRE-OPENING MODIFICATION OR WITHDRAWAL OF BIDS .................................................... 6

15. LATE BIDS, LATE WITHDRAWAL AND LATE MODIFICATIONS.............................................. 6

16. WITHDRAWAL OF BIDS .................................................................................................................... 6

17. MISTAKES IN BIDS ............................................................................................................................. 6

18. TIED LOW BIDS ................................................................................................................................... 7

19. REJECTION OF BIDS .......................................................................................................................... 7

20. RIGHT TO APPEAL DETERMINATION OF NON-RESPONSIVENESS OR NON-

RESPONSIBILITY AND RIGHT TO PROTEST SOLICITATION AND AWARD .......................... 7

21. BID EVALUATION AND CONTRACT AWARD .............................................................................. 8

22. BIDDER QUALIFICATIONS - EVIDENCE OF ABILITY AND FINANCIAL

QUALIFICATIONS ............................................................................................................................... 9

23. VENDEX QUESTIONNAIRES AND FEES ...................................................................................... 10

24. COMPLAINTS ABOUT BID PROCESS ............................................................................................ 11

25. BID, PERFORMANCE AND PAYMENT SECURITY ..................................................................... 11

26. INSURANCE ....................................................................................................................................... 12

27. FAILURE TO EXECUTE CONTRACT OR FURNISH SECURITY OR INSURANCE .................. 13

28. CITY’S L IMIT E D TAX EX EMPTION ........................................................................................ 13

29. DEPARTMENT OF SMALL BUSINESS SERVICES, DIVISION OF LABOR

SERVICES (EMPLOYMENT REPORT)............................................................................................ 13

ii (rev. 8.21.15) Part A(3)

30. AFFIRMATIVE ACTION, EQUAL EMPLOYMENT OPPORTUNITY, AND

REQUIREMENTS FOR PARTICIPATION BY MINORITY-OWNED AND

WOMEN-OWNED BUSINESS ENTERPRISES (M/WBEs) ............................................................. 14

31. PROMPT PAYMENT .......................................................................................................................... 14

32. APPROVAL OF CONTRACT ............................................................................................................ 14

33. PREVAILING WAGES/LABOR LAW COMPLIANCE ................................................................... 15

34. REQUIRED CERTIFICATION BY NON-GOVERNMENTAL ENTITY OR

MEMBERSHIP IN NON-GOVERNMENTAL ORGANIZATION ................................................... 15

35. ELECTRONIC FUNDS TRANSFER .................................................................................................. 16

36. NON-DISCRIMINATION ................................................................................................................... 16

37. MACBRIDE PRINCIPLES.................................................................................................................. 16

1 (rev. 8.21.15) Part A(3)

1. DESCRIPTION OF PROCUREMENT

A. The description and location of the services to be performed and/or identification

of the goods to be supplied are set forth on the Cover Page/Summary, included in

Part A(1) of this Invitation for Bids (the “IFB”).

B. The term for this Contract is set forth on Schedule A, included in Part A(4) of the

IFB.

2. TIME AND PLACE FOR RECEIPT OF BIDS

A. The Department of Environmental Protection (“DEP” or the “Department”) shall

receive all sealed bids at the location set forth on the IFB Cover Page/Summary on

or before the date and time set forth on that page.

B. It is the bidder’s responsibility to assure that its bid is received at the bid location

on or before the date and time of the scheduled bid opening and that the bid and all

other documents requiring signature are signed and, where required, notarized.

C. The completed bid must be submitted in a sealed envelope on or before the time

and at the place indicated on the Cover Page/Summary. The envelope must

indicate:

(i) the name of the person, firm or corporation presenting the bid;

(ii) the bid opening date;

(iii) the PIN; and

(iv) the Contract title.

D. Failure to comply with the instructions in this Section 2 may result in rejection of

the bid.

3. PROCUREMENT POLICY BOARD RULES

This IFB is subject to the Rules of the Procurement Policy Board of the City of New

York (“PPB Rules”), as amended from time to time. In the event of a conflict

between said rules and a provision of any of the IFB documents, then the PPB Rules

shall take precedence. A copy of the rules may be obtained by contacting the

Agency Contact person for this project, or online at

http://www.nyc.gov/html/mocs/ppb/html/home/home.shtml

2 (rev. 8.21.15) Part A(3)

4. DEFINITIONS

The definitions set forth in Chapter 1 of the PPB Rules shall apply to this IFB.

Other capitalized terms used in this IFB are used as defined in Article 2 of the

Standard Supply and Service Contract (included in Part D of this IFB). The term

“Contract” refers to the documents listed in Article 1 of the Standard Supply and

Service Contract, after all IFB documents that require a signature by the Contractor

or DEP have been properly executed, and the Contract has been registered.

5. BID DOCUMENTS

A. The term Invitation for Bids (or “IFB”) includes all bid solicitation documents

contained in Parts A through F of the bid document package, as the Agency Chief

Contracting Officer (“ACCO”) may have amended them by issuing written

addenda. Copies of all addenda that have been issued will be available at the

location given on the Cover Page/Summary for the submission of bids. Before

submitting a bid, a prospective bidder can check with the ACCO’s office at (718)

595-3265 to be sure it has received copies of all addenda issued.

B. For particulars as to this procurement, including quantity and quality of the

purchase, extent of the services to be performed, delivery and performance

schedule, and any other special instructions, prospective bidders are referred to

Schedule A (in Part A), the bid form (in Part B), and the Detailed

Specifications/Scope of Work, which are included in Part C as shown on the IFB

Contents List at the front of this package.

C. Deposit for Copy of the IFB. Prospective bidders may obtain a copy of the

IFB by complying with the conditions set forth in the Advertisement for Bids. A

refundable deposit for a copy of the IFB documents (sometimes called a “Bid Book

Deposit”), if required, must be in the form of a money order or a certified check,

made payable to the order of the City of New York, and drawn upon a state or

national bank or trust company, or a check of such a bank or trust company, signed

by a duly authorized officer thereof. The Advertisement for Bids will indicate

whether a Bid Book Deposit is required.

D. Return of Bid Book Deposit. The Department will return any such deposit

upon request within thirty (30) days after registration of the Contract by the

Comptroller or after the rejection of all bids as set forth in the Advertisement for

Bids, provided that the bid documents are returned to the ACCO in physical

condition satisfactory to the Commissioner. The successful bidder does not need

to return the bid documents to the ACCO in order to request return of its deposit.

E. Additional Copies. Additional copies of the IFB may be obtained, subject to the

conditions set forth in the Advertisement for Bids.

3 (rev. 8.21.15) Part A(3)

6. PRE-BID CONFERENCE

A. The Department shall hold a pre-bid conference on the date and time and at the

location set forth on the IFB Cover Page/Summary.

B. Bidder attendance at this pre-bid conference is optional unless the IFB Cover

Page/Summary or Schedule A specifies that attendance is mandatory. Failure to

attend a mandatory pre-bid conference shall be grounds for rejection of a bid.

C. Nothing stated at the pre-bid conference shall change the terms and conditions of

this IFB unless a change is made by the ACCO by issuing a written addendum

amending its terms, as provided in Section 8 below and in accordance with the PPB

Rules.

D. Please notify the Agency Contact Person listed on the Cover Page/Summary of the

number of representatives from your firm that will attend the pre-bid conference at

least five (5) City working days before the date of the conference.

7. AGENCY CONTACT PERSON

A. Any requests for additional technical information relating to this bid solicitation

shall be made in writing and addressed to the Agency Contact Person identified on

the Cover Page/Summary. Should DEP determine that it is necessary or desirable

to respond to an information request, all prospective bidders that have received a

copy of this IFB will receive the Department’s response in the form of an addendum

to the IFB issued by the ACCO, as described in Section 8 (unless the response is

simply to refer the requester to a particular section of the IFB). No responses will

be provided to requests for information by phone.

B. Requests for interpretation or correction, which will ultimately be considered by

the ACCO as discussed in Section 8 below, should also be directed, in writing, to

the Agency Contact Person, as should questions about VENDEX requirements or

other bid procedures, bonding, insurance or prevailing wages.

8. EXAMINATION OF PROPOSED CONTRACT

A. Request for Interpretation or Correction. Prospective bidders must examine

the IFB documents carefully and, before bidding, must submit to the Agency

Contact Person a written request for an interpretation or correction of every

ambiguity, inconsistency or error therein that should have been discovered by a

reasonably prudent bidder. Any such interpretation or correction deemed

necessary, as well as any additional Contract provisions the ACCO may decide to

include, will be issued in writing by the ACCO as an addendum to the IFB, which

will be sent by mail, facsimile or delivery service to each party recorded as having

received a copy of the IFB, and which also will be posted at the place where the

IFB was made available for the inspection of prospective bidders. Upon such

mailing, faxing or delivery and posting, such addendum shall become a part of the

IFB and the Contract, and binding on all bidders, whether or not actual notice of

such addendum can be shown.

4 (rev. 8.21.15) Part A(3)

B. Only the Agency Chief Contracting Officer’s Interpretation or Correction

Binding. Only the written interpretation or correction given by the ACCO shall

be binding, and prospective bidders are warned that no other officer, agent or

employee of the City is authorized to give information concerning, or to explain or

interpret, the Contract documents.

9. FORM OF BID

A. Each bid must be submitted upon the prescribed Bid Form (included in Part B(1)).

B. It shall be properly signed, in ink, by an authorized representative of the bidder and

such authorized representative must verify by written oath that the several matters

stated and information furnished therein are in all aspects true and complete.

C. The bid must be accompanied by an executed Tax Affirmation, in the form included

in the Bid Form, and an executed Iran Divestment Certification, in the form

included in Part B(4) (see Notice to Bidders included in Part A(2) of the IFB,

explaining the Iran Divestment Certification requirement).

D. Bidders must use the Bid Schedule of Prices in Part B for their unit price quotations

and projected total costs for the term of the Contract, or as otherwise directed on

the Bid Schedule of Prices. If the bid price (or anything else on a bid submission

document) has been changed or erased, the alterations must be initialed in ink,

beside the changed or erased item, by the authorized signatory for the bidder. If the

alteration has not been initialed in ink, and can be severed from the other items in

the bid, then that particular item by itself may be considered non-responsive.

E. A materially false statement willfully or fraudulently made in connection with the

bid or any of the forms completed and submitted with the bid may result in the

termination of any contract between the City and the bidder. As a result, the bidder

may be found non-responsible in connection with future City contracts as well as

be subject to possible criminal prosecution.

F. The receipt of any Addenda amending the Contract documents shall be

acknowledged by the bidder in its bid submission, on the form included in Part B(2)

of the IFB.

G. Each bidder shall submit its bid typewritten or written legibly in ink and a duly

authorized officer or representative shall sign the bid in ink. The signatory shall

initial in ink any and all erasures or alterations to the bid. A legible signature of

the bidder’s authorized representative must be on all bid submission documents

requiring a signature, along with all notarizations and seals that may be required.

5 (rev. 8.21.15) Part A(3)

10. SITE VISIT

A. Pre-Bid Investigation. Where the Contract involves the performance of services

on City property, all prospective bidders are urged and expected to inspect the site

where services are to be performed and to satisfy themselves as to all general and

local conditions that may affect the cost of performance of the Contract. Bidders

will be conclusively presumed to have full knowledge of any and all conditions on,

about or above the site relating to or potentially affecting the performance of the

work to be done under this Contract, which were or should have been evident to or

anticipated by a reasonably prudent bidder. In no event will a failure to inspect a

site constitute grounds for withdrawal of a bid after opening or for a claim after

award of the Contract. If necessary to gain access to visit one or more locations

where the work will be performed, bidders should contact the Agency Contact

Person specified on the IFB Cover Page/Summary.

B. Changed Conditions. Should the Contractor encounter, during the progress of the

work, subsurface conditions at the site materially differing from any shown on the

Contract Drawings or as indicated in the specifications, or such subsurface

conditions as could not reasonably have been anticipated by the Contractor and

were not anticipated by the City, which conditions will materially affect the cost of

the work to be done under the Contract, the Contractor must notify the

Commissioner immediately and before any such conditions are disturbed. If the

Commissioner finds that the conditions do so materially differ, or that they could

not reasonably have been anticipated by the Contractor and were not anticipated by

the City, the Contract may be modified with the Commissioner’s written approval.

11. IRREVOCABILITY OF BID

The price(s) set forth in the bid cannot be revoked and shall be effective until the

award of the Contract, unless the bid is withdrawn as provided for in Sections 14

and 16, below.

12. BID SAMPLES AND DESCRIPTIVE LITERATURE

Bid samples, brochures and descriptive literature shall not be submitted by the

bidder, unless expressly requested elsewhere in the IFB. Any unsolicited bid

samples or descriptive literature that are submitted shall not be examined or tested

and shall not be deemed to vary any of the provisions of this IFB. DEP may

discard them without liability, and they will not affect bid evaluation.

13. PROPRIETARY INFORMATION/TRADE SECRETS

A. The bidder shall clearly identify any portions of its bid that it desires to remain

confidential, by stamping the pages on which such information appears, at the top

and bottom thereof, with the word “Confidential,” and must provide justification of

why such materials should not be disclosed by the City. Such materials stamped

“Confidential” must be easily separable from the non-confidential sections of the

bid.

6 (rev. 8.21.15) Part A(3)

B. All such materials so identified shall be reviewed by the Department and any

decision not to honor a request for confidentiality shall be communicated in writing

to the bidder. For those bids which are unsuccessful, all such confidential materials

shall be returned to the bidder, with the exception of one copy that the City will

retain and hold in a secure manner to the extent reasonably possible. Prices,

makes, models or catalog numbers of the items offered, delivery terms, and terms

of payment shall be publicly available after bid opening regardless of any

designation of confidentiality made by the bidder.

14. PRE-OPENING MODIFICATION OR WITHDRAWAL OF BIDS

A. A bid may be modified or withdrawn by written notice received in the office of the

Agency Chief Contracting Officer, 59-17 Junction Blvd, Flushing, 17th floor, New

York, NY 11373, before the time and date set for the bid opening.

B. If a bid is withdrawn in accordance with this Section, the bid security, if any, shall

be returned to the bidder.

15. LATE BIDS, LATE WITHDRAWAL AND LATE MODIFICATIONS

A. Any bid received at the place designated on the Cover Page/Summary after the time

and date set for receipt of bids is late and shall not be considered. Any request for

withdrawal or modification of a bid received at the place designated on the Cover

Page/Summary after the time and date set for receipt of bids is late and shall not be

considered.

B. The only exception to Section 15(A) is that a late modification of a successful bid

that makes the bid terms more favorable to the City shall be considered at any time

it is received and may be accepted upon written approval of the ACCO.

16. WITHDRAWAL OF BIDS

Except as provided for in Section 14 above, a bidder may not withdraw its bid

before the expiration of forty-five (45) days after the date of opening of bids;

thereafter, a bidder may withdraw its bid only in a writing that is received by the

ACCO in advance of an actual Contract award.

17. MISTAKES IN BIDS

A. Mistakes Discovered Before Bid Opening. A bidder may correct mistakes

discovered before the time and date set for bid opening by withdrawing or

correcting the bid as provided in Section 14 above.

B. Mistakes Discovered Before Award. The PPB Rules in effect at the time of the

bid opening apply to mistakes in bids.

7 (rev. 8.21.15) Part A(3)

C. Mistakes Discovered After Award. Mistakes shall not be corrected after award

of the Contract except where the ACCO, subject to the approval of City Chief

Procurement Officer (the “CCPO”), makes a determination that it would be

unconscionable not to allow the mistake to be corrected.

D. Determinations Required. When a bid is corrected or withdrawn, or a request for

correction or withdrawal is denied, the ACCO shall prepare a determination

showing that the relief was granted or denied in accordance with the PPB Rules.

18. TIED LOW BIDS

When two or more low responsive bids from responsible bidders are identical in

price, meeting all the requirements and criteria set forth in the IFB, and the selection

of the winning bidder is to be based on price alone, the ACCO will break the tie in

the order of priority set forth in Section 3-02(p) of the PPB Rules, as such provision

may be amended from time to time.

19. REJECTION OF BIDS

A. Rejection of Individual Bids. The ACCO may reject a bid if:

(i) the bidder fails to furnish any of the information required pursuant to the

IFB; or if

(ii) the bidder is determined to be non-responsible pursuant to the PPB Rules;

or if

(iii) the bid is determined to be non-responsive pursuant to the PPB Rules; or if

(iv) the bid, in the opinion of the ACCO, contains unbalanced bid prices and is

thus non-responsive, unless the bidder can show that the prices are not

unbalanced for the probable required quantity of such items, or if the

imbalance is corrected pursuant to the PPB Rules.

B. Rejection of All Bids. The ACCO may reject all bids and may elect to re-solicit

by IFB or by other method authorized by the PPB Rules.

20. RIGHT TO APPEAL DETERMINATION OF NON-RESPONSIVENESS OR NON-

RESPONSIBILITY AND RIGHT TO PROTEST SOLICITATION AND AWARD

A bidder has the right to appeal a determination of its non-responsiveness or non-

responsibility and has the right to protest a solicitation and award to another bidder,

pursuant to the PPB Rules.

8 (rev. 8.21.15) Part A(3)

21. BID EVALUATION AND CONTRACT AWARD

A. In accordance with the New York City Charter, the PPB Rules and the terms and

conditions of this IFB, this Contract shall be awarded, if at all, to the responsible

bidder whose bid meets the requirements and evaluation criteria set forth in the bid

documents, and either (i) whose bid price is either the lowest price, or, if the bid

documents so state, the lowest evaluated bid price; or (ii) whose bid represents the

best value to the City by optimizing quality, cost and efficiency. If award will be

made on the basis of best value to the City, the IFB will so specify, and the Contract

Documents will specify how best value will be determined in accordance with

Section 3-02(o) of the PPB Rules, as that provision may be amended from time to

time. A bid may not be evaluated for any requirement or criterion that is not

disclosed in the bid documents.

B. Award Based Upon Best Value To City. Pursuant to recent amendments to State

law, purchase contracts subject to General Municipal Law §103 (including

contracts for service work, but excluding any purchase contracts necessary for the

completion of a public works contract pursuant to Article 8 of the New York State

Labor Law) shall be awarded on the basis of best value as defined in the State

Finance Law §163. New York State Finance Law §163(1)(j) defines “best value”

as that bid or offer that optimizes quality, cost, and efficiency.

Accordingly, this Contract may be awarded on the basis of best value to the City,

which will be determined to be the lowest responsive and responsible bidder,

provided however that the Mayor may, pursuant to Charter §313(b)(2), direct the

Agency to award this Contract to other than the low bidder in the best interests of

the City by determining, in writing, that another bid optimizes quality, cost and

efficiency and is thus the best value to the City.

An award to other than the low bidder may only be made to a bidder whose bid is

within ten percent (10%) of the lowest responsive and responsible bid.

D. Evaluated Bid Prices. If DEP has included any combination of lump sum items,

unit price items, and allowances as part of the bid request, a “Total Estimated Bid

Price” will be used to compare the amount of bids.

(i) The Total Estimated Bid Price will be the sum of: (a) each lump sum bid

amount; (b) each unit price bid amount multiplied by DEP’s estimate of the

quantities required; and (c) each allowance amount.

(ii) This Total Estimated Bid Price will be used solely to compare bid amounts

to determine the lowest bidder. DEP does not promise: (a) to pay the

bidder this Total Estimated Bid Price; (b) to require the bidder to provide

any specific lump sum item; (c) to require the bidder to provide any unit

price items; (d) to require the bidder to provide DEP’s estimated number of

unit price items needed; or (e) to require any of the items for which an

allowance is given.

9 (rev. 8.21.15) Part A(3)

E. No negotiations with any bidder shall be allowed to take place except under the

circumstances and in the manner set forth below. Nothing in this Section shall be

deemed to permit a Contract award to a bidder submitting a higher quality item than

that specified in the IFB if that bid is not also the most favorable bid.

F. Upon determination of the apparent successful bidder and prior to award, the

ACCO may elect to open negotiations with the apparent successful bidder in an

effort to improve the bid from the City’s perspective with respect to the price only.

In the event such apparent successful bidder declines to negotiate, the Agency may

elect to either award the Contract to that bidder or may, upon written approval by

the ACCO, reject all bids in accordance with the PPB Rules.

22. BIDDER QUALIFICATIONS - EVIDENCE OF ABILITY AND FINANCIAL

QUALIFICATIONS

A. Before or after Contract award, the City reserves the right to inspect the premises

where services are to be performed, or that the bidder may utilize in providing goods

required under the Contract.

B. The bidder shall, upon request, submit evidence that will prove to the satisfaction

of the Commissioner that the bidder is qualified and able to furnish the goods and/or

services on which it bid at the bid price (e.g., a bid breakdown) and that it can

perform the services and/or provide the goods in the manner and time specified in

the Contract. The bidder shall also furnish evidence satisfactory to DEP that it has

secured the necessary licenses, permits or certificates required by any legislative or

regulatory body having jurisdiction, to carry on the business of furnishing the

services and/or goods on which the bid was submitted, and must produce copies or

originals of the necessary licenses and other documents upon request.

C. Contractors that do business with the Department are required to submit complete

financial statements once a year. Preferably, DEP requests the firm’s annual

financial statement prepared by a certified public accountant, which should include,

without limitation, a certified balance sheet, revenue and expense sheet, and fixed

and capital assets. If DEP has no record of having received an apparent low

bidder’s current financial statement, a DEP representative will contact the bidder,

which will be responsible for submitting this information within five (5) days of the

request.

D. If the evidence required by Subsections 22(B) and (C) above is not furnished, or if,

upon examination of such evidence or other inspection of the bidder's plant or

premises, it is found that the bidder does not comply with the requirements set forth

in this IFB, the Commissioner shall have the right to reject the bid in whole or in

part. Should the noncompliance be discovered after the award is made, the

Commissioner shall have the right to cancel and terminate this Contract and/or

declare the Contractor in default, in addition to any other remedies provided by the

Contract or at law or in equity.

10 (rev. 8.21.15) Part A(3)

E. In addition to any other requirement of this IFB, the Commissioner may request an

officer or principal of the bidder to submit a sworn statement or submit to an oral

examination setting forth such information as may be deemed necessary by the

Commissioner to determine the bidder's ability and responsibility (as defined in the

PPB Rules) to perform the work and/or supply the goods in accordance with the

Contract.

i) At its own expense, the bidder may arrange for a stenographer to take

written notes of the oral examination.

ii) If the bidder does not arrange for a stenographer, DEP has the option of

engaging a stenographer itself.

iii) If a stenographic record is made, each representative of the bidder who was

orally examined must sign and verify the resulting stenographic transcript,

noting on the transcript any corrections that person may deem appropriate.

iv) If the bidder has engaged a stenographer, the bidder must provide DEP with

an accurate transcript of the oral examination at no charge.

v) If DEP has engaged a stenographer, DEP will provide the bidder with an

accurate transcript of the oral examination at cost.

23. VENDEX QUESTIONNAIRES AND FEES

A. New York City Administrative Code Section 6-116.2 and the PPB Rules require

that if this bid is one hundred thousand dollars ($100,000) or more, or if this bid,

when added to the sum total value of all contracts, concessions and franchises the

bidder has received from the City, and any subcontracts the bidder has entered into

with a City contractor, within the past twelve (12) months equals or exceeds one

hundred thousand dollars ($100,000) then VENDEX Questionnaires, or, if

applicable, a Certification of No Change, must be completed by the bidder. The

VENDEX Questionnaires consist of a Business Entity Questionnaire and a

Principal Questionnaire, both of which are included in Part E of this IFB. The

VENDEX Questionnaires or the Certification of No Change must be completed and

submitted directly to the Mayor’s Office of Contract Services (“MOCS”) before

any award of the Contract may be made (or before an approval is given for a

proposed subcontractor). Information provided on VENDEX Questionnaires is

subject to review by the City’s Department of Investigation. Detailed instructions

regarding the completion of VENDEX Questionnaires are included in Part E of this

IFB. The VENDEX Memorandum form included in Part E must be completed by

the apparent low bidder and submitted to the ACCO’s office upon notification by

DEP, certifying that the necessary questionnaires or a VENDEX Certification of

No Change, as applicable, have been submitted to MOCS. Non- compliance with

these submission requirements may result in the rejection of the bid, disapproval of

a proposed subcontractor, subsequent withdrawal of approval for the use of an

approved subcontractor, or the cancellation of the Contract after its award.

11 (rev. 8.21.15) Part A(3)

Questionnaires need be completed only once every three (3) years, so long as a

prospective contractor, prior to the award, certifies that there has been no material

changes in the information previously submitted in a Certification of No Change.

Any questions concerning the VENDEX Questionnaires must be submitted to the

ACCO.

B. VENDEX Fees. Pursuant to PPB Rules Section 2-08(f)(2), the contractor will be

charged a fee for the administration of the VENDEX system, including the Vendor

Name Check process, if a Vendor Name Check is required to be conducted by the

City Department of Investigation. The contractor shall also be required to pay the

applicable required fees for any of its subcontractors for which Vendor Name

Check reviews are required. The fee(s) will be deducted from payments made to

the contractor under the Contract. For contracts with an estimated value of less

than or equal to one million dollars ($1,000,000), the fee will be one hundred and

seventy-five dollars ($175). For contracts with an estimated value of greater than

one million dollars ($1,000,000), the fee will be three hundred and fifty dollars

($350).

24. COMPLAINTS ABOUT BID PROCESS

The New York City Comptroller is charged with the audit of contracts in New York

City. Any vendor who believes that there has been unfairness, favoritism or

impropriety in the bid process should inform the Comptroller, Office of Contract

Administration, One Centre Street, Room 1005, New York, NY 10007, telephone

number (212) 669-2323.

25. BID, PERFORMANCE AND PAYMENT SECURITY

A. General. The Agency may require bid, performance or payment security, or all

three, on any Supply and Service Contract for the provision of goods and/or services

(see Schedule A located in Part A of this IFB).

B. Bid Security. Each bid must be accompanied by bid security in an amount and

type as specified in Schedule A (see Part A(4)). The bid security shall assure the

City of the adherence of the bidder to its bid, the execution of the Contract if

awarded and the furnishing of performance and payment bonds by the Contractor,

if required. If a bid does not comply with the bid security requirements of this IFB,

the bid shall be rejected as non-responsive.

C. Bid security will be returned to bidders as follows:

(i) Within ten (10) days after the bid opening, the Comptroller will be notified

to return the bid securities of all but the three (3) lowest bidders. Within

five (5) days after the award, the Comptroller will be notified to return the

bid securities of the remaining two (2) unsuccessful bidders.

12 (rev. 8.21.15) Part A(3)

(ii) Within five (5) days after the execution of the Contract and acceptance of

the Contractor's bonds, the Comptroller will be notified to return the bid

security of the successful bidder or, if no performance and payment bonds

are required, the Comptroller will be notified to return the bid security only

after the sum retained under applicable provisions of the Contract equals the

bid security.

(iii) Where all bids are rejected, the Comptroller will be notified to return the

bid security of all bidders at the time of rejection.

D. Performance and Payment Security. The performance and payment security, if

required under the IFB and in the amounts specified in Schedule A (see Part A(4)),

shall be delivered by the Contractor to the Department within ten (10) days after

the receipt of a Notice of Award. If a Contractor fails to deliver the required

performance and payment security, then the award shall be rescinded, its bid

security shall be enforced and the award of the Contract may be made to the next

lowest responsive and responsible bidder or the Contract may be rebid.

E. Acceptable Security. Acceptable security for bids, performance and payment

shall be limited to:

(i) a one-time bond in a form satisfactory to the City (the bidder must use the

forms included in this IFB);

(ii) a bank-certified check or money order; or

(iii) City bonds.

F. Form of Bonds. Security provided in the form of bonds must be prepared on the

form of bonds authorized by the City. Forms for bid, performance and payment

bonds are included in the IFB (see Part B for bid bond form, and Part E for payment

and performance bond forms). Such bonds must have, as surety thereunder, a

surety company or companies approved by the City and authorized to do business

in the State of New York.

G. Powers of Attorney. Attorneys-in-fact who sign bid, performance or payment

bonds must file with each bond a certified copy of their power of attorney to sign

said bond.

26. INSURANCE

Bidders are advised that the insurance requirements in this IFB are regarded as a

material term of this Contract. During performance and up to the date of final

acceptance of the work under this Contract, including any maintenance and

guaranty period, the Contractor must maintain in effect, with insurance companies

that may lawfully issue the required policy, the types and amounts of insurance

specified in Schedule A (see Part A(4)) of this Invitation for Bids. Pursuant to

Section 57 of the New York State Worker’s Compensation Law, the bidder must

13 (rev. 8.21.15) Part A(3)

submit proof of worker's compensation and disability benefits coverage to the

ACCO prior to the execution of any Contract resulting from this solicitation. ALL

other required insurance documentation must be submitted prior to commencement

of any work under this Contract.

27. FAILURE TO EXECUTE CONTRACT OR FURNISH SECURITY OR INSURANCE

If the successful bidder fails to execute the Contract and furnish any required security

and insurance, or to make any other submission required hereunder, within ten (10)

days after Notice of Award of the Contract is issued, the bid security of the successful

bidder, or so much thereof as shall be applicable to the amount of the award made,

and its Bid Book Deposit, shall be forfeited and retained by the City, and such bidder

shall be liable for and agrees, by submission of a bid, to pay on demand the difference

between the price bid and the price for which such Contract shall be subsequently

awarded, including the cost of any reletting, less the amount of such bid security. No

plea of mistake in such accepted bid shall be available to the bidder for the recovery

of the bid security or as a defense to any action based upon such accepted bid.

Further, should the bidder's failure to comply with this Section cause any funding

agency, body or group (federal, State, City, public, private, etc.) to terminate, cancel

or reduce the funding for this Contract, the bidder in such event shall also be liable

to the City for the amount of actual funding withdrawn by such agency, body or group

for this Contract, less the amount of the forfeited bid security.

28. CITY’S LIMITED TAX EXEMPTION

Unless this Contract indicates otherwise, the City is exempt from the payment of

federal, State and local taxes on tangible personal property sold to the City pursuant

to the Contract. The bid price(s) must be exclusive of such taxes and shall be so

construed. Bidders should carefully read Article 55 of the Supply and Service

Contract (Part D).

29. DEPARTMENT OF SMALL BUSINESS SERVICES, DIVISION OF LABOR

SERVICES (EMPLOYMENT REPORT)

A. In accordance with New York City Executive Order No. 50 (1980), as modified by

Executive Order Nos. 94 and 108 (1986) and Executive Order No. 159 of 2011, and

all implementing rules and regulations, the filing of a completed Employment

Report (“ER”) is a requirement of doing business with the City of New York if:

(i) the bidder has been identified as the apparent successful bidder for

a supply or service contract or its bid for supplies or services has

been accepted; and

(ii) the Contract value exceeds one hundred thousand dollars

($100,000); and

(iii) the firm employs fifty (50) or more people.

14 (rev. 8.21.15) Part A(3)

B. Each apparent successful bidder must file an ER if it meets each of these conditions.

If the bidder meets conditions (i) and (ii) but has less than fifty (50) employees, the

“Less Than 50 Employees Certificate” form (included in Part E of the IFB) must

be filed. In addition, suppliers and subcontractors performing under the Contract

that meet conditions

C. (ii) and (iii) above, must also file an ER. Instructions from the City Department of

Small Business Services, Division of Labor Services, for completing this form are

included with the form in Part E of this IFB. The ER shall be submitted by the

apparent low bidder under separate cover, upon request by DEP.

30. AFFIRMATIVE ACTION, EQUAL EMPLOYMENT OPPORTUNITY, AND

REQUIREMENTS FOR PARTICIPATION BY MINORITY-OWNED AND WOMEN-

OWNED BUSINESS ENTERPRISES (M/WBEs)

A. This bid solicitation is subject to Section 6-129 of the New York City

Administrative Code (the City’s Minority-Owned/Women-Owned Business

Enterprise (“M/WBE”) and Emerging Business Enterprise (“EBE”) program), if

the IFB Cover Page/Summary indicates that New York City Local Law No. 1 of

2013 (“LL 1”) will be enforced on this Contract, as well as to applicable provisions

of federal, State and other local laws and executive orders requiring affirmative

action and equal employment opportunity. See the Notice to Prospective Bidders

re the City’s M/WBE requirements, included in Part A if applicable.

B. If the IFB Cover Page/Summary indicates that New York State M/WBE

requirements will be enforced (“NYS/MWBE”), then Administrative Code Section

6-129 will not apply.

31. PROMPT PAYMENT

A. The Prompt Payment provisions set forth in the PPB Rules in effect at the time of

this solicitation will be applicable to payments made under a Contract resulting

from this solicitation. The provisions require the payment to contractors of interest

on payments made after the required payment date, except as set forth in the PPB

Rules.

B. The Contractor must submit a proper invoice to receive payment, except where the

Contract provides that the Contractor will be paid at predetermined intervals

without having to submit an invoice for each scheduled payment.

32. APPROVAL OF CONTRACT

A. This Contract shall not be binding or be of any force or effect unless, after it has

been signed by both the Contractor and DEP, it has been registered pursuant to

Section 328 of the City Charter and the Comptroller shall have endorsed his/her

certificate that there remains unexpended and unapplied a balance of appropriated

funds applicable hereto sufficient to pay the estimated expense of executing this

Contract.

15 (rev. 8.21.15) Part A(3)

B. The requirements of this Section shall be in addition to, and not in lieu of, any

approval or authorization otherwise required for this Contract to be effective and

for the expenditure of City funds. This Contract shall continue in force only after

annual appropriation of funds by the City and certification as hereinabove set forth.

33. PREVAILING WAGES/LABOR LAW COMPLIANCE

A. The Contractor and any subcontractors it engages will be required to comply, if

applicable, with Section 220/230 of the New York State Labor Law, Section 6- 109

of the New York City Administrative Code (the “Living Wage Law”), Mayoral

Executive Order 102 of 2006, and with all other federal State, and local labor laws

and regulations, including but not limited to providing on-the-job training

opportunities and payment of prevailing wages and living wages.

B. Section 220 of the New York State Labor Law requires payment of the prevailing

rate of wages when a public agency contract involves the employment of laborers,

workers, or mechanics and concerns a public work. Public works projects are, as

a general matter, public construction projects.

C. Labor Law Section 231 requires prevailing wages to be paid to each service

employee under a contract whose “principal purpose” is to furnish services through

the use of building service employees. Labor Law Section 230(1) defines "building

service employee" or "employee" as “any person performing work in connection

with the care or maintenance of an existing building, or in connection with the

transportation of office furniture or equipment to or from such building, or in

connection with the transportation and delivery of fossil fuel to such building.”

Labor Law Section 231 does not require the payment of prevailing wages to service

employees if the principal purpose of the Contract is not to furnish services

provided by building services employees.

34. REQUIRED CERTIFICATION BY NON-GOVERNMENTAL ENTITY OR

MEMBERSHIP IN NON-GOVERNMENTAL ORGANIZATION

If the Specifications or other Contract Documents include any requirements of

certification by, or membership in, a nongovernmental entity or organization, this

shall be deemed to mean such certification or membership or possession of

equivalent qualifications or characteristics as determined by the Commissioner,

is required. The foregoing shall not be construed to be a waiver of any legally

required federal, state or local certification or licensing requirement, nor shall it

apply where certification by the manufacturer of materials or equipment is called

for.

16 (rev. 8.21.15) Part A(3)

35. ELECTRONIC FUNDS TRANSFER

In accordance with Section 6-107.1 of the New York City Administrative Code, the

Contract requires the Contractor to accept Contract payments from the City by

Electronic Funds Transfer (“EFT”). If the Contractor is already registered with the

City for EFT payment, no action is necessary. If not, the “EFT Vendor Payment

Enrollment Form” found in Part E(5) of this IFB must be submitted by the apparent

successful bidder upon request by DEP.

36. NON-DISCRIMINATION

The Contract to be awarded is subject to the requirements of City Executive Orders

50 (1980), 94 and 108 (1986) and 159 (2011) and all implementing rules and

regulations.

37. MACBRIDE PRINCIPLES

The Contract to be awarded is subject to the MacBride Principles, as set forth in

Section 6-115.1 of the City Administrative Code, which impose certain restrictions

on City contractors to encourage companies doing business in Northern Ireland to

promote freedom of workplace opportunity. See Article 71 of the Supply and

Service Contract (in Part D).

CONTRACT NO. DEL-360: BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

SUPPLY AND SERVICE CONTRACT SCHEDULE “A”

DEP Supply and Service Contract Schedule A: October 10, 2017 Part A(4)

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SCHEDULE A

(Bonding, Insurance and Other Contract-Specific Requirements)

CONTRACT NO. DEL-360: BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

SUPPLY AND SERVICE CONTRACT SCHEDULE “A”

DEP Supply and Service Contract Schedule A: October 10, 2017 Part A(4)

Page 2 of 9

REFERENCE ITEM REQUIREMENTS

Section 25 of Information for Bidders;

Part A(3) of IFB: Bid Bond form

Bid Security

or

Bid Bond

5% of Bid

Section 25 of Information for Bidders;

Parts E(7) and E(8) of IFB: Payment and Performance Bond forms

The Contractor shall obtain performance and payment bonds in the amount indicated to the right.

N/A of Bid

Article 6 of Agreement Period of Performance (term of Contract)

730 Consecutive Calendar Days

Section(s) H and L of Detailed Specifications

Manufacturer’s warranties of materials for specified periods

Material Length of warranty Section

Operator Workstations: -Desktop 3 year H-1.1

-Thin Client Limited H-1.2

Monitor stands 5 year H-1.3

48-Port Managed Switch Lifetime L-1.2(A)

24-Port Managed Switch Lifetime L-1.2(B)

Power Distribution Units 2 year L-1.2(C)

LED Video Monitors 3 year L-1.2(G)

Belkin Docking Station 2 year L-1.2(H)(1)(z)

16-Port Ethernet Switch Lifetime L-1.2(J)

Section(s) B-1.2 of Detailed Specifications

Eligibility requirements for award of Contract

Eligibility requirements include having a minimum of five (5) years of experience, for the Contractor or its personnel, performing similar Work (in scope and magnitude) as that described in the Specifications.

Article 7 of Agreement Renewal option _ N/A_ Year(s)

Article 8 of Agreement;

Section(s) A-1.14 of Detailed Specifications

Liquidated Damages

$ 100 for each consecutive calendar day, or fraction thereof, of failure to complete all Contract Work by calendar day 730 , until Work is complete.

CONTRACT NO. DEL-360: BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

SUPPLY AND SERVICE CONTRACT SCHEDULE “A”

DEP Supply and Service Contract Schedule A: October 10, 2017 Part A(4)

Page 3 of 9

REFERENCE ITEM REQUIREMENTS

Article 11 of Agreement Subcontracting Not to exceed 40 % of the total Contract amount

Article 14 of Agreement Retained Percentage 5 % of Voucher

Article 15 of Agreement See the following pages of this Schedule A for Insurance requirements.

Article 18 of Agreement Maintenance and Guaranty Security 1 % of total Contract amount

Article 18 of Agreement Guaranty Period 1 Year(s)

Article 37 of Agreement Partial Payment X will be allowed

will not be allowed

CONTRACT NO. DEL-360: BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

SUPPLY AND SERVICE CONTRACT SCHEDULE “A”

DEP Supply and Service Contract Schedule A: October 10, 2017 Part A(4)

Page 4 of 9

TYPES OF INSURANCE, MINIMUM LIMITS AND SPECIAL CONDITIONS

Note: All certificate(s) of insurance submitted pursuant to Article 15(C)(2) must be accompanied by a Certification of Broker consistent with the form at the end of this Schedule A and must include the following information:

• For each insurance policy, the name and NAIC number of issuing company, number of policy,and effective dates;

• Policy limits consistent with the requirements listed below;

• Additional insureds or loss payees consistent with the requirements listed below; and

• The number assigned to the Contract by the City (in the “Description of Operations” field).

All such certificate(s) of insurance (including Certification(s) of Broker, where required) must be sent to the New York City Department of Environmental Protection, Agency Chief Contracting Officer, ATTN: Contract Management Office (INSURANCE), 17th Floor, 59-17 Junction Boulevard, Corona, New York 11368.

Insurance indicated by a blackened box (■) or by X in a □ to left will be required under this Contract.

Types of Insurance (per Article 15 in its entirety, including listed

paragraph)

Minimum Limits and Special Conditions

■Commercial General Liability Art. 15(A)(1) $ 2,000,000 per occurrence

$ 4,000,000 aggregate

Additional Insureds: 1. City of New York, including its officials and

employees, with coverage at least as broad as ISO Forms CG 20 10 and CG 20 37.

2.

3.

CONTRACT NO. DEL-360: BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

SUPPLY AND SERVICE CONTRACT SCHEDULE “A”

DEP Supply and Service Contract Schedule A: October 10, 2017 Part A(4)

Page 5 of 9

Types of Insurance (per Article 15 in its entirety, including listed

paragraph)

Minimum Limits and Special Conditions

■ Workers’ Compensation ......................Art. 15(A)(2)

■ Disability Benefits Insurance...............Art. 15(A)(2)

■ Employers’ Liability ............................Art. 15(A)(2)

□ Jones Act..............................................Art. 15(A)(3)

□ U.S. Longshoremen’s and HarborWorkers Compensation Act.................Art. 15(A)(3)

Workers’ Compensation, Employers’ Liability, and Disability Benefits Insurance: Statutory per New York State law without regard to jurisdiction.

Note: New York State Workers’ Compensation Board form C-105.2, State Insurance Fund form U-26.3, and Request for WC/DB Exemption form CE-200 are acceptable for Workers’ Compensation Insurance. For Disability Benefits, submit form DB-120.1 or Request for WC/DB Exemption (form CE-200). ACORD forms are not acceptable for proof of Workers’ Compensation or Disability Benefits Insurance.

Jones Act and U.S. Longshoremen’s and Harbor Workers’ Compensation Act: Statutory per U.S. law.

■ Commercial Auto Liability ..................Art. 15(A)(4) $ 1,000,000 per accident combined single limit

If vehicles are used for transporting hazardous materials, the Contractor shall provide pollution liability broadened coverage for covered autos (endorsement CA 99 48) as well as proof of MCS 90.

□ Contractors Pollution Liability ............Art. 15(A)(5) $ per occurrence

$ aggregate

Additional Insureds: 1. City of New York, including its officials and

employees.

2.

3.

CONTRACT NO. DEL-360: BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

SUPPLY AND SERVICE CONTRACT SCHEDULE “A”

DEP Supply and Service Contract Schedule A: October 10, 2017 Part A(4)

Page 6 of 9

Types of Insurance (per Article 15 in its entirety, including listed

paragraph)

Minimum Limits and Special Conditions

□ Marine Protection and Indemnity ... Art. 15(A)(6)(a) $ per occurrence

$ aggregate

Additional Insureds: 1. City of New York, including its officials and

employees.

2.

3.

□ Hull and Machinery Insurance........ Art. 15(A)(6)(b) $ per occurrence

$ aggregate

Additional Insureds: 1. City of New York, including its officials and

employees.

2.

3.

□ Marine Pollution Liability .............. Art. 15(A)(6)(c) $ per occurrence

$ aggregate

Additional Insureds: 1. City of New York, including its officials and

employees.

2.

3.

□ Professional Liability Insurance ..........Art. 15(A)(7) $ per occurrence/claim

$ aggregate

□ Personal Property Insurance ................Art. 15(A)(8) $ per occurrence

$ aggregate

CONTRACT NO. DEL-360: BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

SUPPLY AND SERVICE CONTRACT SCHEDULE “A”

DEP Supply and Service Contract Schedule A: October 10, 2017 Part A(4)

Page 7 of 9

Types of Insurance (per Article 15 in its entirety, including listed

paragraph)

Minimum Limits and Special Conditions

[OTHER]....................................................Art. 15(A)(9)

□ [If other type(s) of insurance need to be required under the Contract, (a) check the box and fill in the type of insurance in left-hand column, and (b) in this right-hand column, specify appropriate limit(s) and appropriate Named Insured and Additional Insured(s). Note that if Railroad Protective Liability Insurance is required, the appropriate Named Insured is the owner of the railroad and there are no additional insureds.]

[OTHER]....................................................Art. 15(A)(9)

□ [See directly above.]

CONTRACT NO. DEL-360: BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

SUPPLY AND SERVICE CONTRACT SCHEDULE “A”

DEP Supply and Service Contract Schedule A: October 10, 2017 Part A(4)

Page 8 of 9

CERTIFICATES OF INSURANCE

Instructions to New York City Agencies, Departments, and Offices

All certificates of insurance (except certificates of insurance solely evidencing Worker’s Compensation Insurance, Employer’s Liability Insurance, and/or Disability Benefits Insurance) must be accompanied by one of the following:

(1) the Certification by Insurance broker or Agent on the following page setting forth the required information and signatures;

-- OR –

(2) copies of all policies as certified by an authorized representative of the issuing insurance carrier that are referenced in such certificate of insurance. If any policy is not available at the time of submission, certified binders may be submitted until such time as the policy is available, at which time a certified copy of the policy shall be submitted.

CONTRACT NO. DEL-360: BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

SUPPLY AND SERVICE CONTRACT SCHEDULE “A”

DEP Supply and Service Contract Schedule A: October 10, 2017 Part A(4)

Page 9 of 9

CITY OF NEW YORK

CERTIFICATION BY INSURANCE BROKER OR AGENT

The undersigned insurance broker or agent represents to the City of New York that the attached Certificate of Insurance is accurate in all material respects.

[Name of broker or agent (typewritten)]

[Address of broker or agent (typewritten)]

[Email address of broker or agent (typewritten)]

[Phone number/Fax number of broker or agent (typewritten)]

[Signature of authorized official, broker or agent]

[Name and title of authorized official, broker, or agent (typewritten)]

State of ...............................................) ) ss.:

County of ...........................................)

Sworn to before me this day of 20

NOTARY PUBLIC FOR THE STATE OF

NYC DEP SUPPLY AND SERVICE CONTRACT INVITATION FOR BIDS

PART B

BID SUBMISSION MATERIALS

(rev.7.16.14) Part B(1)

PART B: BID SUBMISSION MATERIALS

1. BID FORM:

(A) BIDDER INFORMATION

(B) BIDDER REPRESENTATIONS AND WARRANTIES

(C) BID SCHEDULE OF PRICES AND SIGNATURE OF BIDDER AND AFFIDAVIT

(D) TAX AFFIRMATION

2. ACKNOWLEDGEMENT OF RECEIPT OF ADDENDA

3. BID BOND FORM

4. IRAN DIVESTMENT CERTIFICATION OF COMPLIANCE FORM

NOTICE

Before bidding, bidders must review, by personal examination or such other means as they

may prefer, the nature and extent of the work required, detailed specifications, plans,

agreement and location(s) of the proposed work. Bidders must determine and allow for all

difficulties which may be encountered in the prosecution of the work.

FAILURE TO COMPLETE THIS PART B IN DETAIL MAY RESULT IN REJECTION

OF YOUR BID

The City of New York Department of Environmental Protection

Bid for Furnishing All Labor and Material Necessary and Required For:

1

DEP Bid Form for Supply and Service Contracts

2(rev.7.16.14) Part B(1)

CITY OF NEW YORK DEPARTMENT OF ENVIRONMENTAL PROTECTION BID FOR

PIN:

A. BIDDER INFORMATION

Name of Bidder:

Contact Person:

Place of Business of Bidder:

Residence of Bidder (if individual):

Telephone #: ( ) Fax #: ( )

Type of Organization (Check one): Individual Partnership Corporation Other

(Specify form of entity if “Other” )

Date of Bid: / /

Taxpayer ID# (TIN) of Bidder:

(If bidder is a partnership, fill in the following blanks)

Names of Partners Residence of Partners

(If bidder is a corporation, fill in the following blanks)

Jurisdiction and Year of Incorporation:

Names and Home Addresses of the Following Officers:

President:

Secretary:

Treasurer:

DEP Bid Form for Supply and Service Contracts

3(rev.7.16.14) Part B(1)

B. BIDDER REPRESENTATIONS AND WARRANTIES

The above-named bidder hereby certifies, affirms and declares:

1. Licenses

(a) If the bidder must be licensed by the State of New York or the City of New York

to accept the Contract, the bidder has all required licenses as of the date the bid is

submitted.

(b) If the bidder or an individual employed by the bidder will themselves perform any

part of the Contract work requiring licensing from the State of New York or the

City of New York, the bidder or that individual has all required licenses as of the

date the bid is submitted.

(c) If the bidder will engage a subcontractor to perform any part of the Contract work

requiring licensing from the State of New York or the City of New York, the

bidder will select a subcontractor that has all required licenses as of the date the

subcontract is awarded.

2. The person signing this bid (the “signatory”), is of lawful age, and is signing as an

individual bidder or as an officer or partner of a corporation, partnership, firm or

organization placing the bid. (The words "it” and "its" used to refer to a bidder also refer

to an individual bidder.) No person, corporation, partnership, firm or entity other than the

bidder named above has an interest in this bid, or in the Contract if it is awarded to the

bidder.

3. By submission of this bid, the bidder and each signatory signing on behalf of any bidder

certifies under penalty of perjury (and if the bidder is a joint venture, each joint venturer

must certify as to its own organization) that to the best of the signatory and the bidder’s

knowledge and belief:

(a) the prices in this bid have been arrived at independently without collusion,

consultation, communication, or agreement with any other bidder, competitor, or

potential competitor for the purpose of restricting competition in any way related

to those prices;

(b) unless otherwise required by law, the bidder has not knowingly disclosed the

prices that have been quoted in this bid directly or indirectly to any other bidder,

competitor, or potential competitor, and will not knowingly disclose them prior to

opening; and

(c) the bidder has made no attempt, and will make no attempt, to restrict competition

by inducing any other person, partnership, corporation or other entity to submit,

or not to submit, a bid.

4. No Councilmember or other officer or employee or person whose salary is payable in

whole or in part from the City Treasury is directly or indirectly interested in this bid, in

the supplies, materials, equipment, work or labor to which it relates, or in any of the

potential profits of the Contract to be awarded.

5. The bidder: (a) is not in arrears to the City of New York upon debt, contract, or taxes;

(b) is not a defaulter (as surety or otherwise) upon any obligation to the City of New

DEP Bid Form for Supply and Service Contracts

4(rev.7.16.14) Part B(1)

York, (c) has not been declared not responsible or disqualified by any agency of the City

of New York or State of New York from receiving public contracts; and (d) there no

pending proceeding relating to the responsibility or qualification of the bidder to receive

public Contracts. If there are any exceptions to the statements in this paragraph, the

bidder must explain those exceptions in a written statement accompanying this bid.

6. The signatory executing this document expressly warrants and represents that should this

bid be accepted by the City and the Contract awarded to the bidder, the bidder and its

subcontractors engaged in the performance of this Contract:

(a) will comply with the provisions of Section 6-108 of the Administrative Code of

the City of New York and the nondiscrimination provisions of Section 220-e of

the New York State Labor Law as set forth in greater detail in the Standard

Supply and Service Contract (Part D) and have complied with the provisions of

the aforesaid laws since their effective date; and

(b) will comply with the provisions of Section 6-109 of the Administrative Code of

the City of New York in relation to minimum wages and other specifications as

set forth in greater detail in the Standard Supply and Service Contract (Part D),

and have complied with the provisions of said Section 6-109 and any rules and

regulations applicable thereto since their respective enforcement date insofar as

applicable to the bidder and to its subcontractors; and

(c) will post notices to be furnished by the City, setting forth the requirements of the

above-mentioned laws, in prominent and conspicuous places in each and every

plant, factory, building and structure where employees engaged in the

performance of the Contract can readily view them, and will continue to keep

such notices posted until the supplies, materials and equipment, or work, labor

and services required to be furnished or rendered by the Contractor have been

finally accepted by the City.

The bidder acknowledges that if it does not conform to the requirements of this Paragraph

6, it may be subject to damages (liquidated or otherwise), termination of the Contract,

and suspension as a bidder for a period of three years.

7. The bidder: (i) acknowledges that its attention has been specifically drawn to the section

of the Contract (Part D) that contains the requirements of Executive Order No. 50, dated

April 25, 1980, on Equal Employment Compliance; and (ii) warrants that it will comply

with the provisions of Executive Order No. 50. In addition, the signatory expressly

warrants that the bidder will:

(a) if it is the apparent low bidder, submit the Employment Report pursuant to

Executive Order No. 50 within five days of request therefor by the City;

(b) comply with the provisions of the Standard Supply and Service Contract (Part D)

relating to employment practices; and

(c) afford employees of the City of New York access to such records and to the

location(s) where Contract work is being performed as may be necessary to verify

compliance with such rules, regulations, and orders.

DEP Bid Form for Supply and Service Contracts

5(rev.7.16.14) Part B(1)

8. The bidder has visited and examined the site of the required services and has carefully

examined the Contract in the form approved by the Corporation Counsel. The bidder, in

strict conformity with the Contract, will: (a) execute the Contract and perform all of its

items, covenants, and conditions; and (b) will provide, furnish and deliver all the

services, materials, supplies, tools and appliances required for the Contract work, all in

accordance with the schedule of prices appended hereto.

9. The bidder is submitting its bid upon the following express conditions, which apply to

and become part of every bid received:

(a) It has satisfied itself as to the accuracy of its Unit Prices, Lump Sum Prices, and

the Total Bid Price for all Contract work by personal examination of the location

and surrounds of the proposed Contract work and by such other means as it

prefers. The bidder understands that any Engineer’s estimate of quantities

included on the Bid Schedule of Prices is approximate only and is not to be

considered as a binding feature of the Contract, and it shall not, at any time after

submission of its bid, dispute or complain of the Engineer’s estimate(s), nor assert

that there was any misunderstanding in regard to quantity or kind of material to be

furnished or services to be provided under the Contract. No bidder error or

misunderstanding will affect the validity of the bid made or the Contract into

which the bidder enters.

(b) If the Contract calls for Unit Prices or Lump Sum Prices, DEP will pay the Unit

Prices and the Lump Sum Prices that the bidder gives below for the actual

quantities of the Bid Items given. The Unit Prices and the Lump Sum Prices must

cover the cost of all work, labor, material, tools, plant, and equipment of every

description that may be necessary to complete the entire Contract work as

specified. Should the quantities for Bid Items of Contract work or materials be

less than those required by the Bid Items, DEP will pay the Contractor only for

the quantities actually used.

10. The bidder represents and warrants that it will not utilize tropical hardwoods as defined in

Section 167-b of the New York State Finance Law in the performance of this Contract

except as expressly permitted by the foregoing provisions of law.

All material, fixtures, supplies and equipment furnished under the Contract shall be new

and unused, except as approved by the Agency or as specified and of standard first-

grade quality and the best workmanship and design. The City encourages use of recycled

products where practicable.

[No additional text on this page]

DEP Bid Form for Supply and Service Contracts

C. BID SCHEDULE OF PRICES

Part B(1)

CONTRACT NO. DEL-360

BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

BID SHEET

END OF BID SCHEDULE OF PRICES

BE SURE TO ENTER THE TOTAL OF ALL BID ITEMS ABOVE ON THE SIGNATURE PAGE

(FOLLOWING) AS THE TOTAL BID PRICE.

Contract Item Description Quantity Unit Price Total Price

1 SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE 1 Lump Sum $

A-1 MISCELLANEOUS EQUIPMENT ALLOWANCE N/A N/A $ 50,000.00

A-2 TRAVEL, MEALS, LODGING ALLOWANCE N/A N/A $ 10,000.00

TOTAL PRICE $

6

DEP Bid Form for Supply and Service Contracts

7(rev.7.16.14) Part B(1)

GRAND TOTAL BID PRICE IN FIGURES $

The Engineer’s Estimate of Quantities included in the Bid Schedule of Prices above is

approximate for bidding purposes only and is not to be considered as a binding feature of the

Contract. Bidders are required to submit their bids upon the following express conditions which

apply to and become part of every bid received. Bidders must satisfy themselves as to the

accuracy of the foregoing estimate by personal examination of the location of the proposed work

and surroundings thereof, and by such other means as they may prefer, and shall not, at any time

after submission of their bids, dispute or complain of such estimate of quantities of the

Engineer’s, nor assert that there was any misunderstanding in regard to quantity or kind of

material to be furnished or work to be done. No error or misunderstanding of the bidder shall

affect the validity of the bid made or the Contract entered into hereunder.

SIGNATURE OF BIDDER

Name of Bidder:

By:

General Partner or Authorized Corporate Officer

Print Name

Print Title

Date:

FOR CORPORATIONS ONLY: (Corporate Seal)

ATTEST:

Secretary of Corporate Bidder

Affidavit on following page must be subscribed and sworn to before a Notary Public.

DEP Bid Form for Supply and Service Contracts

8(rev.7.16.14) Part B(1)

AFFIDAVIT

STATE OF

ss:

COUNTY OF

being duly sworn, says:

(Choose only one (1) of the following three (3) options. Check box and complete.)

Individual Bidder:

I am the person described in and who executed the foregoing bid and the several

matters therein stated are in all respects true.

Corporation Bidder:

I am the of the above-named corporation

whose name is subscribed to and which executed the foregoing bid. I reside

at .

I have knowledge of the several matters therein stated, and they are in all respects

true.

Partnership Bidder:

I am a general partner of , the partnership

described in and which executed the foregoing bid. I am duly authorized to

execute this bid and the Contract on behalf of the partnership. I have knowledge

of the several matters stated in the bid and they are in all respects true.

Other Entity:

I am the of , the bidder

that is described in and executed the foregoing bid, and am duly authorized to

executed this bid and the Contract on its behalf. I have knowledge of the several

matters stated in the bid, and they are in all respects true.

NOTE: If the bidder is a Joint Venture, each member of the Joint Venture must sign a

separate Bid Total and Signature Page, with an annexed Bidder Affidavit and

Affirmation of Non- Debt

(Signature of the person who signed the bid)

Print Name:

Print Title:

Subscribed and sworn to before me this day of , 20 .

Notary Public

DEP Bid Form for Supply and Service Contracts

9(rev.7.16.14) Part B(1)

D. TAX AFFIRMATION

The undersigned bidder affirms and declares that said bidder is not in arrears to the City of New

York upon debt, contract or taxes and is not a defaulter, as surety or otherwise, upon any

obligation to the City of New York, and has not been declared not responsible, or been

disqualified from receiving public contracts, by any agency of the City of New York, nor is there

any proceeding pending relating to the responsibility or qualification of the bidder to receive

public contracts except .

Full name of bidder:

Address:

City: State: Zip Code:

CHECK ONE BOX AND INCLUDE APPROPRIATE NUMBER:

A. Individual or Sole Proprietorship *

SOCIAL SECURITY NUMBER: __________-_____-__________

B. Partnership or other Unincorporated Organization.

EMPLOYER IDENTIFICATION NUMBER: __________-_____-__________

C. Corporation

EMPLOYER IDENTIFICATION NUMBER: __________-_____-__________

D. Other (specify: )

TAXPAYER IDENTIFICATION NUMBER: __________-_____-__________

Must be signed by an officer or duly authorized representative of the bidder.

By:

Signature Title

Print Name

If a corporation place seal here:

* Under the Federal Privacy Act, 5 USC § 552a (1996), as amended from time to

time, the furnishing of Social Security Numbers by bidders on City contracts is

voluntary. Failure to provide a Social Security Number will not result in a

bidder’s disqualification. Social Security Numbers will be used to identify

bidders, to ensure their compliance with laws, to assist the City in

enforcement of laws as well as to provide the City a means of identifying

businesses which seek City contracts.

1(rev.7.16.14) Part B(2)

Part B(2) ACKNOWLEDGMENT OF ADDENDA

Name of Contract:

PIN:

[ ] The bidder did not receive any addenda in connection with this bid.

OR

[ ] The bidder received the following addenda in connection with this bid:

Addendum #1, dated , 20

Addendum #2, dated , 20

Addendum #3, dated , 20

Addendum #4, dated , 20

Addendum #5, dated , 20

[add more lines if the bidder received more than five addenda]

Bidder’s Name:

Name and Title of Bidder’s Authorized Representative [print clearly]

Signature of Bidder’s Authorized Representative

Date

1(rev.7.16.14) Part B(3)

PART B(3) BID BOND FORM

NOTE TO BIDDERS

1. Each executed bid bond shall be accompanied by:

a) appropriate acknowledgments of the respective parties; and

b) an appropriate duly certified copy of the power of attorney or other certificate of

authority where the bond is executed by agent, officer or other representative of

the principal or surety; and

c) a duly certified extract from the by-laws or a resolution of the surety under which

the power of attorney or other certificate of authority of its agent, officer or

representative was issued; and

d) a duly certified copy of the latest published financial statement of assets and

liabilities of the surety.

2. Affix acknowledgments and justification of sureties.

2(rev.7.16.14) Part B(3)

BID BOND FORM

WE,

hereinafter referred to as the “Principal,” and

,

hereinafter referred to as the “Surety” are held and firmly bound to the CITY OF NEW YORK,

hereinafter referred to as the “City,” or to its successors and assigns, in the penal sum of

Dollars

($ ) lawful money of the United States of America, for the payment of

which said sum of money well and truly to be made, we and each of us bind ourselves, our

heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these

presents.

WHEREAS, the Principal is about to submit (or has submitted) to the City the accompanying

bid, hereby made a part hereof, to enter into a contract in writing for

,

NOW, THEREFORE, the conditions of this obligation are such that if the Principal shall not

withdraw said bid without the consent of the City for a period of forty-five (45) days after the

opening of bids and, in the event of acceptance of the Principal’s bid by the City the Principal

shall:

A. Within ten (10) days after notification by the City, execute in triplicate (or as

otherwise required in the Invitation for Bids) and deliver to the City all the

executed counterparts of the Contract in the form set forth in the Contract

Documents, in accordance with the bid as accepted, and

B. Furnish a Performance Bond and a Payment Bond, as may be required by the City

for the faithful performance and proper fulfillment of the Contract, which bonds

shall be satisfactory in all respects to the City and shall be executed by good and

sufficient sureties, and

C. In all respects perform the Contract created by the acceptance of the bid as

provided in the Invitation for Bids, which is incorporated herein by reference, or

if the City shall reject the aforesaid bid then this obligation shall be null and void;

otherwise it remains in full force and effect and the Surety shall fulfill its

obligations under this Bid Bond.

3(rev.7.16.14) Part B(3)

In the event that the Principal’s bid shall be accepted by the City and the Contract awarded to it,

then the Surety hereunder agrees, subject only to the payment by the Principal of the premium

therefor, if requested by the City, to write the aforementioned Performance and Payment Bonds

in the form set forth in the Contract Documents.

It is expressly understood and agreed that the liability of the Surety for any and all claims under

this Bid Bond shall in no event exceed the penal amount of this bid as stated herein.

In the event that the City accepts the Principal’s bid, and either a Performance Bond, Payment

Bond or both will not be required by the City on or before the thirtieth day after the date on

which the City signs the Contract, there shall be no liability under the Bid Bond as to such

Performance Bond or Payment Bond.

The Surety, for value received, hereby stipulates and agrees that the obligations of the Surety and

its bond shall in no way be impaired or affected by any postponements of the date upon which

the City will receive or open bids, or by any extensions of the time within which the City may

accept the Principal’s bid, or by any waiver by the City of any of the requirements in the

Invitation for Bids documents. The Surety hereby waives notice of any such postponements,

extensions, or waivers.

IN WITNESS WHEREOF, the Principal and the Surety have hereunto set their hands and seals

and such of them as are corporations have caused their corporate seals to be hereto affixed and

these presents to be signed by their proper officers this day of

201__

(Seal) (L.S.)

Principal

By:

(Seal)

Surety

By:

(Seal)

Surety

By:

4(rev.7.16.14) Part B(3)

ACKNOWLEDGMENT OF CONTRACTOR—IF A CORPORATION

State of County of ss:

On this day of , 20 , before me personally appeared

to me known, who being by me duly sworn,

did depose and say that he /she resides at

that he/she is the of

the corporation described in and which executed the foregoing instrument; that he/she knows the

seal of said corporation; that one of the seals affixed to said instrument is such corporate seal;

that it was so affixed by order of the directors of said corporation, and that he/she signed his/her

name thereto by like order.

Notary Public

ACKNOWLEDGMENT OF CONTRACTOR—IF A PARTNERSHIP

State of County of ss:

On this day of , 20 , before me personally appeared

to me known and known to me to be a

member of the firm of

the firm described in and who executed the foregoing instrument and he/she acknowledged to me

that he/she executed the same as and for the act and deed of said firm.

Notary Public

ACKNOWLEDGMENT OF CONTRACTOR—IF AN INDIVIDUAL

State of County of ss:

On this day of , 20 , before me personally appeared

to me known and known to me to be the person described in and who executed the foregoing

instrument and he/she acknowledged to me that he/she executed same for the purpose herein

mentioned.

Notary Public

5

(rev.7.16.14) Part B(3)

BONDING COMPANY REPRESENTATIVE CONTACT INFORMATION

Name:

Address:

Telephone Number:

Email Address:

1

(rev.7.16.14) Part B(4)

BIDDER’S CERTIFICATION OF COMPLIANCE WITH

IRAN DIVESTMENT ACT

Pursuant to General Municipal Law §103-g, which generally prohibits the City from entering

into contracts with persons engaged in investment activities in the energy sector of Iran, the

bidder/proposer submits the following certification:

[Please Check One]

BIDDER’S CERTIFICATION

By submission of this bid or proposal, each bidder/proposer and each person signing on

behalf of any bidder/proposer certifies, and in the case of a joint bid each party thereto

certifies as to its own organization, under penalty of perjury, that to the best of its

knowledge and belief, that each bidder/proposer is not on the list created pursuant to

paragraph (b) of subdivision 3 of Section 165-a of the State Finance Law.

I am unable to certify that my name and the name of the bidder/proposer does not appear

on the list created pursuant to paragraph (b) of subdivision 3 of Section 165-a of the State

Finance Law. I have attached a signed statement setting forth in detail why I cannot so

certify.

Dated: , New York

, 20 __

SIGNATURE

PRINTED NAME

TITLE

Sworn to before me this day of , 20__

Notary Public

SCHEDULE B – M/WBE Utilization PlanPart I: M/WBE Participation GoalsPart I to be completed by contracting agency

Contract Overview

APT E- Pin #Project Title/ AgencyPIN #

FMS Project ID#: DEL-360

BWS SCADA System Software and Hardware Upgrade / 82617WS00028

Bid/ProposalResponse Date

Contracting Agency Department of Environmental Protection

Agency Address City Grahamsville State NY Zip Code 12740

Contact Person Kevin Heinle

Telephone # 845-334-7137

Title SCADA Supervisor

Email heinlek@dep.nyc.gov

Project Description (attach additional pages if necessary)

The New York City Department of Environmental Protection requires the services of a contractor to upgrade hardware and sofware for the existing SCADA system to allow BWS to effectively manage the SCADA system from various locations.

M/WBE Participation Goals for ServicesEnter the percentage amount for each group or for an unspecified goal. Please note that there are no goals for Asian Americans in Professional Services.

Prime Contract Industry: Standard ServicesGroup Percentage

Unspecified 5%or

Black American 0%Hispanic American 0%

Asian American 0%Women 0%

Total Participation Goals 5% Line 1

Part B(5)1

7870 State Route 42

SCHEDULE B - Part II: M/WBE Participation Plan Part II to be completed by the bidder/proposer. Please note: For Non-M/WBE Prime Contractors who will NOT subcontract any services and will self-perform the entire contract, you must obtain a FULL waiver by completing the Waiver Application on pages 5 and 6 and timely submitting it to the contracting agency pursuant to the Notice to Prospective Contractors. Once a FULL WAIVER is granted, it must be included with your bid or proposal and you do not have to complete or submit this form with your bid or proposal.

Section I: Prime Contractor Contact Information

Tax ID # FMS Vendor ID #

Business Name Contact Person

Address

Telephone # Email

Section II: M/WBE Utilization Goal Calculation: Check the applicable box and complete subsection. PRIME CONTRACTOR ADOPTING AGENCY M/WBE PARTICIPATION GOALS

[ ] For Prime Contractors (including Qualified Joint Ventures and M/WBE firms) adopting Agency M/WBE Participation Goals.

Calculate the total dollar value of your total bid that you agree will be awarded to M/WBE subcontractors for services and/or credited to an M/WBE prime contractor or Qualified Joint Venture.

Please review the Notice to Prospective Contractors for more information on how to obtain credit for M/WBE participation.

Total Bid/Proposal

Value

Agency Total Participation Goals

(Line 1, Page 1)

Calculated M/WBE Participation Amount

$ X = $ Line 2

PRIME CONTRACTOR OBTAINED PARTIAL WAIVER APPROVAL: ADOPTING MODIFIED M/WBE PARTICIPATION GOALS

[ ] For Prime Contractors (including Qualified Joint Ventures and M/WBE firms) adopting Modified M/WBE Participation Goals.

Calculate the total dollar value of your total bid that you agree will be awarded to M/WBE subcontractors for services and/or credited to an M/WBE prime contractor or Qualified Joint Venture.

Please review the Notice to Prospective Contractors for more information on how to obtain credit for M/WBE participation.

Total Bid/Proposal

Value

Adjusted Participation Goal

(From Partial Waiver)

Calculated M/WBE Participation Amount

$ X = $ Line 3

Part B(5)2

Section III: M/WBE Utilization Plan: How Proposer/Bidder Will Fulfill M/WBE Participation Goals. Please review the Notice to Prospective Contractors for more information on how to obtain credit for M/WBE participation. Check applicable box. The Proposer or Bidder will fulfill the M/WBE Participation Goals:

[ ] As an M/WBE Prime Contractor that will self-perform and/or subcontract to other M/WBE firms a portion of the contract the value of which is at least the amount located on Lines 2 or 3 above, as applicable. The value of any work subcontracted to non-M/WBE firms will not be credited towards fulfillment of M/WBE Participation Goals. Please check all that apply to Prime Contractor: [ ] MBE [ ] WBE [ ] As a Qualified Joint Venture with an M/WBE partner, in which the value of the M/WBE partner’s participation and/or the value of any work subcontracted to other M/WBE firms is at least the amount located on Lines 2 or 3 above, as applicable. The value of any work subcontracted to non M/WBE firms will not be credited towards fulfillment of M/WBE Participation Goals. [ ] As a non M/WBE Prime Contractor that will enter into subcontracts with M/WBE firms the value of which is at least the amount located on Lines 2 or 3 above, as applicable.

Section IV: General Contract Information

What is the expected percentage of the total contract dollar value that you expect to award in subcontracts for services, regardless of M/WBE status? % ____

Scopes of Subcontract Work

Enter brief description of the type(s) and dollar value of subcontracts for all/any services you plan on

subcontracting if awarded this contract. For each item, indicate whether the work is designated for

participation by MBEs and/or WBEs and the time frame in which such work is scheduled to begin and end.

Use additional sheets if necessary.

1._________________________________________________________

2._________________________________________________________

3._________________________________________________________

4._________________________________________________________

5._________________________________________________________

6._________________________________________________________

7._________________________________________________________

8._________________________________________________________

9. _________________________________________________________

10.________________________________________________________

11.________________________________________________________

12.________________________________________________________

13.________________________________________________________

14.________________________________________________________

15.________________________________________________________

16.________________________________________________________

17._________________________________________________________

Part B(5)3

Section V: Vendor Certification and Required Affirmations I hereby: 1) acknowledge my understanding of the M/WBE participation requirements as set forth herein and the pertinentprovisions of Section 6-129 of the Administrative Code of the City of New York (“Section 6-129”), and the rules promulgated thereunder; 2) affirm that the information supplied in support of this M/WBE Utilization Plan is true and correct;3) agree, if awarded this Contract, to comply with the M/WBE participation requirements of this Contract, thepertinent provisions of Section 6-129, and the rules promulgated thereunder, all of which shall be deemed to be material terms of this Contract; 4) agree and affirm that it is a material term of this Contract that the Vendor will award the total dollar value of theM/WBE Participation Goals to certified MBEs and/or WBEs, unless a full waiver is obtained or such goals are modified by the Agency; and 5) agree and affirm, if awarded this Contract, to make all reasonable, good faith efforts to meet the M/WBEParticipation Goals, or If a partial waiver is obtained or such goals are modified by the Agency, to meet the modified Participation Goals by soliciting and obtaining the participation of certified MBE and/or WBE firms.

Signature Date

Print Name Title

SCHEDULE B – PART III – REQUEST FOR WAIVER OF M/WBE PARTICIPATION REQUIREMENT M/WBE

PARTICIPATION GOALS

Contract Overview Tax ID # FMS Vendor ID # Business Name Contact Name Telephone # Email Type of Procurement [ ] Competitive Sealed Bids [ ] Other Bid/Response Due Date APT E-PIN # (for this procurement):_______________________________ Contracting Agency: ___________________________

M/WBE Participation Goals as described in bid/solicitation documents

% Agency M/WBE Participation Goal

Proposed M/WBE Participation Goal as anticipated by vendor seeking waiver % of the total contract value anticipated in good faith by the bidder/proposer to be subcontracted for

services and/or credited to an M/WBE Prime Contractor or Qualified Joint Venture. Basis for Waiver Request: Check appropriate box & explain in detail below (attach additional pages if needed)

[ ] Vendor does not subcontract services, and has the capacity and good faith intention to perform all such work itself with its own employees.

[ ] Vendor subcontracts some of this type of work but at a lower % than bid/solicitation describes, and has the capacity and good faith intention to do so on this contract. (Attach subcontracting plan outlining services that the vendor will self-perform and subcontract to other vendors or consultants.)

[ ] Vendor has other legitimate business reasons for proposing the M/WBE Participation Goal above. Explain under separate cover.

Part B(5)4

ATTACHMENT E

ReferencesList 3 most recent contracts performed for NYC agencies (if any). Include information for each subcontract awarded in

performance of such contracts. Add more pages if necessary.

CONTRACT NO. AGENCY DATE COMPLETEDTotal Contract

Amount $Total Amount

Subcontracted $Item of Work

Subcontracted andValue of subcontract

Item of WorkSubcontracted and

Value of subcontract

Item of WorkSubcontracted and

Value of subcontract

CONTRACT NO. AGENCY DATE COMPLETEDTotal Contract

Amount $Total Amount

Subcontracted $Item of Work

Subcontracted andValue of subcontract

Item of WorkSubcontracted and

Value of subcontract

Item of WorkSubcontracted and

Value of subcontract

CONTRACT NO. AGENCY DATE COMPLETEDTotal Contract

Amount $Total Amount

Subcontracted $Item of Work

Subcontracted andValue of subcontract

Item of WorkSubcontracted and

Value of subcontract

Item of WorkSubcontracted and

Value of subcontract

List 3 most recent contracts performed for other entities. Include information for each subcontract awarded in performance of

such contracts. Add more pages if necessary.

(Complete ONLY if vendor has performed fewer than 3 New York City contracts.)

TYPE OF Contract ENTITY DATE COMPLETEDManager at entity that hired vendor (Name/Phone No./Email)Total Contract

Amount $Total Amount

Subcontracted $Type of Work

Subcontracted

TYPE OF Contract AGENCY/ENTITY DATE COMPLETEDManager at agency/entity that hired vendor (Name/Phone

No./Email)Total Contract

Amount $Total Amount

Subcontracted $

Item of WorkSubcontracted and

Value of subcontract

Item of WorkSubcontracted

and Value ofsubcontract

Item of WorkSubcontracted and

Value of subcontract

TYPE OF Contract AGENCY/ENTITY DATE COMPLETEDManager at entity that hired vendor (Name/Phone No./Email)Total Contract

Amount $Total Amount

Subcontracted $Item of Work

Subcontracted andValue of subcontract

Item of WorkSubcontracted

and Value of

Item of WorkSubcontracted and

Value of subcontract

Part B(5)5

ATTACHMENT E

subcontract

VENDOR CERTIFICATION: I hereby affirm that the information supplied in support of this waiver request is true andcorrect, and that this request is made in good faith.

Signature: Date:

Print Name: Title:

Shaded area below is for agency completion only

AGENCY CHIEF CONTRACTING OFFICER APPROVAL

Signature: Date: CITY CHIEF PROCUREMENT OFFICER APPROVAL

Signature: _______________________________________________ Date: _____________________________

Waiver Determination

Full Waiver Approved: [ ]Waiver Denied: [ ]Partial Waiver Approved: [ ]Revised Participation Goal:_____%

Part B(5)6

NYC DEP SUPPLY AND SERVICE CONTRACT INVITATION FOR BIDS

PART C

SCOPE OF WORK

TO BE PERFORMED

UNDER THE CONTRACT

DEL-360 BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

Page 1 of 291 Issuing Bureau: BWS

THE CITY OF NEW YORK DEPARTMENT OF ENVIRONMENTAL PROTECTION

BUREAU OF WATER SUPPLY

CONTRACT NO. DEL-360

BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

DETAILED SPECIFICATIONS

DEL-360 BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

Page 2 of 291 Issuing Bureau: BWS

Table of Contents DIVISION ONE – GENERAL REQUIREMENTS ...................................................................................... 10

SECTION A – CONTRACT SUMMARY .......................................................................................................... 10

A-1.1 DEFINED TERMS .............................................................................................................................. 10

A-1.2 GENERAL SCOPE OF WORK ............................................................................................................. 15

A-1.3 OMITTED......................................................................................................................................... 17

A-1.4 LOCATION OF THE WORK ................................................................................................................ 18

A-1.5 SITE INSPECTION BEFORE BIDDING ................................................................................................ 18

A-1.6 DAILY SIGN-IN AT SITE LOCATIONS ................................................................................................. 18

A-1.7 MAINTENANCE OF CONTINUOUS OPERATION ............................................................................... 18

A-1.8 STORAGE OF CONTRACTOR’S MATERIAL ........................................................................................ 19

A-1.9 TOOLS, MATERIALS AND EQUIPMENT ............................................................................................ 19

A-1.10 REJECTED WORK AND MATERIALS ................................................................................................. 19

A-1.11 EXISTING EQUIPMENT .................................................................................................................... 19

A-1.12 LIQUIDATED DAMAGES .................................................................................................................. 21

SECTION B – GENERAL SCADA REQUIREMENTS.......................................................................................... 21

B-1.1 SUMMARY OF SECTION................................................................................................................... 21

B-1.2 QUALIFICATIONS AND EXPERIENCE ................................................................................................ 22

B-1.3 QUALITY ASSURANCE ...................................................................................................................... 24

B-1.4 SUBMITTALS .................................................................................................................................... 28

B-1.5 EQUIPMENT DELIVERY, HANDLING AND STORAGE ........................................................................ 32

SECTION C – NOTIFICATION OF HAZARDOUS MATERIALS IN WORK AREA .................................................. 33

C-1.1 HAZARDOUS MATERIALS ................................................................................................................ 33

SECTION D - MEASUREMENT AND PAYMENT ............................................................................................ 33

D-1.1 PAYMENTS ...................................................................................................................................... 33

D-1.2 BID ITEMS ........................................................................................................................................ 34

D-1.3 PAYMENT ITEMS ............................................................................................................................. 35

DIVISION TWO – TECHNICAL REQUIREMENTS .................................................................................. 37

SECTION E - FACTORY TESTING ................................................................................................................. 37

E-1.1 SUMMARY OF SECTION................................................................................................................... 37

E-1.2 OPERATIONAL TESTING – SYSTEM HARDWARE .............................................................................. 37

E-1.3 DEMONSTRATION - SYSTEM SOFTWARE ........................................................................................ 38

E-1.4 DEMONSTRATION – SCADA SERVER AND SOFTWARE .................................................................... 39

SECTION F – CHECKOUT, STARTUP AND FIELD TESTING .............................................................................. 40

F-1.1 SUMMARY OF SECTION................................................................................................................... 40

DEL-360 BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

Page 3 of 291 Issuing Bureau: BWS

F-1.2 SYSTEM CHECKOUT AND STARTUP TESTING AT CONTRACTOR’S FACILITY .................................... 40

F-1.3 INTEGRATED SYSTEM FIELD TEST AT DEP SITES .............................................................................. 41

F-1.4 FIVE (5) DAY OPERATIONAL AVAILABILITY DEMONSTRATION........................................................ 41

F-1.5 .................................................... 43

F-1.6 FORMS .......................................................................................................................... 43

SECTION G - TRAINING.............................................................................................................................. 44

G-1.1 SUMMARY OF SECTION................................................................................................................... 44

G-1.2 TRAINING CATEGORIES ................................................................................................................... 44

SECTION H – OPERATOR WORKSTATIONS ................................................................................................. 47

H-1.1 OPERATOR WORKSTATIONS - DESKTOP ......................................................................................... 47

H-1.2 OPERATOR WORKSTATIONS – THIN CLIENT ................................................................................... 47

H-1.3 MONITOR STANDS .......................................................................................................................... 48

SECTION I – STRATUS SERVERS ................................................................................................................. 48

I-1.1 FAULT TOLERANT SERVER ARCHITECTURE ..................................................................................... 49

I-1.2 SCADA SERVERS .............................................................................................................................. 49

I-1.3 HISTORIAN SERVERS ....................................................................................................................... 54

SECTION J – WONDERWARE ..................................................................................................................... 60

J-1.1 RUNTIME ENVIRONMENT ............................................................................................................... 60

J-1.2 DATA HISTORIAN ............................................................................................................................. 62

SECTION K – SOFTWARE APPLICATIONS .................................................................................................... 62

K-1.1 REPORTING SOFTWARE .................................................................................................................. 63

K-1.2 FAULT TOLERANT HIGH AVAILABILITY SOFTWARE ......................................................................... 64

K-1.3 THIN CLIENT APPLICATION .............................................................................................................. 66

K-1.4 OPERATING SYSTEM AND DBMS ENTERPRISE APPLICATION SOFTWARE ...................................... 66

SECTION L – COMPUTER NETWORK EQUIPMENT ....................................................................................... 72

L-1.1 GENERAL DESCRIPTION ................................................................................................................... 72

L-1.2 PRODUCTS ....................................................................................................................................... 72

SECTION M – SCADA COMMUNICATIONS NETWORK ................................................................................. 83

M-1.1 GENERAL DESCRIPTION ................................................................................................................... 83

M-1.3 EXECUTION ...................................................................................................................................... 84

SECTION N – CONTROL STRATEGIES .......................................................................................................... 85

N-1.1 SUMMARY ....................................................................................................................................... 85

N-1.2 CONFIGURATION ................................................................................. 85

N-1.3 IMPLEMENTATION .......................................................................................................................... 87

DIVISION THREE – SITE-SPECIFIC WORK REQUIREMENTS ............................................................... 114

DEL-360 BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

Page 4 of 291 Issuing Bureau: BWS

SECTION O – GRAHAMSVILLE WATER SUPPLY CONTROL CENTER (WSCC) REQUIREMENTS ........................ 114

O-1.1 GENERAL ....................................................................................................................................... 114

O-1.2 EQUIPMENT AND SOFTWARE REQUIRED ..................................................................................... 115

O-1.3 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 117

O-1.4 PRE-INSTALLATION ........................................................................................................................ 117

O-1.5 SERVER ROOM INSTALLATION WORK ........................................................................................... 118

O-1.6 WATER SUPPLY CONTROL CENTER (WSCC) INSTALLATION WORK ............................................... 118

O-1.7 ADDITIONAL INSTALLATION WORK REQUIREMENTS ................................................................... 120

SECTION P – GRAHAMSVILLE DIVISION OFFICE/SHOP (GDO/S) REQUIREMENTS ....................................... 121

P-1.1 GENERAL ....................................................................................................................................... 121

P-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 121

P-1.3 TAG SUMMARY LISTING ................................................................................................................ 122

P-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 124

SECTION Q – RONDOUT EFFLUENT CHAMBER (REC) REQUIREMENTS ....................................................... 124

Q-1.1 GENERAL ....................................................................................................................................... 124

Q-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 124

Q-1.3 TAG SUMMARY LISTING ................................................................................................................ 125

Q-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 125

SECTION R – WEST DELAWARE TUNNEL OUTLET (WDTO) REQUIREMENTS ............................................... 126

R-1.1 GENERAL ....................................................................................................................................... 126

R-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 127

R-1.3 TAG SUMMARY LISTING ................................................................................................................ 127

R-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 128

SECTION S – NEVERSINK INTAKE CHAMBER (NIC) REQUIREMENTS ........................................................... 128

S-1.1 GENERAL ....................................................................................................................................... 128

S-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 129

S-1.3 TAG SUMMARY LISTING ................................................................................................................ 130

S-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 130

SECTION T – EAST DELAWARE INTAKE CHAMBER (EDIC) REQUIREMENTS ................................................. 130

T-1.1 GENERAL ....................................................................................................................................... 131

T-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 131

T-1.3 TAG SUMMARY LISTING ................................................................................................................ 132

T-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 132

SECTION U – EAST DELAWARE RELEASE CHAMBER (EDRC) REQUIREMENTS .............................................. 132

U-1.1 GENERAL ....................................................................................................................................... 133

DEL-360 BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

Page 5 of 291 Issuing Bureau: BWS

U-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 133

U-1.3 TAG SUMMARY LISTING ................................................................................................................ 134

U-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 135

SECTION V – WEST DELAWARE INTAKE CHAMBER (WDIC) REQUIREMENTS .............................................. 135

V-1.1 GENERAL ....................................................................................................................................... 135

V-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 135

V-1.3 TAG SUMMARY LISTING ................................................................................................................ 136

V-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 137

SECTION W – WEST DELAWARE RELEASE CHAMBER (WDRC) REQUIREMENTS .......................................... 137

W-1.1 GENERAL ....................................................................................................................................... 137

W-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 137

W-1.3 TAG SUMMARY LISTING ................................................................................................................ 138

W-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 139

SECTION X– ASHOKAN LOWER GATE CHAMBER (ALGC) REQUIREMENTS .................................................. 139

X-1.1 GENERAL ....................................................................................................................................... 139

X-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 140

X-1.3 TAG SUMMARY LISTING ................................................................................................................ 141

X-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 142

SECTION Y – SHANDAKEN TUNNEL PORTAL (STP) REQUIREMENTS ........................................................... 143

Y-1.1 GENERAL ....................................................................................................................................... 143

Y-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 143

Y-1.3 TAG SUMMARY LISTING ................................................................................................................ 144

Y-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 145

SECTION Z – PRATTSVILLE USGS STATION (PRATS) REQUIREMENTS ......................................................... 145

Z-1.1 GENERAL ....................................................................................................................................... 145

Z-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 146

Z-1.3 TAG SUMMARY LISTING ................................................................................................................ 146

Z-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 147

SECTION AA – SHANDAKEN TUNNEL INTAKE CHAMBER (STIC) REQUIREMENTS ........................................ 147

AA-1.1 GENERAL ....................................................................................................................................... 147

AA-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 148

AA-1.3 TAG SUMMARY LISTING ................................................................................................................ 149

AA-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 149

SECTION BB – GILBOA DAM MONITORING SITE (GILBOA) REQUIREMENTS ............................................... 149

BB-1.1 GENERAL ....................................................................................................................................... 149

DEL-360 BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

Page 6 of 291 Issuing Bureau: BWS

BB-1.2 IMPLEMENTATION / INSTALLATION SUMMARY .......................................................................... 151

BB-1.3 TAG SUMMARY LISTING ................................................................................................................ 152

BB-1.4 SCADA DISPLAY SCREENS ............................................................................................................. 153

SECTION CC - LOMONTVILLE USGS STATION (LOMONT) REQUIREMENTS ................................................. 153

CC-1.1 GENERAL ....................................................................................................................................... 153

CC-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 153

CC-1.3 TAG SUMMARY LISTING ................................................................................................................ 154

CC-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 155

SECTION DD – HUDSON RIVER PUMPING STATION (HRPS) REQUIREMENTS ............................................. 155

DD-1.1 GENERAL ....................................................................................................................................... 155

DD-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 156

DD-1.3 TAG SUMMARY LISTING ................................................................................................................ 156

DD-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 157

SECTION EE – DELAWARE AQUEDUCT – HGL SHAFT 1 (HGL-S1) ................................................................ 157

EE-1.1 GENERAL ...................................................................................................................................... 157

EE-1.2 IMPLEMENTATION / INSTALLATION SUMMARY .......................................................................... 158

EE-1.3 TAG SUMMARY LISTING ............................................................................................................... 158

EE-1.4 SCADA DISPLAY SCREENS ............................................................................................................. 159

SECTION FF – DELAWARE AQUEDUCT – HGL SHAFT 2A (HGL-S2A) ............................................................ 159

FF-1.1 GENERAL ....................................................................................................................................... 159

FF-1.2 IMPLEMENTATION / INSTALLATION SUMMARY .......................................................................... 159

FF-1.3 TAG SUMMARY LISTING ............................................................................................................... 160

FF-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 161

SECTION GG – DELAWARE AQUEDUCT – HGL SHAFT 4 (HGL-S4) ............................................................... 161

GG-1.1 GENERAL ....................................................................................................................................... 161

GG-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 161

GG-1.3 TAG SUMMARY LISTING ................................................................................................................ 162

GG-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 163

SECTION HH – DELAWARE AQUEDUCT – HGL SHAFT 5A (HGL-S5A) ........................................................... 163

HH-1.1 GENERAL ....................................................................................................................................... 163

HH-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 164

HH-1.3 TAG SUMMARY LISTING ................................................................................................................ 164

HH-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 165

SECTION II – DELAWARE AQUEDUCT – HGL SHAFT 6 (HGL-S6) REQUIREMENTS......................................... 165

II-1.1 GENERAL ....................................................................................................................................... 165

DEL-360 BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

Page 7 of 291 Issuing Bureau: BWS

II-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 165

II-1.3 TAG SUMMARY LISTING ................................................................................................................ 166

II-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 167

SECTION JJ – DELAWARE AQUEDUCT – HGL SHAFT 8 (HGL-S8) REQUIREMENTS ........................................ 167

JJ-1.1 GENERAL ....................................................................................................................................... 167

JJ-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 167

JJ-1.3 TAG SUMMARY LISTING ................................................................................................................ 168

JJ-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 169

SECTION KK – CARMEL WATER TOWER SITE (CARMEL) REQUIREMENTS ................................................... 169

KK-1.1 GENERAL ....................................................................................................................................... 169

KK-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 169

KK-1.3 TAG SUMMARY LISTING ................................................................................................................ 171

KK-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 176

SECTION LL – SOMERS WATER TOWER SITE (SOMERS) REQUIREMENTS ................................................... 176

LL-1.1 GENERAL ...................................................................................................................................... 176

LL-1.2 IMPLEMENTATION / INSTALLATION SUMMARY .......................................................................... 176

LL-1.3 TAG SUMMARY LISTING ............................................................................................................... 178

LL-1.4 SCADA DISPLAY SCREENS ............................................................................................................. 179

SECTION MM – KATONAH WATER TOWER SITE (BEDFORD) REQUIREMENTS ............................................ 179

MM-1.1 GENERAL ....................................................................................................................................... 179

MM-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 180

MM-1.3 TAG SUMMARY LISTING ................................................................................................................ 181

MM-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 185

SECTION NN – SHAFT 18 VALHALLA (SHAFT18) REQUIREMENTS ............................................................... 185

NN-1.1 GENERAL ....................................................................................................................................... 185

NN-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 186

NN-1.3 TAG SUMMARY LISTING ................................................................................................................ 187

NN-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 189

SECTION OO – MAHOPAC WWTP (MAHOPAC) REQUIREMENTS ............................................................... 190

OO-1.1 GENERAL ....................................................................................................................................... 190

OO-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 190

OO-1.3 TAG SUMMARY LISTING ................................................................................................................ 191

OO-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 192

SECTION PP – TANNERSVILLE WWTP (TWWTP) REQUIREMENTS .............................................................. 192

PP-1.1 GENERAL ...................................................................................................................................... 192

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PP-1.2 IMPLEMENTATION / INSTALLATION SUMMARY .......................................................................... 192

PP-1.3 TAG SUMMARY LISTING ............................................................................................................... 193

PP-1.4 SCADA DISPLAY SCREENS ............................................................................................................. 194

SECTION QQ – PINE HILL WWTP (PHWWTP) REQUIREMENTS ................................................................... 194

QQ-1.1 GENERAL ....................................................................................................................................... 194

QQ-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 195

QQ-1.3 TAG SUMMARY LISTING ................................................................................................................ 196

QQ-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 197

SECTION RR – MARGARETVILLE WWTP (MWWTP) REQUIREMENTS ......................................................... 197

RR-1.1 GENERAL ....................................................................................................................................... 197

RR-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 198

RR-1.3 TAG SUMMARY LISTING ................................................................................................................ 199

RR-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 200

SECTION SS – GRAND GORGE WWTP (GGWWTP) REQUIREMENTS ........................................................... 200

SS-1.1 GENERAL ...................................................................................................................................... 200

SS-1.2 IMPLEMENTATION / INSTALLATION SUMMARY .......................................................................... 200

SS-1.3 TAG SUMMARY LISTING ............................................................................................................... 201

SS-1.4 SCADA DISPLAY SCREENS ............................................................................................................. 202

SECTION TT – PORT JERVIS WWTP (PJWWTP) REQUIREMENTS ................................................................ 202

TT-1.1 GENERAL ...................................................................................................................................... 202

TT-1.2 IMPLEMENTATION / INSTALLATION SUMMARY .......................................................................... 203

TT-1.3 TAG SUMMARY LISTING ............................................................................................................... 204

TT-1.4 SCADA DISPLAY SCREENS ............................................................................................................. 205

SECTION UU – GRAHAMSVILLE WWTP (GWWTP) REQUIREMENTS ........................................................... 205

UU-1.1 GENERAL ....................................................................................................................................... 205

UU-1.2 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 206

UU-1.3 TAG SUMMARY LISTING ................................................................................................................ 207

UU-1.4 SCADA DISPLAY SCREENS .............................................................................................................. 208

SECTION VV – KINGSTON DISASTER RECOVERY CONTROL CENTER (DRCC) REQUIREMENTS ...................... 209

VV-1.1 GENERAL ....................................................................................................................................... 209

VV-1.2 EQUIPMENT AND SOFTWARE REQUIRED ..................................................................................... 210

VV-1.3 IMPLEMENTATION / INSTALLATION SUMMARY ........................................................................... 211

VV-1.4 PRE-INSTALLATION ........................................................................................................................ 212

VV-1.5 SERVER ROOM INSTALLATION WORK ........................................................................................... 212

VV-1.6 DISASTER RECOVERY CENTER (DRCC) INSTALLATION WORK ....................................................... 213

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VV-1.7 ADDITIONAL INSTALLATION WORK REQUIREMENTS ................................................................... 213

APPENDIX I – Locations of Work ............................................................................................................. 215

APPENDIX II – Bid Breakdown of Lump Sum ............................................................................................ 216

APPENDIX III – Schedule of Payment ....................................................................................................... 217

APPENDIX IV - Remote Locations SCADA Network Communications ........................................................ 219

APPENDIX V - List and Description of Device Types .................................................................................. 220

APPENDIX VI – Tag Summary .................................................................................................................. 221

APPENDIX VII – Sample HMI Screens ....................................................................................................... 224

APPENDIX VIII – Sample Reports ............................................................................................................. 255

APPENDIX IX – Network Layout Drawings ............................................................................................... 275

APPENDIX X – Sequence of Work ............................................................................................................ 288

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DIVISION ONE – GENERAL REQUIREMENTS

SECTION A – CONTRACT SUMMARY A-1.1 DEFINED TERMS

1. Allowance: A sum of money which DEP may include in the total amount of the Contract for such specific contingencies, as DEP believes may be necessary to complete the Work, and for which the Contractor will be paid on the basis of stipulated unit prices or a formula set forth in the Contract or negotiated between the parties provided. If the Contractor is not directed to use the Allowance, the Contractor shall have no right or claims to such money and it shall be deducted from the total amount of the Contract.

2. Arcserve: Arcserve is a provider of data protection, replication and recovery software for enterprises and small to medium businesses. Arcserve software backs up other programs to ensure that data in the network is not lost.

3. Bureau of Water Supply (BWS): The Bureau of Water Supply (BWS) manages, operates and protects New York City's upstate water supply system to ensure the delivery of a sufficient quantity of high quality drinking water.

4. Burn-in: The process by which components of a system are exercised prior to being placed

in service (and often, prior to the system being completely assembled from those components). This testing process will force certain failures to occur under supervised conditions so an understanding of load capacity of the product can be established.

5. Client: A desktop computer or workstation that is capable of obtaining information and

applications from a server.

6. Control Center: A control center is one or more locations from which network monitoring and control, or network management, is exercised over a computer, telecommunication or satellite network.

7. Control Strategy: Control strategies are specific action plans for bringing a process back

into control. The strategies usually consist of five to ten steps that help identify reasons for special causes, and most importantly, help correct the causes.

8. Control System: A control system is a device, or set of devices, that manages, commands,

directs or regulates the behavior of other devices or systems.

9. Development Servers: A development server is a type of server that is designed to facilitate the development and testing of programs, websites, software or applications for software programmers. It provides a run-time environment, as well as all hardware/software utilities that are essential to program debugging and development.

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10. Disaster Recovery Control Center (DRCC): The Disaster Recovery Control Center islocated in Kingston, NY and provides redundancy and fault tolerance of network monitoringand control, and network management, of DEP's SCADA system in the event that operationsat the Grahamsville (WSCC) are impaired or out of service.

11. Distributed Control System (DCS): A distributed control system (DCS) is a ControlSystem for a process or plant, wherein control elements are distributed throughout thesystem. This is in contrast to non-distributed systems, which use a single controller at acentral location. In a DCS, a hierarchy of controllers is connected by communicationsnetworks for command and monitoring.

12. Dream Report: Report generation software by Ocean Data Systems for reporting fromautomation data sources such as historians and HMI/SCADA.

13. Fault Tolerant: Fault tolerance is the property that enables a system to continue operatingproperly in the event of the failure of (or one or more faults within) some of its components.Fault tolerance is particularly important in high-availability or life-critical systems such asSCADA.

14. Field Engineer: A professional who installs computer hardware on customers' premises,performs routine preventive maintenance, and repairs equipment when it is out of order. Alsoknown as field service representative.

15. High Availability: High availability refers to a system or component that is continuouslyoperational for a desirably long length of time. Availability can be measured relative to"100% operational" or "never failing."

16. Historian Server: Is a computer program or device with services that collect data fromvarious devices in a SCADA network and logs to a database using Wonderware Historiansoftware (including Data Historian).

17. HTML: HTML (Hyper Text Markup Language) is the standard markup language used tocreate web pages. Along with CSS, and JavaScript, HTML is a cornerstone technology usedto create web pages as well as to create user interfaces for mobile and web applications.

18. Human Machine Interface (HMI): Human Machine Interface (HMI) is a softwareapplication that presents information to an operator or user about the state of a process, andto accept and implement the operators control instructions. Information is displayed in agraphic format (Graphical User Interface or GUI). An HMI is often a part of a SCADAsystem.

19. Input/Output (I/O): Input/output (I/O) is the communication between an informationprocessing system, such as a computer, and the outside world, possibly a human or anotherinformation processing system. Inputs are the signals or data received by the system andoutputs are the signals or data sent from it. The term can also be used as part of an action; to"perform I/O" is to perform an input or output operation. I/O devices are used by a human (or

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other system) to communicate with a computer. For instance, a keyboard or mouse is an input device for a computer, while monitors and printers are output devices. Devices for communication between computers, such as modems and network cards, typically perform both input and output operations. I/O may be any input and/or output variable, including individual data acquisition points and any variable parameter generated for exchange between objects within the system.

20. InTouch: Wonderware InTouch is open and extensible HMI visualization software for

SCADA. Engineers use InTouch to visualize and control plant processes in real time to better understand what is occurring in their plants and take action when needed. Engineers also use InTouch to design user-friendly HMIs and detect and troubleshoot problems in their processes and create system diagnostic displays so they can maintain critical applications more effectively. For maintenance, InTouch is used monitor critical equipment and machines so they can be better prepared to repair them when needed.

21. InTouch Access Anywhere: InTouch Access Anywhere is Wonderware software that

provides mobile users access to InTouch applications via web browsers.

22. Intranet: An intranet is a private network accessible only to an organization's staff. Generally a wide range of information and services from the organization's internal IT systems are available that would not be available to the public from the Internet.

23. KVM (Keyboard Video Mouse): A KVM (Keyboard Video Mouse) is a hardware device,

used in data centers or control centers, which allows the control of multiple computers from a single keyboard, monitor and mouse (KVM). It allows engineers to connect to any device in the rack.

24. Machine to Machine (M2M): Machine to machine (M2M) refers to direct communication

between devices using any communications channel, including wired and wireless. Machine to machine communication can include industrial instrumentation, enabling a sensor or meter to communicate the data it records (such as temperature, water level, etc.) to application software that can use it (for example, adjusting an industrial process based water pressure).

25. metro-E: A metropolitan-area Ethernet, Ethernet MAN, or metro Ethernet network is a

metropolitan area network (MAN) that is based on Ethernet standards. It is commonly used to connect subscribers to a larger service network or the Internet. Businesses can also use metropolitan-area Ethernet to connect their own offices to each other.

26. Microsoft SQL Server Reporting Services: SQL Server Reporting Services (SSRS) is a

server-based report generating software system from Microsoft. It is part of a suite of Microsoft SQL SSRS enables users to quickly and easily generate reports from Microsoft SQL Server databases. SQL (Structured Query Language) is a special-purpose programming language designed for managing data held in a relational database.

27. Mobile Reporting: Mobile reporting provides real-time access to critical Key Performance

Indicators (KPIs) and process or operational data via smartphones, tablets and wearables.

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28. Multi-Protocol Label Switching (MPLS): Multiprotocol Label Switching (MPLS) is a type

of data-carrying technique for high-performance telecommunications networks that directs data from one network node to the next based on short path labels rather than long network addresses, avoiding complex lookups in a routing table. The labels identify virtual links (paths) between distant nodes rather than endpoints. MPLS can encapsulate packets of various network protocols, hence its name "multiprotocol". MPLS supports a range of access technologies, including T1/E1, ATM, Frame Relay, and DSL.

29. Network Firewall Appliances: Firewall appliances are the hardware and software which,

together, form a Network firewall that filter traffic between two or more networks, establishing a barrier between a trusted, secure internal network and another outside network, such as the Internet, that is assumed not to be secure or trusted.

30. Payment Item: As illustrated in Appendix III, Schedule of Payments, a Payment Item is a

one-time payment for a defined percentage of the total bid price (not including Allowances) for the completion of a given set of tasks or milestones described under the column labeled “Description of Work/Payment”.

31. Point: A SCADA point is a data object within a dispersed database in a SCADA system. A

dispersed, or tag, database contains points which refer to single input or output (core component) value. Each of these is monitored by the SCADA system.

32. Power Distribution Units (PDU): A power distribution unit (PDU) is a device fitted with

multiple outputs designed to distribute electric power, especially to racks of computers and networking equipment located within a data center and can include power filtering or monitoring.

33. Programmable Logic Controller (PLC): A programmable logic controller (PLC), or

programmable controller is a digital computer used for automation of typically industrial electromechanical processes, such as control of machinery in Water Supply and Wastewater Treatment facilities.

34. Reference Drawings: Also referred to as Design Drawings, shall consist of the original

Contract Design Drawings issued by DEP for the solicitation of contract bids and other drawings, sample HMI screens, reports, prints, literature, test reports, and calculations, provided by DEP to the Contractor during the Contract term to illustrate equipment layout, network configuration, and control processes.

35. Remote Location: A site or location whose computers are not attached directly to the control

center computers, often in another part of a city, or another part of the world. Remote access allows those computers to gain access to a particular computer or network using a separate computer over wide area network (WAN), dialup, and Intranet or Internet connections.

36. Remote Terminal Units (RTUs): A remote terminal unit (RTU) is a microprocessor-

controlled electronic device that interfaces objects in the physical world to a distributed

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control system or SCADA (supervisory control and data acquisition) system by transmitting telemetry data to a master system, and by using messages from the master supervisory system to control connected objects.

37. Shop Drawings: Drawings, prints, sepias, descriptive literature, test reports, calculations,

schedules, materials lists and curves. Final Copy Shop Drawings shall be the approved copy of the Shop Drawings corrected to reflect any deviations made for the installed condition showing the actual condition.

38. Supervisory Control and Data Acquisition (SCADA): Supervisory control and data

acquisition (SCADA) is a system for remote monitoring and control that operates with coded signals over communication channels (using typically one communication channel per remote station). It is a type of industrial control system (ICS). Industrial control systems are computer-based systems that monitor and control industrial processes that exist in the physical world. SCADA systems historically distinguish themselves from other ICS systems by being large-scale processes that can include multiple sites, and large distances.

39. SCADA Server: A SCADA server (or data acquisition server) is a software service which

uses industrial protocols to connect software services, via telemetry (leased lines, WAN circuits, satellite, cellular, microwave, radio, etc.) with field devices such as RTUs and PLCs. It allows clients to access data from these field devices using standard protocols.

40. Server: A server is a computer program or a device that provides functionality for other

programs or devices, called "clients". This architecture is called the client–server model, and a single overall computation is distributed across multiple processes or devices.

41. Smart Devices: A smart device is an electronic device, generally connected to other devices

or networks via different wireless protocols such as Bluetooth, NFC, WiFi, 3G, etc., that can operate to some extent interactively and autonomously. Several notable types of smart devices are smartphones and tablets.

42. Smart Glance: Wonderware software which provides mobile reporting using real-time

access to critical Key Performance Indicators (KPIs) and process or operational data via smartphones, tablets and wearables.

43. SQL: SQL (Structured Query Language) is a special-purpose programming language

designed for managing data held in a relational database.

44. Tag: In programming or configurations, a tag is variable, parameter or argument, to a subroutine that determines other arguments passed to it, which is used as a way to pass indefinite number of tagged parameters to the subroutine.

45. Thin Client: A thin client is a lightweight computer that is purpose built for remotely

connecting into a server. It depends heavily on another computer (its server) to fulfill its computational roles. This is different from the traditional desktop PC (fat client), which is a computer designed to take on these roles by itself.

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46. Water Supply Control Center (WSCC): Water Supply Control Center (WSCC) is located

in Grahamsville, NY and provides network monitoring and control, and network management, of DEP's SCADA system over a computer, telecommunication or satellite network.

47. Web Part: Web parts are components (also known as portlets) that can be inserted into

Pages. They are server-side controls that run inside a web part page: they're the building blocks of pages that appear on a SharePoint site. They are used to display information from both SharePoint and third party applications.

48. Wide Area Network (WAN): A wide area network (WAN) is a telecommunications

network or computer network that extends over a large geographical distance. Wide area networks are often established with leased telecommunication circuits.

49. Wonderware: Wonderware is a subsidiary of Schneider Electric Software, Inc. Provider of

SCADA software packages including, but not limited to, InTouch, Historian, SmartGlance, and ArchestrA.

50. Workstation: A workstation is a special computer designed for technical or scientific

applications. Intended primarily to be used by one person at a time, they are commonly connected to a local area network and run multi-user operating systems.

A-1.2 GENERAL SCOPE OF WORK

A. GENERAL TECHNICAL SCOPE The Contractor shall upgrade and enhance the functionality and monitoring capabilities of the BWS Supervisory Control and Data Acquisition (SCADA) system (the “SCADA System” or “System”) control software and equipment. The objective is to create a more robust System with enhanced monitoring capabilities at DEP’s remote monitoring locations, adding monitoring of BWS’ East of Hudson facilities, and centralizing water quality and upstate wastewater treatment plant monitoring. Upgrades shall include replacement of current hardware (replacement equipment shall be supplied by the Contractor) including Workstations, Servers, console monitors, Network Firewall Appliances and Power Distribution Units in both the WSCC and DRCC. Hardware requirements and quantities are listed in Section O and Section VV. Additionally, the Contractor shall supply, install and configure Wonderware software applications, reports, and Control Strategies at the WSCC, DRCC, and Remote Locations. The Contractor shall also provide training. Locations other than the WSCC and DRCC will be configured remotely via existing network connections and will not require the Contractor to be on site. In addition to any new features provided by the software, the upgraded System shall perform all of the functions performed by the current System, including, but not limited to, the transmission of alarm and status messages from Remote Locations to the WSCC, the transmission of commands from the WSCC to all Remote Locations, and all failover and

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communications capabilities of the DRCC. The Contractor is not responsible for DEP’s physical design and engineering of the System. DEP utilizes a combination of Wide Area Network (WAN) communications including metro-E (metropolitan area Ethernet), switched (dialup) telephone line connections, and point-to-point license free spread spectrum radios for connection between Remote Locations and the WSCC. The Contractor shall use DEP’s network communications and infrastructure (including DEP-owned routers, switches, modems, racks, etc.) for interoperability between WSCC, DRCC, and Remote Locations. The Contractor shall provide all labor, parts, materials, equipment, and incidentals to perform all Work under this Contract including the following:

1. Computer hardware including Servers, network switches, routers, firewalls, Workstations, laptops, tablets and other hardware required to provide a complete working SCADA System.

2. Wonderware software with required licenses to provide monitoring and control function

capabilities of all monitoring points.

3. Configuration of SCADA software to provide interaction with remote Programmable Logic Controllers (PLCs), Remote Terminal Units (RTUs), and other SCADA Systems to perform various control strategies.

4. Configuration of SCADA software to provide display screens depicting site monitoring and

control of Remote Locations including, at a minimum, displays of similar design to existing display screens on the current SCADA System as illustrated in Appendix VII, Sample HMI Screens. SCADA screens shall be displayed on locally connected Workstations and remotely connected desktops using standard web browser software, as well as laptop Workstations connected to the SCADA network at Remote Locations.

5. Configuration of SCADA software to provide automatically generated reports of water

supply monitoring points including, at a minimum, duplication of all existing reports currently being generated from data monitored and collected by the existing SCADA System. Sample report formats are illustrated in Appendix VIII, Sample Reports.

6. Configuration of SCADA software to monitor and control the SCADA communications

network. The network status shall be displayed on a SCADA display screen providing status of communications to each remote network node with diagnostic information. This display screen shall be similar to the network overview screen on the existing SCADA System.

7. Configuration of SCADA application software to provide near real-time display of water

supply operations, water quality, and wastewater operations data and alarm conditions in table and graph format. Access to this information shall be available through the DEP WAN and secure owner approved internet connection.

8. Configuration of a redundant SCADA System to function as a live Disaster Recovery

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Control Center during an emergency event. The Disaster Recovery Control Center will be located in Kingston, NY.

9. Configuration of Servers to access and store data from the secure SCADA System allowingavailability for access over the DEP WAN and configuration of Servers to exchange data tomodeling programs and outside agencies including the National Weather Service and UnitedStates Geological Survey.

B. GENERAL NON-TECHNICAL SCOPE The SCADA System monitors, stores, displays, and logs process and equipment operating information and alarms as well as performs various process control functions for the generation of various reports. The processes that the Control System shall monitor and control is described in Section N, Control Strategies.

1. Reference drawings, Control Strategies and specifications, as specified herein, shalldescribe the overall functional and operational requirements.

(a) The Contractor shall refer to Appendix VII, Sample HMI Screens and other Contractspecifications to assist in determining the extent of the Human Machine Interface (HMI) configuration required as part of its bid. The Contractor shall include configuration of any additional graphic screens as required by DEP.

(b) The Contractor shall format reports to comply with DEP’s reporting requirements and within the parameters of the SCADA software. Refer to Appendix VIII, Sample Reports, and Section N, Control Strategies for specific report generation requirements. The Contractor shall configure additional reports as determined necessary by the DEP Project Manager (PM). The Contractor shall provide detailed draft reports for approval by the PM during reference drawing review.

(c) The Contractor shall include in its bid all costs for Control Strategy configurations as referenced in Section N, Control Strategies.

2. In addition to the Workstations at the WSCC and DRCC, the Contractor shall install,configure, stage, and test twenty-five (25) remotely located Workstations, and all smartdevices provided under the Contract. The Contractor shall configure all graphics forDEP’s Workstations.

3. All hardware and software supplied by the Contractor shall be compatible and perform allfunctions described herein. In addition, all software provided by the Contractor shall belicensed to DEP and be compatible with existing DEP software applications.

4. For any feature of the Work which is not fully described within these Specifications, itshall be agreed that such Work shall be governed by the rules of the best prevailingpractice for that class of Work, as determined by the PM, or by the laws and regulationsof the State of New York.

A-1.3 OMITTED.

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A-1.4 LOCATION OF THE WORK The locations where Work will be performed under the Contract are at Grahamsville (WSCC) and Kingston (DRCC). The Contractor may perform Work for the Remote Locations anywhere it chooses so long as all network security protocols, as described in Section M-1.3, are adhered to; however, the Contractor shall upload such Work at either the WSCC or DRCC.

A-1.5 SITE INSPECTION BEFORE BIDDING It is strongly encouraged that prospective bidders attend scheduled Site visits. All prospective bidders and their representatives shall comply with all safety rules as required by the responsible DEP officials. A. Bidders shall obtain all necessary information, and make their own determinations, of all

conditions that might impact, in any way, the performance of the Work and/or bid prices under the Contract.

B. All pertinent data and dimensions, with regard to existing infrastructure, shall be verified by the bidder. All information provided during Site inspections are made available solely for the convenience of the bidder.

C. Access to Sites, for inspection purposes prior to bidding, will be limited to date(s) selected by DEP for a Pre-Bid Conference Site Inspection and for reference document viewing.

D. All potential bidders shall become familiar with these Specifications prior to the Site visit(s) to ensure that all concerns and clarifications are addressed during the Site visits.

A-1.6 DAILY SIGN-IN AT SITE LOCATIONS At the start of each work day at WSCC or DRCC, Contractor and Subcontractor personnel shall report to the location(s) specified by the PM to sign in. At the end of the work day, the Contractor and Subcontractor personnel shall report to the designated location(s) and sign out. Copies of the sign-in sheets must be submitted with each partial payment request. Failure to comply with these requirements will be reflected in the Contractor’s performance evaluation.

All Contractor personnel at the Sites, including Subcontractors, shall be uniformed in company brand and or apparel, and wear a photo identification badge as required under Article 31(J)(4) of the DEP Supply and Service Contract.

A-1.7 MAINTENANCE OF CONTINUOUS OPERATION Unless otherwise specified, the DEP facilities that are the Site of the Work will be in continuous operation by DEP during the entire term of this Contract. Work shall be scheduled and conducted by the Contractor such that it will not impede any facility operations or cause odor or other nuisances.

To complete the Work, it may be necessary to take certain DEP equipment out of service for short durations. The Contractor shall indicate all proposed System shutdowns on the PM approved work schedule. At no time shall the Contractor shutdown any part of the System without the PM’s prior written consent.

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A-1.8 STORAGE OF CONTRACTOR’S MATERIAL If necessary, the Contractor’s materials (e.g., tools, supplies, etc.) may be stored at the Site only as approved by the PM. The storage space shall be kept clean and accessible to the PM and responsible DEP personnel at all times. Every precaution shall be taken to avoid damage by fire, water, etc. DEP will not be responsible for the security of these materials.

Onsite parking for vehicles is also limited. The Contractor’s personnel shall comply with the Site parking restrictions established by the PM or other responsible DEP personnel.

The Contractor shall keep any road or path alongside any area designated for the Contractor’s use clean and unrestricted to allow passage at all times by DEP personnel and vehicles.

A-1.9 TOOLS, MATERIALS AND EQUIPMENT The Contractor shall provide all necessary labor, parts, equipment, tools, and materials required for proper completion of the Work.

A-1.10 REJECTED WORK AND MATERIALS All materials, methods of application or other Work that the PM determines do not conform in all respects to the requirements specified in the Contract Documents will be rejected. The Contractor shall immediately remove rejected Work and satisfactorily replace such Work at its own expense. Refusal to remove or replace such Work or materials after being notified may lead to the default of the Contractor.

A-1.11 EXISTING EQUIPMENT DEP shall provide network infrastructure (e.g., routers, switches, and cabling) at the Sites as required by the Site specific specifications outlined in later sections.

Upon request by the Contractor, copies of available drawings of DEP existing equipment will be provided to the Contractor by the PM.

The Contractor shall include references to DEP existing equipment and network infrastructure, including any necessary infrastructure configuration requirements, on all submittals and drawings described in Section B-1.4, Submittals.

A. EXISTING DEP EQUIPMENT – GENERAL DEP shall provide the Contractor with access to all necessary DEP equipment installed prior to the commencement of Work pursuant to the following:

1. DEP shall provide the Contractor with an equipment inventory list describing equipment,quantities, and configuration information.

2. The PM shall determine and approve which of the existing equipment will be includedand integrated as part of the SCADA System.

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3. The Contractor shall coordinate any necessary configurations of the existing equipment,in accordance with the Contract Documents, and shall notify the PM of any, and all, suchconfiguration requirements.

4. Any deficiencies with the existing equipment shall be immediately brought to theattention of the PM who shall determine how to remedy the deficiency.

5. The PM shall have the final determination in matters including, but not limited to, theintegration of existing equipment due to defects or compatibility issues brought to theirattention by the Contractor, as well as ordering and testing of existing equipment prior toincorporation in the SCADA System.

B. EXISTING DEP SCADA COMMUNICATIONS NETWORK The Contractor shall:

1. Utilize the existing SCADA WAN to acquire data from the Remote Locations listed inAppendix I.

2. Coordinate its work with the PM to obtain WAN configuration information, and/or torequest required configuration changes to any/all network connections.

3. Not make any changes to, or add any equipment onto, the existing SCADA Systemwithout prior approval from the PM.

4. The Contractor shall request drawings and documentation of the SCADA WAN from thePM. Such drawings and documentation will be made available to the Contractor at thesole discretion of the PM.

C. EXISTING DEP REMOTE LOCATIONS CONTROL EQUIPMENT The Contractor shall:

1. Utilize the existing Remote Location control equipment as the source of data Input/Output (I/O) points for the updated SCADA System. The Remote Location ControlEquipment is identified later in, and throughout, this Contract.

2. Coordinate its work with DEP Instrumentation and Controls Section (I&C) to obtainspecific information regarding the Remote Location Control Equipment and associatedI/O. Reference information regarding Site specific I/O is provided in the appendicesattached to these Specifications.

3. Not make any changes to Remote Location Monitoring Equipment, or add any additionalequipment, onto the existing DEP SCADA network without prior approval from the PMand a representative of I&C.

4. Request from the PM drawings, configuration information, and additional sitedocumentation for the Remote Location control equipment.

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D. EXISTING DEP ANCILLARY AND ADJUNCT EQUIPMENT The Contractor shall:

1. Utilize the existing communications infrastructure to deliver data and reports to a varietyof devices, including network printers.

2. Not make changes to any device, or networking equipment, and shall not add anyadditional equipment onto the existing SCADA network without prior approval from thePM.

3. Immediately report any deficiencies or incompatibilities in or between the DEPequipment to the PM who shall determine how to remedy the deficiency.

4. Request from the PM drawings, configuration information, and additional sitedocumentation for the ancillary and adjunct equipment.

E. REPLACEMENT/UPGRADE, STARTUP AND FIELD TESTING OF EXISTING DEP EQUIPMENT If any existing DEP equipment needs to be replaced or upgraded, DEP will provide such equipment to the Contractor and the Contractor shall install the equipment, as directed by DEP, in accordance with the manufacturer's recommendations and approved Shop Drawings. The Contractor shall also coordinate with the PM any specific network configuration, hardware, or supporting application software requirements necessary to integrate the replaced or upgraded DEP equipment into the SCADA System. Startup and Field testing of existing DEP equipment, as referenced in Section F – Startup and Field Testing, shall be performed by the Contractor.

A-1.12 LIQUIDATED DAMAGES Pursuant to Article 8 of the DEP Supply and Service Contract and in accordance with these Specifications, the Contractor shall pay to DEP as liquidated damages the amount of $100 for each consecutive calendar day, or fraction thereof, of failure to complete all Contract Work by calendar day 730, until Work is complete.

SECTION B – GENERAL SCADA REQUIREMENTS

B-1.1 SUMMARY OF SECTION The Contractor shall provide all labor, materials, equipment, and peripherals as shown, specified, and required to furnish, install, test, calibrate, and stage into operation a complete SCADA System. The SCADA System monitors and controls the operations of DEP’s water supply system and monitors Wastewater Operations (WWO) treatment facilities and Water Quality (WQ) parameters. The SCADA System has a primary WSCC located in Grahamsville, NY and a continuously online secondary DRCC located in Kingston, NY.

A. The upgraded SCADA System in WSCC and DRCC shall include the following major equipment:

1. Redundant Fault Tolerant SCADA file servers.

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2. Redundant Fault Tolerant Historian Servers.3. Operator Workstations with Human Machine Interface (HMI) software.4. SCADA Software.5. Networking interface equipment including switches, hubs, routers, and firewalls.6. Smart Devices with application software to access Historian Servers.7. Equipment identified in Section O, Grahamsville WSCC Requirements and

Section VV, Kingston DRCC Requirements.8. Any additional labor, materials, equipment, and peripherals as required to provide

a fully functional SCADA System and as necessary to complete the Work underthis Contract.

B. The SCADA System shall monitor, store, display, and log processes, equipment operating information, and alarms as well as to perform various process control functions and the generation of various reports. The processes which the Control System shall monitor and control are described in Section N, Control Strategies.

C. All required field power, signal, control wiring, cables and conduits including wire terminations of the SCADA System equipment will be provided by DEP.

D. Reference drawings, Control Strategies and technical requirements in Division Two of this Contract shall illustrate and describe the overall functional and operational requirements.

1. The Contractor shall refer to Appendix VII, Sample HMI Screens and other sections ofthese Detailed Specifications to assist in determining the extent of the HMI graphicconfiguration effort required.

2. The Contractor shall format reports to comply with DEP’s reporting requirements andwithin the parameters of the SCADA software. Refer to Appendix VIII, Sample Reportsand Section N, Control Strategies for specific report generation requirements. TheContractor shall configure additional reports as determined necessary by the PM. TheContractor shall provide detailed draft reports for approval by the PM during shopdrawing review.

3. The Contractor shall include in its lump sum bid price all costs for Control Strategychanges that take place after factory acceptance of the SCADA System as referenced inSection N, Control Strategies.

E. The Contractor shall install, configure, and test Workstations at the WSCC and the DRCC, twenty-five (25) remotely located Workstations, and all smart devices provided under this Contract. The Contractor shall configure the graphics for all Workstations.

F. All software provided by the Contractor shall be licensed to DEP.

B-1.2 QUALIFICATIONS AND EXPERIENCE The apparent low bidder shall, prior to award and upon request by DEP, submit the following information relating to the bidder’s qualifications and competence to perform the Work. If the bidder fails to provide the documentation for all items below, the bid may be deemed non-responsive.

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A. The apparent low bidder shall provide descriptive materials and company history for the bidder demonstrating a minimum of five (5) years of experience, for the Contractor or its personnel, performing similar Work (in scope and magnitude) as that described in these Specifications.

B. The apparent low bidder shall provide an organizational chart indicating key personnel and their associated tasks, including proposed Subcontractors if any, for this Contract.

C. The apparent low bidder shall provide a list of at least three (3) contracts, whether completed or currently in effect, with scopes and magnitudes similar to the Work described herein. The following information is required regarding each contract cited: contract description, term, dollar amount, name and address of contracting agency or firm, name of agency/firm’s contact person including title and phone number.

D. Additionally, the Contractor shall:

1. Have at least five years’ continuous experience in installing, integrating and configuringinstrumentation and control systems that are comparable to the SCADA System in termsof hardware, software, cost and complexity.

2. Have in existence, at the time of bid, experienced technical staff capable of installing,integrating, configuring, and providing training for SCADA.

3. Have experience in operator interface software configuration, hardware application,configuration of distributed microprocessor based controllers, and networking equipment.

4. Provide standard course offerings in general process control applications and inoperation, configuration and maintenance of the Control System and equipment asdescribed in Section G, Training.

5. Have a working knowledge of water supply and wastewater treatment processes andcontrol philosophy in accordance with standard practices of the water industry to assistwith the proper configuration of the System as it relates to specific data flows andprocesses unique to the water industry.

6. Have a system of traceability of the manufactured units and purchased componentsthrough production, assembly, and testing.

7. Have a system of Burn-in for all components and available supportive documentation.Component manufacturers’ factory Burn-in certificates shall be submitted to the PM.

8. Provide service records and customer references that demonstrate a record of promptresponse to field failures.

9. Have a documented program of failure analysis.

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10. Provide service records and customer references illustrative of prompt shipments inaccordance with contract obligations required for previous projects.

11. Provide customer references to demonstrate adherence to system security procedures andstandards including but not limited to:

(a) ANSI/ISA-TR99.00.01-2007 - Security Technologies for Manufacturing and Control Systems

(b) ISA 62443-2-1-2009 – Security for Industrial Automation and Control Systems: Establishing an Industrial Automation and Control Systems Security Program.

(c) National Institute of Standards and Technology (NIST) Special Publication (SP)-800-82 – Guide to Industrial Control Systems (ICS) Security.

(d) ICS-CERT – Industrial Control Systems Cyber Emergency Response Team.

F. The apparent low bidder shall provide a copy of all applicable licenses, permits, certificates, etc., of the appropriate type, classification, etc. that are required to perform the Work under this Contract. The documents shall be in effect at the time of the bid opening and throughout the entire term of the Contract. All laborers, workers and mechanics at DEP Sites must be certified as having completed a 10-hour U.S. Occupational Safety and Health Administration (OSHA) course in construction safety and health. These certificates must be in place before the start of work.

G. The apparent low bidder shall provide the environmental, health and safety (EHS) information in accordance with Part C(3) of the Information for Bids.

B-1.3 QUALITY ASSURANCE

A. GENERAL 1. The upgraded SCADA System shall be furnished and placed into operation by the

Contractor, who shall provide a complete and integrated System subject to:

(a) SCADA System installation, network configuration and provisioning (b) Factory testing (c) Field testing (d) Training

2. The Contractor shall be responsible for the performance of any equipment, components,and materials furnished by it, as per requirements set forth in Section E, Factory Testingand Section F, Startup and Field Testing.

B. RESPONSIBILITIES 1. The Contractor shall perform the following quality assurance Work:

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(a) Implementation, testing, and applications configuration of the SCADA System and all subsystems in accordance with the Contract Documents.

(b) Preparation, assembly, and correction of all SCADA System submittals in accordance with the Contract Documents and PM’s directions.

(c) Proper interfacing of the SCADA System hardware, software, field devices, and panels, including required interfacing with packaged Control Systems.

(d) Supervision of Subcontractors.

(e) Calibration, testing, and start-up of the SCADA System.

(f) Training of DEP personnel in operation and maintenance of the SCADA System.

(g) Fulfillment of all warranty obligations for the SCADA System and software.

(h) Maintenance of two loadable copies of the complete upgraded SCADA System’s configured software secured at the Contractor's facility for the duration of the 1 year maintenance and guaranty period. Such copies shall be maintained on the bulk storage medium used by the Contractor for System configuration implementation and shall be directly loadable on the supplied System via jump drive, DVD, etc., following all DEP security protocols, as approved by the PM. These copies shall be turned over to DEP at the end of the maintenance and guaranty period.

C. STANDARDS The organizations shown in the table below have developed industry accepted standards that are to be used to ensure adherence to industry standards for quality assurance, reliability, governance of nomenclature, definition of parameters of configuration etc., in addition to any other specific details in these Specifications:

D. COORDINATION AND PROGRESS MEETINGS 1. Monthly progress and coordination meetings will be scheduled by the PM;

additional meetings may be requested by the Contractor. The Contractor shall

ACRONYM ORGANIZATION NAMEISA The Instrumentation, Systems and Automation SocietyUL Underwriters' Laboratories, Inc

AWWA American Water Works AssociationNEMA National Electrical Manufacturers AssociationOSHA Occupational Safety and Health AdministrationANSI American National Standards InstituteMIL Military Standard

NEPA National Fire Protection AssociationIEEE Institute of Electrical and Electronics EngineersNEC National Electrical CodeFM Factory Mutual

NIST National Institute of Standards and TechnologyICS-CERT Industrial Control Systems Cyber Emergency Response Team

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attend all such meetings during the term of the Contract. The purpose of the meetings is to review the progress of the Work and coordinate installation of the equipment.

2. A minimum of five (5) graphic display development meetings shall be held onconsecutive days at a Site or other PM designated location. These meetings shallbe dedicated for the presentation of graphic displays. The Contractor shallprepare sample graphic displays specific for this Contract and shall present themto the PM and operations personnel. The purpose of the meetings is to reviewthe graphic displays and database with the Contractor and provide theContractor with feedback. The Contractor shall bring all computers, software,handouts, projectors, screens and other equipment required to perform thedisplay demonstration. The Contractor shall have the capacity to makealterations and adjustments during these meetings.

3. The Contractor shall report on all scheduling and coordination activities withothers doing Work at the Sites. These activities shall be documented andreported on as part of the Gantt chart as per Section B-1.4 Submittals.

4. The Contractor shall submit a progress report on a monthly basis showingcompleted, in process and to be started milestones compared to the approvedproject schedule, and the progress report shall include all items described inSection B-1.3E(2) and shall be documented on the Contract Gantt chart. Inaddition, this report shall also include all issues to identify problems, resolutionsand next steps taken by the Contractor to resolve all issues. Eight (8) copies ofthe Contractor’s report shall be distributed at the monthly Coordination andProgress meeting. The print out of the schedules shall not exceed 11" x 17" sizeand shall include bar charts as well as a short summary of the Work progress.The report shall be submitted to the PM one week prior to the monthly meetingirrespective of the meeting being held or not.

5. The Contractor’s project coordinator shall attend all meetings and shall have theauthority to make any and all necessary decisions. Decisions and statementsmade at the meetings shall commit the Contractor to agreed procedures andschedules.

6. Detailed design and review shall be part of the coordination and progressmeetings described above and will address ground rules ground rules, contacts,requirements review, etc. and shall address DEP’s detailed design of the Systemand the Contractor’s implementation of shop drawings , method of acquiringequipment and software, factory acceptance testing, field installation and testing,startup, and training activities, with particular emphasis on coordination withSubcontractors and equipment suppliers. Regular design review meetings shallbe held as part of the monthly coordination and progress meeting until all designmatters are resolved and all submittals are approved. Data made available by theContractor at this meeting shall include, but not be limited to:

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Answers to all unresolved matters from the pre-submittal conference.

Detailed project schedule

System block diagram

SCADA System Network Diagram

Project Schedule including:

SCADA System hardware submittals SCADA System software submittals Process control narratives Graphic display screens review meeting Final graphic displays Reports review Final reports Script review Final scripts Factory testing schedule for all SCADA System equipment including vendor supplied panels. Factory testing procedures Factory test dates Equipment deliveries Field test procedures Final operation and maintenance (O&M) manuals Training manuals submittals Training schedule Spare parts list Loop testing Field calibrations Startup schedule

E. PROJECT PERSONNEL The Contractor shall provide the following project personnel:

1. Project Coordinator who shall:(a) Be accountable for all unresolved matters from the pre-submittal conference.(b) Act as liaison regarding installation of the monitoring and control system equipment,

and software configuration and shall assist where necessary for proper coordination and interfacing with the PM during the implementation and testing of the System at Remote Locations.

(c) Coordinate any network related activities with the PM and Other Contractors which may be impacted by the Work being performed under this Contract (e.g., uploading or downloading data from/to Remote Locations).

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2. Field Engineer(s) shall have 5 years of experience in systems engineering, integration andstart-up and shall have a thorough working knowledge of both the hardware and softwaresupplied for the SCADA System. They shall:(a) Provide installation and testing of equipment and software.(b) Install, calibrate, adjust, and startup system checkout, including tuning of every

control loop. (c) Provide maintenance services during availability demonstrations.(d) Provide onsite System training of plant personnel.(e) Resolve issues with Control Strategies encountered during initial startup and testing

of all equipment.

3. Training Personnel who shall comply with the requirements of Section G, Training.

B-1.4 SUBMITTALS

A. DRAWINGS: 1. ISA data sheets shall be used. The ISA data sheets shall comply with ISA–TR20.00.01–

2007 requirements and shall be computer generated in PDF format. All ISA data sheets related to field and panel instruments shall contain, at a minimum:

(a) Tag number per these Specifications and Contract Drawings (b) Equipment name used on the Contract Drawings (c) Name of manufacturer and supplier (d) Manufacturer’s complete model number (e) Location of the device (f) Input/output characteristics (g) Range, size, and graduations (h) Physical size with dimensions, NEMA enclosure classification, and mounting details (i) Environmental requirements during storage and operation

2. Drawing preparation of Reference Drawings, Shop Drawings and ISA data sheets shallnot commence until after the pre-submittal conference described below.

3. Reference Drawings, Shop Drawings and ISA data sheets shall be submitted in completepackages grouped to permit review of related items.

4. Reference Drawings, Shop Drawing and ISA data sheets shall be in conformance withContract Documents and specified functions provided by DEP.

B. PRE-SUBMITTAL CONFERENCE: 1. The Contractor shall arrange and conduct a pre-submittal conference within thirty (30)

calendar days of the date indicated in the Notice to Proceed.

2. The pre-submittal conference shall be attended by representatives of the Contractor, allSubcontractors, DEP, and the PM.

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3. The Contractor shall allocate one (1) full working day for the conference. The conferenceshall be held at the DEP office located in Grahamsville, NY.

4. The purpose of the pre-submittal conference shall be to review and approve the manner inwhich the Contractor intends to respond to the Contract requirements before anysubmittals are prepared.

5. The Contractor shall prepare the items listed below for presentation at the pre-submittalconference. The information shall be submitted to the PM 72 hours prior to the date ofthe conference.

(a) Resume of the individual, who shall be the Contractor’s Project Coordinator.

(b) Sample of each type of submittal as specified in Section B-1.4(C) SubmittalRequirements. These may be submittals prepared for other projects.

(c) A project schedule detailing how the Contractor plans to complete the Work in the allotted timeframe.

(d) Microsoft Project Gantt chart schedule for all SCADA System related activities from the pre-submittal conference through startup and training in electronic format. Particular emphasis shall be given to dates for submittals, configuration, factory testing, deliveries, installation, and field testing. The schedule shall be subdivided to show activities relative to each major item or group of items when everything in a given group is on the same schedule.

(e) General outline of the type of tests to be performed to verify that all equipment and software are functioning properly in accordance with Control Strategies to the extent that all equipment and software are performing as intended. Tests shall include field-testing, start-up procedures and factory testing.

C. SUBMITTAL REQUIREMENTS The Contractor shall submit the following submittals to the PM within 30 calendar days of the pre-submittal conference:

1. Product information for all supplied equipment shall include the following information inan electronic format:

a. Manufacturer's product name and model numberb. Instrument tag number from these Specifications and Contract Drawingsc. Manufacturer’s standard catalog product datad. Description of installation featurese. Performance and operation dataf. Installation and mounting details, instructions and recommendationsg. Service requirementsh. Dimensions

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2. SCADA System:

a. System Description: Include detailed block diagram showing System hardwareconfiguration and model number identification of System components.

b. Software language and organization: Include format, protocol, and procedures fornetwork communications and local communications including I/O modules andperipheral devices.

c. HMI:i. Control and failure modes.

ii. On line and off line capabilities for configuring, system utilities, anddiagnostics.

iii. I/O point list with I/O module cross-reference identification for eachdistributed controller.

iv. Database list including all I/O points.v. HMI databases shall include MS SQL Data dictionary with flowcharts and

database scheme.vi. Suggested detailed format and configuration of all log reports, alarm

summaries, printer outputs, CRT displays and graphics in accordance withapplicable Control Strategies.

d. Equipment Hardware:i. Layout drawings showing front, rear, end, and plan views to scale of all

processing equipment, I/O components, power supplies, and peripheraldevices.

ii. Installation details, features, and procedures.iii. Interconnection diagrams including termination details, cable identification

list, and cable length.iv. Plans showing equipment layout in control panels.v. Installation requirements, instructions, and/or recommendations.

e. Software Description:i. Standard technical documentation covering all aspects of the distributed

Control System software functions and capabilities, including instruction setdescription and configuration procedures related to control, monitoring,display, logging, reporting, and alarming functions. Additionally, provideflow chart showing system interconnectivity.

ii. Standard technical and instructional documentation covering software forutility, system support, system documentation, display, communications, datalogging, and storage and diagnostic functions.

iii. Detailed functional descriptions of application programs explaining control,display, logging, and alarming features to be provided and functions to beperformed. Include details on how real time data is transferred to thehistorical database and frequency of transfer.

iv. Documentation describing memory type, size, and structure, including size ofsystem memory, I/O, data table memory, and memory available for control

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programs. Also, define estimated control program memory requirements, processor execution times and program scan times.

v. Documentation describing central monitoring station main and secondarymemory type, size, and requirements to perform the display, logging, reporting, and alarming functions.

f. System Software Documentation: Submit two hard copies and one electronic copy inPDF format (provided via CD) of preliminary software documentation as specified inSection E, Factory Testing. Submittal shall be for DEP and the PM’s information onlyand shall not be subject to formal approval. Software documentation shall include thefollowing at a minimum:

i. Listing of external and internal I/O address assignments, register assignments,and preset constant values along with functional point descriptions. Also, listall unused/undefined I/O and data table registers available.

ii. Documentation for all of programs.iii. Detailed system memory map defining memory segments used and spare

memory segments available for system memory, I/O tables, data tables andcontrol program.

iv. Database listing including listings for log, report, and alarm file setups.v. All system graphic displays and formats for all logs, reports, and the alarm

summary.vi. User's manuals describing procedures and providing examples for use of

operator's consoles, workstations and programming terminal, accessories andsystem utility routines to perform control, display and logging programgeneration, program modification, program verification, diagnostics, programdocumentation, loading and backup and other required system supportfunctions.

vii. Graphic Displays: Submit samples of each type of display.

D. SCADA SYSTEM OPERATIONS AND MAINTENANCE MANUALS Prior to Final Acceptance, the Contractor shall provide eight (8) hard copies and one (1) electronic copy of each O&M manual for equipment and software provided under this Contract, in PDF format (provided via CD), for the SCADA System.

1. The O&M manuals shall include the following:

(a) Name, address, email, and mobile and telephone numbers of the Contractor's local service representative as well as for all support centers for furnished equipment and software.

(b) Complete list of supplied system hardware parts with full model numbers referring to system part designations.

(c) Copy of all approved submittals as specified herein with corrections made to reflect the System as tested and delivered to the Site for installation. Half size black line

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reproductions shall be provided for all shop drawings larger than 11 by 17 inches. All drawings shall be 11 by 17 inches minimum size. Drawings 8-1/2 by 11 inches are not acceptable.

(d) Complete and current System software documentation.

(e) Manufacturer's original copies of hardware, software and installation, assembly and Operations Manuals for the SCADA System, peripheral devices, and all other Control System components. Manuals shall include the following information:

i. General descriptive information covering the basic features of the equipment.ii. Physical description covering layout and installation requirements and all

environmental constraints.iii. Functional and operational descriptions covering the procedures for

configuration, operation, startup, shutdown, and calibration of the distributedControl System equipment and explanation of how the various controlfunctions are performed.

iv. Principles of operation explaining overview and component level detail.v. Maintenance procedures covering checkout, troubleshooting, and servicing;

checkout procedures shall provide the means to verify the satisfactoryoperation of equipment, troubleshooting procedures shall serve as a guide indetermining faulty components, and servicing procedures shall coverrequirements and recommended time schedule for calibration, cleaning,lubrication, and other housekeeping and preventive maintenance procedures.

vi. Wiring, schematic, and logic diagrams.vii. Safety considerations relating to operation and maintenance procedures.

E. REPORTS 1. Eight (8) hard copies and one (1) electronic copy, in PDF format (provided via CD), of

the following reports shall be submitted to the PM before the maintenance and guaranty period:

(a) Factory Test Reports as specified in Section E, Factory Testing.

(b) Installation Inspection Reports as specified in Section F, Startup and Field Testing.

(c) Progress Reports as specified in Section B-1.3(D).

B-1.5 EQUIPMENT DELIVERY, HANDLING AND STORAGE

A. PACKAGING SCADA System equipment shall be packaged at the factory prior to shipment to protect each item from damage during shipment and storage. Containers shall be protected against impact, abrasion, corrosion, discoloration, and other damage. Clearly label contents of each container and provide information on the required storage conditions necessary for the equipment. Inform the PM of delivery.

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B. HANDLING/TRANSPORTATION Transportation and handling of the SCADA System equipment and appurtenances shall comply with the requirements of the equipment manufacturers.

C. STORAGE AND PROTECTION Protection of SCADA System equipment shall comply with the manufacturer's requirements and instructions and any relevant organization standards. Contractor shall notify the PM, in writing, of the storage requirements and recommendations for the equipment prior to shipment.

SECTION C – NOTIFICATION OF HAZARDOUS MATERIALS IN WORK AREA

C-1.1 HAZARDOUS MATERIALS Hazardous materials present may include asbestos and lead paint. The Contractor shall, at all times, when working at these facilities, exercise necessary precautions to avoid interaction with these hazardous materials and conform to all directions and instructions provided by DEP.

SECTION D - MEASUREMENT AND PAYMENT

D-1.1 PAYMENTS The Contractor shall submit two (2) hard copies of payment requests, in addition to one (1) digital copy (e.g., email, thumb drive, CD). Payment shall be based on the Bid Sheet and Appendix III, Schedule of Payment, except as otherwise specified.

Each payment request shall include, but may not be limited to, the back-up items listed below for both the Contractor and any Subcontractors, and any other back-up required by the PM:

• Summary of Work covered by the request;• Back-up payment information (timesheets, paid invoices, etc.);• Original certified payroll reports, if applicable; and• Daily sign-in/sign-out sheets.

The organization of the payment request is subject to revision by the PM.

The Contractor may request partial payment of a Payment Item by submitting a written request and justification. The Contractor shall submit any additional documentation requested by the PM. It is in the PM’s sole discretion as to whether a partial payment will be approved and the percentage of payment that may be invoiced.

The Contractor may propose modifications to the sequence of Work during Coordination and Progress meetings by submitting its proposed changes, including justifications, in writing, to the PM, who has sole discretion as to the approval or rejection of proposed modifications.

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D-1.2 BID ITEMS

A. LUMP SUM Contract item 1 has been provided on the Bid Sheet is a lump sum for the Contract. All Work, including all labor, parts, materials and equipment, required under this Contract, excluding Work that will be paid from Contract items A-1 and A-2, shall be paid from the lump sum. The Contractor shall include all costs thereof in its lump sum bid price for the Contract.

Payment under Contract Item 1 will constitute full compensation for all Work and costs to complete the Contract, with the exception of Allowances A-1 and A-2.

B. BID BREAKDOWN OF LUMP SUM Within 15 days after the commencement date specified in the Notice to Proceed, unless otherwise directed by the PM, the Contractor shall submit to the PM a breakdown of its bid price showing the various operations to be performed under the Contract, as illustrated in Appendix I1, Bid Breakdown of Lump Sum.

1. The total sum of the bid breakout line items shall equal the lump sum bid price excludingAllowances.

2. No partial payment will be approved until the Contractor submits a bid breakdown that isacceptable to the PM.

3. The Contractor shall also submit such other information related to its bid as directed by thePM. Thereafter, the breakdown may be used only for checking the Contractor’s applicationsfor partial payments hereunder, but shall not be binding upon the City, the Commissioner, orthe PM for any purpose whatsoever.

C. CONTRACT ITEM A-1 – MISCELLANEOUS EQUIPMENT ALLOWANCE Payment for Work performed under this allowance will be made on a time and materials basis, and shall not include overhead, profit, and other costs.

1. Allowance Item A-1 shall be used for:

(a) repairing, upgrading, or replacing DEP equipment in accordance with Section A-1.11 - Existing Equipment.

(b) repairing, upgrading, replacing, or adding DEP networking equipment in accordance with Section M, SCADA Communications Network.

2. This allowance shall only be used when directed in writing by the PM. The Contractor shallsubmit written quotations for any equipment and services proposed to be provided under thisallowance. The PM must approve in writing, in advance, any price quotation.

D. CONTRACT ITEM A-2 – TRAVEL, MEALS, LODGING ALLOWANCE Payment for Work performed under this allowance will be made on a time and materials basis, and shall not include overhead, profit, and other costs.

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1. Allowance A-2 shall be used for all transportation, food, lodging, and incidentals required forup to two (2) DEP representatives to witness factory testing at the Contractor’s facility inaccordance with Section E, Factory Testing.

2. The Contractor shall make all travel and lodging arrangements in accordance with the NewYork City Comptroller’s Office Directive No. 6: Travel, Meals, Lodging, and MiscellaneousAgency Expenses (dated December 30, 2016) or a later or equivalent City document.

3. All travel and lodging arrangements shall be submitted to the PM for written approval.

4. The duration of each witnessed factory test shall be as determined by the PM.

D-1.3 PAYMENT ITEMS The Contractor shall invoice and be paid based upon completion of Work as described in the Detailed Specifications and as approved by the PM. Specific tasks and payment percentages for the Lump Sum are shown in Appendix III, Schedule of Payments. For Work paid from an Allowance, payment will be made on a time and materials basis.

A. FACTORY TESTING - Payment Item #1 Payment for factory testing Work will be made upon completion of all Work described in Section E, Factory Testing.

B. DELIVERY OF EQUIPMENT - Payment Item #2 Payment for delivery of equipment to the Sites will be made upon completion of all items listed in Appendix X, Sequence of Work Line #7: Delivery of Equipment, and as detailed in Sections H, I, J, K, L, O, and VV.

C. INSTALLATION WORK AT WSCC - Payment Item #3 and Payment Item #27

1. Payment Item #3: Payment for installation Work at WSCC will be made upon completion ofall installation Work at WSCC, as detailed in Section O-1.1(B.1).

2. Payment Item #27: Payment for installation Work at WSCC will be made upon completionof all installation Work at WSCC, as detailed in Section O-1.1(B.2).

D. INSTALLATION WORK AT DRCC - Payment Item #4 and Payment Item #28

1. Payment Item #4: Payment for Installation Work at DRCC will be made upon completion ofall installation Work at WSCC, as detailed in Section VV-1.1(B.1).

2. Payment Item #28: Payment for Installation Work at DRCC will be made upon completion ofall Installation Work at WSCC, as detailed in Section VV-1.1(B.2).

E. CHECKOUT, STARTUP, AND FIELD TESTING - Payment Item #5 Payment for checkout, startup, and field testing shall be upon completion of all Work described in Section F, Checkout, Startup and Field Testing.

F. REMOTE LOCATION CONFIGURATION, ACTIVATION AND ACCEPTANCE - Payment Items #6 through #25

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Payment for Remote Location Work for Payment Items #6 through #25 will be made upon completion of all Work for each individual Remote Location, or grouping of Remote Locations, as described in Section P through Section UU.

G. COMPLETE TRAINING REQUIREMENTS - Payment Item #26 Payment for Contractor-provided training sessions shall be upon completion of all Work described in Section G, Training.

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DIVISION TWO – TECHNICAL REQUIREMENTS

SECTION E - FACTORY TESTING

E-1.1 SUMMARY OF SECTION The Contractor shall provide all labor, materials, equipment and incidentals as shown, specified and required to perform factory testing, before shipment to the Site(s), at the Contractor’s facility to verify that SCADA System components are functioning properly and that they meet the functional and performance requirements of the Contract Documents.

The Contractor shall submit information to the PM related to factory testing procedures to verify that testing will satisfy the requirements as specified herein. Submittal shall be made prior to any scheduled testing and shall include dates of scheduled tests.

The Contractor shall notify the PM in writing at least forty-five (45) days before expected initiation of tests. DEP may elect to be present at the Contractor's facilities during factory testing of system equipment, either as individual units or as an integrated system. The presence of DEP during testing does not relieve the Contractor from conforming to the requirements of the Contract Documents and shall in no way imply acceptance of the equipment.

When factory tests have been successfully completed, a report shall be submitted to the PM. The equipment shall not be shipped to the Site(s) until notice of DEP acceptance of the test is received by the Contractor.

E-1.2 OPERATIONAL TESTING – SYSTEM HARDWARE All I/O devices and components shall be tested to verify operability and basic calibration including, but not limited to:

A. STAND-ALONE TESTING All SCADA System hardware components shall be tested to verify proper operation of the equipment as stand-alone units. Tests shall include, but not be limited to, the following:

1. AC/DC power checks2. Power fail/restart tests3. Diagnostics checks4. Test to demonstrate that all SCADA System hardware components’ functional

capabilities are working properly

B. COMMUNICATIONS TESTING Where applicable, all System components shall be tested to verify that communication between units is working properly.

C. INTEGRATED SYSTEM TESTING An integrated system test with all System equipment connected (excluding field sensors and instruments) shall be performed to verify that all equipment is performing properly as an integrated system. The integrated system test shall include at a minimum:

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1. Operator Workstations (described in Section H); and 2. Stratus Servers (described in Section I)

E-1.3 DEMONSTRATION - SYSTEM SOFTWARE

The Contractor shall demonstrate to DEP all System software utility and security programs incorporated into the System to illustrate the various functions and capabilities specified in the Contract Documents, including: A. SOFTWARE SIMULATION

Using the configured hardware and software provided by the Contractor, the Contractor shall demonstrate the operation and display of all software based on a simulation of 100 percent of total I/O count, both analog and discrete, as selected by the PM. Demonstration shall confirm that the monitoring and control application software associated with the I/O points perform in accordance with the Contract Documents. The software demonstration shall include: 1. Process simulation models that interface directly in real time with Operator Workstations

provided. 2. Graphic symbols representing the process schematics. 3. Graphic symbols representing each field panel of operator Workstations. 4. Graphic symbols representing each field instrument. 5. The stand-alone Workstation being able to model an entire process feedback using

graphics and symbols. 6. Tag numbers for panels, equipment and instruments used in simulation software shall be

the same as those shown in the Contract Documents. 7. SCADA software application.

B. SYSTEM PERFORMANCE

System performance shall be tested using a fully integrated system, including all software and hardware as follows. 1. The entire Control System, including all peripheral devices and all interconnecting

cables, shall be assembled on the factory test floor. The Workstation used for simulation shall be configured, loaded, and running the virtual process feedback application software configured by the Contractor for this Contract.

2. The Contractor shall demonstrate the fail-over process of the SCADA and Historian

Servers.

3. The Contractor shall demonstrate the functionality of the secondary Servers to: (a) Run independently (b) Synchronize data (c) Recover from communication and power interruptions

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4. The Contractor shall retain the services of a hardware and software supplier factorytrained technician.

5. Demonstration of communication between PLCs, DCS units or to remote I/O devicesshall be included in the test procedure, where applicable.

6. Operator Interfaces:(a) Prior to staging and testing the System, the display environments shall have been

configured per the DEP approved display structure and loaded with the database parameters linked to the specified display fields.

(b) The overall display structure shall be demonstrated, including environment configurations, passwords, security, etc.

(c) The memo display contents shall be reviewed to demonstrate how an operator navigates within the overall display structure

(d) The assignment of displays to graphic keys/buttons shall also be demonstrated. Each graphic display shall be reviewed to ensure the layout, symbols, color scheme, etc. are correct.

(e) The operation of standard alarm management displays (current alarm display, alarm history, etc.) shall be demonstrated.

(f) A demonstration of each type of report specified shall be performed, including printing and electronic distribution.

7. The Contractor shall carry out a full system test. During the test, the entire System shalloperate continuously without failure in accordance with the requirements of the ContractDocuments. System performance shall be tested using a fully integrated system,including all system software, simulation software and hardware. To achieve this, theentire Control System, including all the peripheral devices and all interconnecting cables,shall be assembled on the factory test floor, the complete operational configurationloaded, and simulated inputs using the simulation software shall be applied. Signals fromfield devices not available for connection to the panel shall be simulated.

(a) The Contractor shall carry out a 100-hour continuous full system test, during which time the entire System shall operate continuously without failure in accordance with the requirements of the Contract Documents. The 100-hour test shall precede the witness factory test.

(b) If a System component fails during the 100-hour test, the test period shall be restarted after its operation is restored.

(c) The Contractor shall submit certification to the PM in writing that the 100-hour test has been successfully completed prior to scheduling any witness factory testing.

E-1.4 DEMONSTRATION – SCADA SERVER AND SOFTWARE The Contractor shall furnish, install, test, and configure a Server loaded with software with all linkage hardware with built-in process modeling tools which, together with user configured models, will comprise the process environment. This software shall be able to simulate all process control system signals, alarms, and shut down scenarios and will include, at a minimum,

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the following features:

1. Ability to configure discrete devices, loops, and objects comprising flow, level,temperature, and pressure within the modeling environment.

2. Possess full control over the behavior of each modeled object within the modelingenvironment from a Workstation.

3. Point-and-click access to object parameters as they are being executed in the background.4. Development of custom graphic items.5. Process specific libraries of unit operations and physical properties.

SECTION F – CHECKOUT, STARTUP AND FIELD TESTING

F-1.1 SUMMARY OF SECTION The Contractor shall provide all necessary labor, materials, equipment and incidentals as shown, specified and required to perform checkout, startup testing, and field testing of the equipment.

F-1.2 SYSTEM CHECKOUT AND STARTUP TESTING AT CONTRACTOR’S FACILITY

A. SYSTEM CHECKOUT AND STARTUP 1. As part of the 100-hour continuous full system test described above, the Contractor shall

perform the following:

(a) Conduct a complete system checkout and adjustment, including verifying proper indication and display of all analog input, analog output, digital input, digital output, and any calculated variables; checking operation functions; and testing final control actions. Any changes to the configuration made due to test failure or other Contractor suggested changes to the configuration shall be included in the System checkout. All problems encountered shall be immediately corrected to prevent any delays in startup of the various unit processes.

B. TEST EQUIPMENT The Contractor shall provide all test equipment necessary to perform the testing during system checkout and startup.

C. INITIAL OPERATION The Contractor shall be responsible for the proper operation of the Contractor provided monitoring and Control System and shall make any required changes, adjustment or replacements for operation, monitoring and control of the various processes and equipment necessary to perform the functions as specified in the Contract Documents.

D. INSTALLATION INSPECTION REPORT Prior to placing the SCADA System into operation, the Contractor shall furnish the PM with an installation inspection report certifying that all equipment has been installed and is operating within the requirements set forth in Section E, Factory Testing and Section F, Startup and Field Testing and as approved by the PM. The report shall be signed by the Contractor.

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F-1.3 INTEGRATED SYSTEM FIELD TEST AT DEP SITES

A. SYSTEM TEST Following the SCADA System checkout and startup testing, and after Burn-in as approved by the PM, the Contractor shall perform a complete system test to verify that all equipment and configured software is operating properly as a fully integrated system, and that the monitoring and control functions are fully implemented and operational. Any defects or problems found during the test shall be corrected by the Contractor and then re-tested to demonstrate proper operation.

B. TEST PERIOD Following the successful completion of the system test described above, the Contractor shall perform a continuous 48 hour integrated system field test of the SCADA System including field sensors/transducers and instruments.

F-1.4 FIVE (5) DAY OPERATIONAL AVAILABILITY DEMONSTRATION

A. SUMMARY OF DEMONSTRATION As approved by the PM, the Operational Availability Demonstration (OAD) shall begin following completion of the integrated system field test as specified above and shall continue until the System (both hardware and software) availability meets or exceeds 99.9 percent for five (5) consecutive days based upon the equation specified in Section F-1.4(C) and no system failures have occurred which require restarting of the OAD. During the OAD, the upgraded System shall be available, in parallel to the existing System, for use by WSCC operating personnel in normal operation of the water supply system. For the purpose of the OAD, the System shall consist of the following:

1. SCADA System Servers and software.2. All Contractor provided Workstations.3. Communications network.4. SCADA System software applications and Smart Devices.

B. OPERABILITY FAILURES The conditions listed below shall constitute system failures, which are considered critical to the operability and maintainability of the System. The OAD shall be terminated if one or more of these conditions occur. Following correction of the problem(s), a new five (5) consecutive day OAD shall begin.

1. Failure to repair a problem within 48 consecutive hours from the time of notification of asystem failure of SCADA system servers and software.

2. Hardware or software problems where similar type of issue, as determined by the PM,occurs at least three times.

3. Software problem causing a processor to halt execution.

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C. SYSTEM AVAILABILITY FAILURES System availability shall be measured using the following System availability equation:

The following conditions shall constitute a failure related to System availability based upon the aforementioned equation.

1. Failure of any non-redundant Server or operator interface. 2. Loss of communications between devices on the communications network. 3. Failure of one or more I/O components. 4. Failure of any type affecting ten or more I/O points simultaneously. 5. Failure of any type affecting one or more regulatory control loops or sequential control

strategies that cause a loss of the automatic control of the process variable or process sequence operation.

6. Failure of equipment’s on board power supply. Where equipment has redundant power supplies equipped in its chassis, failure of one power supply shall not constitute a system failure provided the backup power supply operates properly and maintains power. Failure of the backup power supply to operate properly and maintain power shall constitute a system failure.

D. TIME TO REPAIR

Time to repair shall be measured in hours as the period of time elapsed between Contractor notification of a system failure and the time that the System is returned to proper operation in its original state. Restoral of service using backup or redundant systems and/or temporary components shall not constitute “repair”. Allowances, in terms of time measurement, will be made for the following dead times which shall not be counted as part of the time to repair period. 1. Actual travel time for service personnel to get to the Site up to 6 hours per incident from

the time the Contractor is notified of a system failure. 2. No longer than 24 hours per incident for receipt of spare parts to the Site once requested.

No Work shall be done on the System while waiting for delivery of spare parts. 3. Dead time shall not be counted as part of the time to repair period. The dead time shall be

logged and the duration of the OAD extended for an amount of time equal to the total dead time.

4. All parts and materials required to repair the System prior to completion of the OAD shall be supplied by the Contractor at no additional cost to DEP. If the Contractor uses parts from the Contractor furnished spare parts inventory, as described in Section O-1.2, they shall be replaced by the Contractor at no additional cost to DEP.

A = TTO X 100% (TTO + TTR)Where:A = System Availability in PercentTTO = Total Time in Operation (Hours)TTR = Total Time to Repair (Hours)

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E. FAILURE OF EXISTING EQUIPMENT Failure of existing DEP equipment or infrastructure (e.g., Routers, WAN connections, electrical outlets, etc.), shall not constitute a System availability failure.

F. SYSTEM FAILURE/MALFUNCTION AND REPAIR REPORTING Prior to the start of the OAD, DEP and the Contractor shall agree upon a format for the SCADA System Malfunction/Repair Reporting form that documents the items below. DEP will complete the SCADA System Malfunction/Repair Reporting form during the OAD: 1. System failures 2. Contractor notification 3. Arrival and Repair times 4. Contractor Repair actions.

F-1.5 Following written acceptance of the OAD by the PM, the Contractor shall complete a 60 consecutive day System Burn-in without any restarts of the OAD including System availability which meets or exceeds 99.9 percent based upon the System availability equation in Section F-1.4(C) above. Successful completion of this 60 consecutive day OAD, as evidenced by written approval by the PM, will constitute acceptance of the SCADA System by DEP.

F-1.6 FORMSThe Contractor shall utilize and complete an I/O verification form, similar to the sample form below, during field testing of the System.

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SECTION G - TRAINING

G-1.1 SUMMARY OF SECTION The Contractor shall perform and coordinate all required training, at times acceptable to the PM, in the operation and maintenance of the SCADA System.

The Contractor shall: 1. Provide all required materials including, but not limited to, computers, simulators, texts, and

supplies. 2. Provide classroom training at the Grahamsville Division Office Complex or another facility

approved by the PM. All costs associated with providing a training facility shall be deemed included in the Contractor's lump sum bid price.

3. Conduct training during the hours of 8:00 AM to 4:00 PM local time until conclusion of thetraining sessions. All training sessions shall be provided as specified and scheduled by the PM to accommodate their shift schedule.

4. Provide training personnel with a minimum of 1 year of training experience with similarSCADA systems, and provide, in writing, the qualifications of training personnel for approval by the PM prior to scheduling training.

Within ninety (90) days of the commencement date in the Notice to Proceed, the Contractor shall submit its plan for training. Included in the plan shall be complete per session curriculum and outlines.

G-1.2 TRAINING CATEGORIES

A. GENERAL TERMS The Contractor shall provide instructor-led training sessions, as approved by the PM, covering both operation and maintenance of the System equipment subject to the following:

1. Instructors shall meet the qualifications described in Section G-1.1(4).

2. All training shall be completed prior to System acceptance by DEP.

3. A training day shall be defined as 7 hours of class time, not including a one-hour requiredmeal break. Two fifteen minute breaks are required, but shall be included in the 7 hoursof class time. The Contractor shall ensure that all training providers are cognizant ofthese requirements.

4. DEP will require the following training session attendance accommodations:(a) Operator Training: up to 24 persons. (b) Maintenance Training: up to 10 persons. (c) System Supervisor/Engineer Training: up to 6 persons. (d) Management and Application Software Training: up to 15 persons.

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B. OPERATOR TRAINING Provide three 1-day sessions covering the structure and the functionality of the monitoring system’s components and devices. The sessions shall familiarize the students with procedures to operate the SCADA Systems. At a minimum, the curriculum shall include the following topics:

1. Overview of the System’s functional capabilities.2. Equipment overview including System component functions, operating principals, and

proper use.3. Use of System commands.4. Use of System displays.5. Use of bulk storage for System backup.6. Overlays, navigation, alarm pages, trend displays, start-up/shutdown procedures,

emergency responses to faults/malfunctions/upsets, and process events.7. Operator functions including, but not limited, to valve change, point lockout for

maintenance, manual dial backup, and troubleshooting communication issues.8. Integration of existing standard operating procedures (SOP) with the upgraded SCADA

System.

C. MAINTENANCE TRAINING Provide two 1-day sessions covering preventive and troubleshooting maintenance for the System components. The sessions shall familiarize the students with diagnostic capabilities of the System, both software and hardware, as well as routine maintenance procedures for the System and common peripheral devices. At a minimum, the curriculum shall include the following topics:

1. System overview description including power subsystems and logic components of theprocessor bus.

2. Description of maintenance and troubleshooting aids for the System including softwarediagnostic programs.

3. Description of all bus operations.4. Description of peripheral and process interface devices.5. The use of hardware diagnostic routines, test equipment and test procedures as required

to enable DEP’s personnel to detect and isolate System faults to the circuit board ormodule level and to implement repairs through replacement of failed circuit boards ormodules.

D. SYSTEM SUPERVISOR/ENGINEER TRAINING Provide a 5-day session consisting of 7 hours of class time per day (35 hours of total class time) covering the manufacturer's standard training in the use and configuration of the Contractor supplied HMI and SCADA software. System Supervisor/Engineer training shall be performed prior to bringing the upgraded System online for use.

1. The curriculum shall include, at minimum, the following fundamental topics:

(a) System overview and capabilities(b) System startup and shutdown procedures

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(c) LAN and WAN communications, as appropriate (d) Loading and start-up of the digital system hardware components (e) Loading System software (f) Setting System time (g) Time synchronization

2. The curriculum shall include, at minimum, the following advanced topics:

(a) Database configuration (real-time and historical systems):

i. Add, modify, and delete Remote Locations ii. Add, modify, and delete I/O points

iii. Database maintenance, compression, and troubleshooting (b) Graphic display configuration, including linking of data to displays (c) Historical data configuration (collection, manipulation, and display) (d) Real-time and historical trending (e) Report configuration, generation, printing, and customization (f) Add, modify, and delete System scripts (g) Alarm configuration and management (h) System security (i) I/O driver use and configuration (j) System backup and recovery of real-time and historical databases, System

configurations, and network configurations (k) System command language (l) Troubleshooting, including but not limited to, HMI, database, SQL, reports, and

networking (m) System optimization, including but not limited to, HMI, database, SQL, reports, and

networking

E. MANAGEMENT AND APPLICATION SOFTWARE TRAINING 1. Management training shall include a PowerPoint presentation in a classroom environment

followed by a hands-on demonstration and tour of the actual System running in the WSCC. The curriculum shall include, at a minimum, an overview of:

(a) The SCADA System (b) SCADA System layout (c) Networking and communications (d) Screen navigation (e) Reports viewing

2. Software application training shall , at a minimum:

(a) An overview of the System (b) How information is securely delivered to connected computers and devices (c) How to remotely retrieve SCADA information and reports from remote

computers and devices via internet access (d) Hands-on instructional training for using Contractor supplied Smart Devices to

retrieve data and reports from the SCADA System screen navigation

3. The Contractor shall schedule training sessions, as requested by the PM, to accommodate

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DEP work schedules.

SECTION H – OPERATOR WORKSTATIONS Workstations shall include desktop operator Workstations and Thin Client operator Workstations. Licensed software, provided by the Contractor, shall be installed on all Workstations. Any additional required software shall be purchased, licensed to DEP and installed on all Workstations to the extent that all Workstations have full SCADA view node and control capabilities based on two level password authentications.

H-1.1 OPERATOR WORKSTATIONS - DESKTOP The Contractor shall provide Dell Precision T3620 XCTO Base (Catalog # 4 XCTOP3620MTUS_2) or approved equal. The Workstations shall operate on 115 VAC, single phase, 60-hertz electrical service and shall provide and install all operator Workstations including mounting brackets, interconnecting cables within console, desktop or enclosure, hardware, and appurtenances as necessary for a complete installation. Operator Workstations shall have the following technical features:

1. RAM 16GB (2x8GB) 2133MHz DDR4 non-ECC2. Processor: Intel Xeon E3-1270v5 (Quad core HT 3.6GHz, 4.0GHz Turbo, 8MB)3. Video Card - NVIDIA Quadro M2000 4GB (4DP) 1DP to SL-DVI adapter4. Chassis: DELL Precision tower 3620 up to 90% efficient, 365W chassis5. HD controller, integrated SATA controller6. C8, 2.5 SATA, SSD Boot + 3.5 SATA 1 HD7. Boot 2.5inch 360GB SSD , 1TB 3.5inch SATA = 2nd HD8. Optical Drive = 16x DVD +/- RW Drive9. 19 and 1 media card reader10. 1GB NIC add in card PCIe Intel11. Monitors: 2 x DELL 24 monitor – E2417H12. Speakers: DELL AC511 stereo sound bar – USB13. Five year pro support + with next day business onsite service14. Mouse & keyboard15. Parallel port / 2nd Serial port adapter FULL Height16. Image Load: DELL part number 971-108517. Warranty: 3 Year Hardware Service with Onsite/In-Home Service After Remote

Diagnosis

H-1.2 OPERATOR WORKSTATIONS – THIN CLIENT The Workstations shall operate on 115 VAC, single phase, 60-hertz electrical service providing all necessary items for installation, including mounting brackets, interconnecting cables within console, desktop or enclosure, hardware, and appurtenances. Thin Client operator Workstations shall consist of Arista Model BoxPC – 240A-ACP5, Industrial Fanless Computer (Part # BOXPC-240A-ACP5-D) or approved equal and shall meet the following technical requirements:

1. Must be able to support 5 x monitors2. Fanless Design3. Meets IP50 rating requirements

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4. VIA 1.5 GHz C7 CPU 5. 8GB DDR-400 Memory 6. Dual Gigabit Ethernet LAN ports 7. Video Controller, CN700 Integrated S3 Graphic Engine 8. VGA Video Interface 9. 1 x 2.5” SATA HDD (option) 10. Type II CF Slot 11. 2 x PS / 2 connectors 12. Line in, Line Out, Mic-In 13. Programmable 1 – 255 sec Watchdog timer 14. 2 x PCI expansion slots 15. 4 x USB 3.0 ports 16. 5 x (RS-232), 1 x (RS-232/422/485) ports 17. US English (QWERTY) Dell KB212-B QuietKey USB Keyboard Black (580-AADG) 18. 2 x PCI Slots 19. Backup and Recovery software 20. Basic Hardware Service: Next Business Day Onsite Service After Remote Diagnosis 4

Year Extended 21. Limited Hardware Warranty Plus Service Initial Year 22. Dell UltraSharp 24 PremierColor Monitor - U2413 (860-BBBB). Qty.: Two (2) monitors

per Workstation. 23. Windows 8 or Higher capable OS, installed with Resource DVD, providing all drivers

and software necessary to reconstruct PC from factory delivered 24. BoxPC Model 240A Power Supply: 25. Model: PSA-066A-024 (110-220 VAC Input, 24 VDC Output Power Supply) 26. Model: CA242 – 24 VDC input power cord, 3 ft.

H-1.3 MONITOR STANDS

The Contractor shall provide Ergotron LX Dual (MFG.Part: 33-299-195) and Triple Display Lift Stands (MFG. Part# 33-296-195), or DEP approved equals. The Contractor shall provide and install the monitors it’s providing under Sections H-1.3 and H-1.4 into the monitor stands. The Contractor shall submit model type and model number to the PM for approval prior to purchasing. The monitor stands shall have the following technical features:

1. Constant Force (CF) patented lift-and-pivot motion technology 2. Easily adjust multiple monitors for ergonomically comfortable positioning 3. Allow monitors to be lifted and tilted to move in tandem to maintain horizontal integrity 4. 5” (13 cm) height adjustability 5. Integrated cable management where cables are guided behind the stand to keep work area

clutter-free. 6. 90 degree pivot allowing monitor to be installed portrait or landscape 7. 5 year warranty

SECTION I – STRATUS SERVERS The Contractor shall provide all labor, Servers, parts, materials, equipment, and incidentals to install, configure, and test Stratus Servers.

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I-1.1 FAULT TOLERANT SERVER ARCHITECTURE

A. GENERAL All hardware and software shall conform to the specifications outlined in the sections below and must be based on commercially available Intel processor technology capable of running Microsoft, Red Hat Linux, and VMware vSphere operating environments without modification or specialized configuration techniques.

B. REQUIREMENTS The hardware platforms shall conform to the following: 1. Shall deliver uninterrupted application processing which meets or exceeds 99.999%

annual availability. System availability shall be documented and available for daily inspection.

2. Shall be delivered as a single hardware server platform occupying no more than four (4) rack units (4U) of space and shall not rely on additional Servers of software to achieve 99.999% annual availability.

3. Shall incorporate lockstepped central processing units to ensure continuous application processing in the event of a CPU-memory unit error.

4. Shall be capable of incurring a CPU-memory unit error without interruption to processing and without loss of data or System state information.

5. Shall capture and log information related to hardware component error conditions and automatically take an affected component out of service prior to an anticipated failure.

6. Shall automatically detect, isolate, and withstand the effects of a transient hardware error. 7. Shall send automatic alerts to the manufacturer when a component malfunction is

detected and that will trigger the initiation of parts replacement. 8. Shall have the ability to hot swap failed components without affecting running

applications and without loss of data. 9. Shall support virtual processing environments including VMware vSphere and Microsoft

Hyper-V. 10. Shall provide uninterrupted processing of virtual machines and applications in the event

of component (e.g., processors, memory DIMMs, disk drives, NIC cards, and power supplies) failure.

11. Shall support a range of service offerings that includes root cause problem determination, full operating system support, 24x7 system monitoring, and an uptime guarantee with associated penalties for failure to meet contractual obligations.

12. In the event of a detected component failure or pending failure, a replacement component for the proposed solution shall arrive at the Site by the next business day.

I-1.2 SCADA SERVERS

A. SERVER LOCATIONS One (1) SCADA Server shall be installed at each of the following locations: 1. Grahamsville Water Supply Control Center (WSCC) Server Room, Grahamsville, NY 2. Kingston Disaster Recovery Control Center (DRCC), Kingston, NY

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B. FEATURES

The SCADA Servers shall be a Stratus ftServer model 4800 series or approved equal. The Servers shall operate on 115 VAC, single phase, 60-hertz electrical service. The Contractor shall provide all necessary labor, parts, materials, equipment, and items for installation, including mounting brackets, interconnecting cables within console, desktop or enclosure, and hardware. All Servers listed in this section shall have the following standard features, unless noted otherwise:

1. Servers shall have the following technical features:

(a) Processor: High performance fault tolerant with latest technology of Xeon-based CPUs with 12 Intel core processors.

(b) SCADA Server Memory: 256 GB of SDRAM, utilizing 32 DIMM slots Non ECC dual channel shared DDR4 SDRAM system memory 128 GB, 1.5 GHz

(c) Hard Drives: i. Boot Drive C: Shall be no less than 1 TB Solid State Drive.

ii. Data Storage Array: Shall be no less than 20 TB and configured for RAID 10. Drives will be at least 15K rpm with 256 MB Fast Burst Cache.

(d) Video Graphics Controller: Integrated Intel Graphics Media Accelerator 950 (e) Keyboard/Monitor/Pointing Device: Shall utilize the KVM Console as specified in

Section L-1.2(E). (f) EIDE controller: Integrated ATA/100 Dual Channel, Bus Master EIDE Hard drive

controller. (g) Dual Network Card: Dual Integrated Intel Gigabit (10/100 BASE T-TX/1000) with

(ASF 1.0) Alert Standards Format. (h) Backups: Removable storage installed:

i. Blu-Ray DUAL Disc Burner, capable of 48x32 CDRW / DVD QUAD Layer Combo drives

ii. Tape Drives – LT05 capable of 3TB compressed backup iii. Veritas Backup Software shall be compatible with all Backup devices.

(i) Sound Card: Integrated sound card (j) Ports: Four USB 3.0, four USB 2.0, one Ethernet (RJ-45), one nine-pin serial (16550

UART compatible), one parallel (25-hole, bi-directional), 1 VGA out, PS/2 key board, PS/2 mouse.

(k) Hardware Support Services: 5 years of 4-hour response including parts and onsite labor (7 days x 24 hours).

(l) Operating System: i. Microsoft Windows 2012 R2 or latest DEP approved version.

ii. Operating System must be compatible with Wonderware as described in Section J, Wonderware.

2. Licensed software installed on Virtualized Hyper-V Server within chassis.

(a) All necessary software to fully run the SCADA System shall be installed and

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virtualized on this platform. (b) Servers shall support the following software, at a minimum:

i. MS Windows 2012 R2 Operating System ii. Wonderware software as specified in Section J, Wonderware.

iii. MS SQL Server 2012 R2 iv. MS RDS CALS (15 total licenses) v. MS Office 2016 Volume License Pack (10 users)

vi. Reporting software (Dream Report for Wonderware) as specified in Section K, Software Applications.

vii. Disaster Recovery software (ArcServe) as specified in Section K, Software Applications.

viii. All additional software as listed in in Section K, Software Applications.

3. The Servers shall be configured/equipped with the following features and capabilities: (a) Support split-site deployment for disaster recovery. (b) Fault-detection, isolation, and call-home part ordering capability with local alarming

as an alternate option to notify operators when a hardware fault condition occurs with the Server and a subsequent alarm to specify the exact part number that needs to be replaced with ordering information in the message of the notification.

(c) No data loss or corruption. (d) No loss of in-flight transactions or in-memory data. (e) Single software image. (f) Load-and-go operational simplicity using plug-and-play components. (g) Lockstep hardware / technology that delivers at least 99.999% annual availability.

Must contain redundant (duplexed) components that process the same instructions simultaneously (in lockstep). If one of the duplexed components fails, its partner continues operating, thereby eliminating system downtime and data loss.

(h) Support by the Stratus ActiveService Network (ASN) remote service and incident management of the system by the Stratus Customer Assistance Center (CAC) or an authorized Stratus service representative.

(i) Servers shall be ISO 9001 certified, and certification shall be produced to verify current certified status.

(j) Classified as high availability and “always on”. (k) Ensure continuous operations of all DEP applications and work with the major

operating systems and hypervisors, including: i. MS Windows

ii. Linux iii. VMWare iv. Microsoft Hyper-V

4. System BIOS setup utility: Servers shall be able to modify BIOS CMOS settings without

rebooting or use of the System BIOS setup utility tool.

5. Board Instance Driver: The board instance driver (Srabid.sys) shall calculate the overall state of the CPU or I/O element, including enclosed components, to determine whether

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the element can be safely brought online or should be taken offline. It shall gather information about PCI devices and PCI functions in the System that allow use of ftSys Management Console (ftSMC) for viewing of information about, and to control, PCI adapters.

6. Common Code Module: The Common Code module (Sracc.sys) shall contain basic, low-level routines for monitoring the status of System components, bringing components online or offline, burning firmware, and other tasks specific to this Server system.

7. Communications Filter Driver: The Communications Filter driver (Sracomflt.sys) shall

poll the serial ports to monitor connection settings (such as baud rate), ensuring that serial communications can be restored if a failover to another CPU-I/O enclosure occurs.

8. Ethernet Drivers: (a) The srae1q.sys driver shall support the following Ethernet adapters:

i. Embedded Dual-Port 1 Gigabit Ethernet PCI-Express Adapters, identified in ftSMC as Stratus emb-82576 2-Port Gigabit Adapter.

ii. U105 Dual-Port 10/100/1000 Base-T Ethernet PCI-Express Adapter, identified in ftSMC as Stratus 82576 2-Port Copper Gigabit Adapter.

(b) The sraixt.sys driver shall support the Embedded Dual-Port 10 Gigabit Ethernet:

i. PCI-Express Adapters, identified in ftSMC as Stratus emb-X540 2-Port Copper 10-Gigabit Adapter.

9. Intelligent Platform Management Interface (IPMI) Driver: The IPMI driver (Sraipmi.sys)

is an IPMI device driver for the Baseboard Management Controller (BMC). This driver shall provide an interface between the BMC and the system management software.

10. Link Driver: The Link driver (Sralink.sys) shall provide the interface between the Board

Instance driver (Srabid.sys) and the ftSys Maintenance and Diagnostics service (ftSysMad.exe), which shall automatically manage the fault tolerance of ftServer system components.

11. QLogic Storport Driver: The QLogic Storport driver (ql2300.sys) shall control the U107 Single-Port 8-Gbps Optical Fiber Channel PCI-Express Adapter.

12. Small Computer System Interface (SCSI) Port Duplex Driver: The SCSI Port Duplex driver (Sradisk.sys) shall implement Rapid Disk Resync (RDR) disk duplexing for internal storage. The standard Microsoft Multipath I/O (MPIO) device-specific module shall handle path duplexing for external storage.

13. SCSI Port Filter Driver: The SCSI Port Filter driver (Srascsif.sys) shall control the way RDR disks are presented to the system software.

14. Stratus Online Upgrade Driver: The Network Driver Interface Specification (NDIS) filter driver (Sraunet.sys) shall be installed with Automated Uptime Layer for Windows 2012

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systems only, but enabled only by the Active Upgrade™ software. When the System runs in split mode, the filter driver shall limit the network connectivity of the Upgrade Side so that it communicates only with the Production Side.

15. Stratus ASN Tunnel Driver: The Stratus ASN tunnel driver (sraasntun.sys) shall control

the remote ASN dial-in over the Internet feature.

16. Stratus Virtual MGA Video Driver: The Stratus Virtual MGA Video driver shall control the video display and support fault tolerance at the software level. It shall be supported only on ftServer systems running the Microsoft Windows Server 2012 operating system. It shall have the following components:

(a) Sra_mgam.sys, the video miniport driver (b) Sra_mgad.dll, the video display driver

17. Stratus Video Driver: The Stratus Virtual Pilot3 Video driver, srap3vid.sys, shall support

video failover on ftServer 4800 series system running the Windows 2012 operating system. The driver shall provide reliable server-level video functionality and driver hardening for I/O failover.

18. Stratus Storage Controller Driver: The storage controller driver (SraMpt2.sys) is the miniport driver for the embedded SAS adapters. It shall do the following:

(a) Support dynamic insertion and removal of disks. (b) Interface with the QLogic Storport driver, plug-and-play (PnP) Manager, and

SCSI Port Duplex driver. (c) Maintain information about the adapter's properties, including the fault-tolerant

state. It returns appropriate error codes to the SCSI Port Duplex driver in the event of disk or adapter failures.

19. Stratus Tape Driver: The sratape2.sys driver is the Stratus-hardened driver that shall support the U110 Eight-Port SAS PCI-Express Adapter.

20. Stratus 10-Gb Ethernet PCIe Adapter Driver: The sraixn.sys driver shall support: (a) U584 Dual-Port Fiber 10-Gigabit Ethernet (b) PCI-Express Adapter, which is based on the Intel X520-SR2 Ethernet Server

Adapter (E10G41BFSR)

21. Miscellaneous Drivers: The Contractor shall configure the Server system with the following additional, standard drivers that are supplied by Microsoft. These drivers shall not be modified, and are listed in ftSMC under the ftServer Drivers node. These drivers include:

(a) The PCI driver (Pci.sys), shall control the PCI subsystem. (b) The PCI IDE driver (Pciide.sys), shall control IDE devices such as the DVD

drives. (c) The USB drivers (Usbehci.sys and Usbuhci.sys), shall control USB devices such

as keyboards, mice, and KVM switches. (d) The PCI Standard ISA Bridge driver (Msisadrv.sys), shall control the COM ports,

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the BMC, and other devices. (e) The mpt2sas driver shall support the U110 Eight-Port SAS PCI-Express Adapter.

22. Services in Automated Uptime Layer for Windows-based ftServer Systems: Automated

Uptime Layer shall provide a layer of software fault-tolerant services that run as Windows-based services. These services shall continually monitor for, and respond to, hardware problems. The name of each service is listed, followed by its executable name (as seen in Task Manager), and a short description:

(a) ftSys Alarm (ftSysAlarm.exe): Shall send notice of alarm conditions to various locations that can include the CAC or authorized Stratus service representative, and a customer’s email address.

(b) ftSys AsnService (ftSysAsnService.exe): Shall manage the tunnel connection for Internet dial-in.

(c) ftSys EService (ftSysEService.exe): Shall copy BMC events into the Windows Application event log. It shall also provide an interface to the BMC for environmental sensor-related tasks.

(d) ftSys Inventory (ftSysInventory.exe): Shall manage the inventory of hardware and software on the System.

(e) ftSys Maintenance and Diagnostics (ftSysMad.exe) i. Shall Monitor and control hardware and software modules that participate

in the added-value functions of Automated Uptime Layer. This service is required for Active Upgrade software to function, and shall perform the following functions:

1. Automatically restarts devices after a transient fault 2. Calculates safe-to-pull state of devices working in partnership 3. When possible, sets the LEDs of devices to indicate their state 4. Collects information about the System and generates state change

information 5. Controls System hardware to bring up and bring down devices 6. Generates traces for use in troubleshooting problems 7. Initiates PnP enumeration when required

(f) ftSys Policy (ftSysPolicy.exe): Shall identify alarm conditions by filtering and

correlating ftServer hardware and software events. (g) ftSys RAS (ftSysRas.exe): Shall handle connections to the ASN hub for the

System. (h) ftSys RPC Provider (ftSysRpcProv.exe): Shall store and retrieve information to

and from Windows Management Instrumentation (WMI) for the System management services.

(i) ftSys SSN (ftSysSsn.exe): Shall synchronize VTM ASN settings with the host.

I-1.3 HISTORIAN SERVERS

A. SERVER LOCATIONS One (1) historian Server shall be installed at each of the following locations:

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1. Grahamsville Water Supply Control Center (WSCC), Server Room, Grahamsville, NY. 2. Kingston Disaster Recovery Control Center (DRCC), Kingston, NY.

B. FEATURES

The Historian Servers shall be Stratus ftServer model 2800 series or an approved equal. The Servers shall operate on 115 VAC, single phase, 60-hertz electrical service. The Contractor shall provide all necessary items for installation, including mounting brackets, interconnecting cables within console, desktop or enclosure, hardware, and appurtenances. All Servers listed in this section shall have the following standard features, unless noted otherwise:

1. Servers shall have the following technical features:

(a) Processor: High performance fault tolerant with latest technology of Xeon-based CPU’s with 8 Intel core processors.

(b) Historian Server Memory: 64 GB of SDRAM, utilizing 16 DIMM slots Non ECC dual channel shared DDR4 SDRAM system memory 128 GB, 1.5 GHz

(c) Hard Drive: i. Boot Drive C: Shall be, at minimum, 1 TB Solid State Drive

ii. Data Storage Array: Shall be, at minimum, 20 TB and configured for RAID 10. Drives will be, at minimum, 15K rpm with 256 MB Fast Burst Cache.

(d) Video Graphics Controller: Integrated Intel Graphics Media Accelerator 950. (e) Keyboard/Monitor/Pointing Device: Shall utilize the KVM console as specified in

Section L, Computer Network Equipment. (f) EIDE controller: Integrated ATA/100 Dual Channel, Bus Master EIDE Hard

drive controller. (g) Dual Network Card: Dual Integrated Intel Gigabit (10/100 BASE T-TX/1000)

with (ASF 1.0) Alert Standards Format. (h) Backups: Removable storage installed:

i. Blu-Ray DUAL Disc Burner, capable of 48x32 CDRW / DVD QUAD Layer Combo drives

ii. Tape Drives – LT05 capable of 3TB compressed backup iii. Veritas Backup Software or DEP approved equal shall be purchased,

installed and be compatible with all Backup devices. (i) Sound Card: Integrated sound card. (j) Ports: Four USB 3.0, four USB 2.0, one Ethernet (RJ-45), one nine-pin serial

(16550 UART compatible), one parallel (25-hole, bi-directional), 1 VGA out, PS/2 key board, PS/2 mouse.

(k) Hardware Support Services: 5 years same-day 4-hour response including parts and onsite labor (7 days x 24 hours).

(l) Operating System: i. Microsoft Windows 2012 R2 or latest DEP approved version.

ii. Operating System must be compatible with Wonderware as described in Section J, Wonderware.

2. Licensed Software installed on Virtualized Hyper-V Server within chassis. (a) All software necessary to fully run the SCADA System shall be installed and

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virtualized on this platform. (b) Servers shall support the following software, at a minimum:

i. MS Windows 2012 R2 Operating System ii. Wonderware software as specified in Section J, Wonderware.

iii. MS SQL Server 2012 R2 iv. MS RDS CALS (15 total licenses) v. MS Office 2016 Volume License Pack (10 users)

vi. Reporting software (Dream Report for Wonderware) as specified in Section K, Software Applications.

vii. Disaster Recovery software (ArcServe) as specified in Section K, Software Applications.

viii. All additional software as listed in Section K, Software Applications. 3. The Servers shall be configured/equipped with the following features:

(a) Must support Split-Site deployment for redundancy. (b) Fault-detection, isolation and call-home part ordering capability with local

alarming as an alternate option which will notify operators that there is a hardware fault condition with the server and the alarm will specify the exact part number needed to be replaced with ordering information in the message of the notification.

(c) No data loss or corruption. (d) No loss of in-flight transactions or in-memory data. (e) Single software image. (f) Load-and-go operational simplicity using plug-and-play components. (g) Lockstep Hardware / Technology which delivers at least 99.999% uptime - Must

contain redundant (duplexed) components that process the same instructions simultaneously (in lockstep). If one of the duplexed components fails, its partner continues operating, eliminating system downtime and data loss.

(h) Support by the Stratus ActiveService Network (ASN) remote service and incident management of the system by the Stratus Customer Assistance Center (CAC) or an authorized Stratus service representative.

(i) Servers must be ISO 9001 certified and certification must be produced to verify current certified status.

(j) Classified as high availability and “always on” (k) Ensure continuous operations of all our applications and work with the major

operating systems and hypervisors, including: i. MS Windows

ii. Linux iii. VM Ware iv. Microsoft HyperV

4. System BIOS setup utility: Servers shall provide the ability to modify BIOS CMOS

settings without rebooting or using the system BIOS setup utility tool.

5. Board Instance Driver: The Board Instance driver (Srabid.sys) shall calculate the overall state of the CPU or I/O element, including enclosed components, to determine whether the element can be safely brought online or should be taken offline. It shall gather System

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information about PCI devices and PCI functions to allow use of ftSys Management Console (ftSMC) to view information about, and control, PCI adapters.

6. Common Code Module: The Common Code module (Sracc.sys) shall contain basic, low-

level routines for monitoring the status of System components, bringing components online or offline, burning firmware, and other tasks specific to this Server.

7. Communications Filter Driver: The Communications Filter driver (Sracomflt.sys) shall

poll the serial ports to monitor connection settings (such as baud rate), ensuring that serial communications can be restored if a failover to another CPU-I/O enclosure occurs.

8. Ethernet Drivers:

(a) The srae1q.sys driver shall support the following Ethernet adapters: i. Embedded Dual-Port 1 Gigabit Ethernet PCI-Express Adapters, identified

in ftSMC as Stratus emb-82576 2-Port Gigabit Adapter ii. U105 Dual-Port 10/100/1000 Base-T Ethernet PCI-Express Adapter,

identified in ftSMC as Stratus 82576 2-Port Copper Gigabit Adapter

(b) The sraixt.sys driver shall support the Embedded Dual-Port 10 Gigabit Ethernet: i. PCI-Express Adapters, identified in ftSMC as Stratus emb-X540 2-Port

Copper 10-Gigabit Adapter.

9. Intelligent Platform Management Interface (IPMI) Driver: The IPMI driver (Sraipmi.sys) is an IPMI device driver for the Baseboard Management Controller (BMC). This driver shall provide an interface between the BMC and the System management software.

10. Link Driver: The Link driver (Sralink.sys) shall provide the interface between the Board Instance driver (Srabid.sys) and the ftSys Maintenance and Diagnostics service (ftSysMad.exe), which shall automatically manage the fault tolerance of ftServer system components.

11. QLogic Storport Driver: The QLogic Storport driver (ql2300.sys) shall control the U107

Single-Port 8-Gbps Optical Fiber Channel PCI-Express Adapter.

12. SCSI Port Duplex Driver: The SCSI Port Duplex driver (Sradisk.sys) shall implement Rapid Disk Resync (RDR) disk duplexing for internal storage. The standard Microsoft Multipath I/O (MPIO) device-specific module shall handle path duplexing for external storage.

13. Small Computer System Interface (SCSI) Port Filter Driver: The SCSI Port Filter driver

(Srascsif.sys) shall control the way RDR disks are presented to the System software.

14. Stratus Online Upgrade Driver: The Network Driver Interface Specification (NDIS) filter driver (Sraunet.sys) shall be installed with Automated Uptime Layer for Windows 2012 systems only, but shall be enabled only by the Active Upgrade™ software. When the system runs in split mode, the filter driver shall limit the network connectivity of the

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Upgrade Side so that it communicates only with the Production Side.

15. Stratus ASN Tunnel Driver: The Stratus ASN tunnel driver (sraasntun.sys) shall control the remote ASN dial-in over the Internet feature.

16. Stratus Virtual MGA Video Driver: The Stratus Virtual MGA Video driver shall control

the video display and support fault tolerance at the software level. It shall be supported only on ftServer systems running the Microsoft Windows Server 2008 R2 operating system. It has the following components:

(a) Sra_mgam.sys, the video miniport driver (b) Sra_mgad.dll, the video display driver

17. Stratus Video Driver: The Stratus Virtual Pilot3 Video driver, srap3vid.sys, shall support

video failover on ftServer 2800 series system running the Windows 2012 operating system. The driver shall provide reliable server-level video functionality and driver hardening for I/O failover.

18. Stratus Storage Controller Driver: The storage controller driver (SraMpt2.sys) is the miniport driver for the embedded SAS adapters. It shall do the following:

(a) Support dynamic insertion and removal of disks. (b) Interface with the QLogic Storport driver, plug-and-play (PnP) Manager, and

SCSI Port Duplex driver. (c) Maintain information about the adapter's properties, including the fault-tolerant

state. It returns appropriate error codes to the SCSI Port Duplex driver in the event of disk or adapter failures.

19. Stratus Tape Driver: The sratape2.sys driver is the Stratus-hardened driver that shall

support the U110 Eight-Port SAS PCI-Express Adapter.

20. Stratus 10-Gb Ethernet PCIe Adapter Driver (a) The sraixn.sys driver shall support the U584 Dual-Port Fiber 10-Gigabit Ethernet. (b) PCI-Express Adapter shall be based on the Intel X520-SR2 Ethernet Server

Adapter (E10G41BFSR).

21. Miscellaneous Drivers: The Server system shall be configured with the following additional standard drivers that are supplied by Microsoft. These drivers shall not be modified as they either interact closely with the fault-tolerant system software or support hardware that the Server supplies. Therefore, the drivers are listed in ftSMC under the ftServer Drivers node. These drivers include:

(a) The PCI driver (Pci.sys), shall control the PCI subsystem. (b) The PCI IDE driver (Pciide.sys), shall control IDE devices such as the DVD

drives. (c) The USB drivers (Usbehci.sys and Usbuhci.sys), shall control USB devices such

as keyboards, mice, and KVM switches. (d) The PCI Standard ISA Bridge driver (Msisadrv.sys), which shall support the

COM ports, the BMC, and other devices.

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(e) The mpt2sas driver shall support the U110 Eight-Port SAS PCI-Express Adapter.

22. Services in Automated Uptime Layer for Windows-based ftServer Systems: Automated Uptime Layer provides a layer of software fault-tolerant services that run as Windows-based services. These services continually monitor for, and respond to, hardware problems. The name of each service is listed below, followed by its executable name (as seen in Task Manager), and a short description.

(a) ftSys Alarm (ftSysAlarm.exe): Shall send notice of alarm conditions to various locations that can include the CAC or your authorized Stratus service representative, and a customer’s email address.

(b) ftSys AsnService (ftSysAsnService.exe): Shall manage the tunnel connection for Internet dial-in.

(c) ftSys EService (ftSysEService.exe): Shall copy BMC events into the Windows

Application event log. It shall also provide an interface to the BMC for environmental sensor-related tasks.

(d) ftSys Inventory (ftSysInventory.exe): Shall manage the inventory of hardware and

software on the System.

(e) ftSys Maintenance and Diagnostics (ftSysMad.exe): Shall monitor and control hardware and software modules that participate in the added-value functions of Automated Uptime Layer. This service is required for Active Upgrade software to function. This service shall perform the following functions:

i. Automatically restarts devices after a transient fault. ii. Calculates safe-to-pull state of devices working in partnership.

iii. When possible, sets the LEDs of devices to indicate their state iv. Collects information about the System and generates state change

information v. Controls System hardware to bring up and bring down devices

vi. Generates traces for use in troubleshooting problems vii. Initiates PnP enumeration when required

(f) ftSys Policy (ftSysPolicy.exe): Identifies alarm conditions by filtering and

correlating ftServer hardware and software events.

(g) ftSys RAS (ftSysRas.exe): Handles connections to the ASN hub for systems.

(h) ftSys RPC Provider (ftSysRpcProv.exe): Stores and retrieves information to and from Windows Management Instrumentation (WMI) for the System management services.

(i) ftSys SSN (ftSysSsn.exe): Synchronizes VTM ASN settings with the host.

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SECTION J – WONDERWARE The Contractor shall provide and install Wonderware North Bundle part number Q_SP_5050_15_NYCDEP_DEL360r1, which includes, but is not limited to, the following components:

1. Wonderware ArchestrA System Platform 2014 r2, Part No. SP-5675A, with Enterprise Level Historian for 50K Tags and 50K I/O

2. Development Studio 2014r2 Unlimited, Unlim/60K/500 3. WW Historian Server 2014r2 Standard, 50K Tag, Enterprise for replication from Master 4. WW Historian Svr Standard, 5K Tag for Water Quality 5. InTouch for System Platform 2014r2 w/ Historian Client RDS Concurrent 6. InTouch for System Platform 2014r2 Read-only w/ Historian Client RDS Concurrent

(includes Access Anywhere) 7. Dream Report for Wonderware, 5K Tags 8. Dream Report for Wonderware Web Client, 10 Concurrent users 9. Smart Glance Subscription, named users, 15 Pack 10. WW Fail-over licenses for Disaster Recovery servers 11. One year – Customer First Support – Premium Level

J-1.1 RUNTIME ENVIRONMENT

The Contractor shall configure the SCADA System for various user interface functions in the runtime mode.

A. ALARM MANAGEMENT

The Contractor shall configure alarms that shall be detected and reported by an alarm manager service.

B. COMMUNICATIONS ARCHITECTURE 1. Defined Failure Events: The Contractor shall configure the SCADA System to detect the

following events within the SCADA System and network objects:

(a) Communications failure to a single RTU/PLC (b) Communications failure to multiple RTU/PLC(s) (c) Communications failure to Communications Server Application Logic Failure (d) Alarm Printer Failure (e.g., Off-line, out of paper) (e) Alarm Manager Failure (f) Communications failure to Historian Server (g) Historian Server rate of collection deviation (h) Low Disk Space on any Historian Server on the network

The Contractor shall configure the SCADA System to detect all possible failures and allow client data recovery without operator intervention.

2. Communications Redundancy: The SCADA System shall monitor the status of communications to the Communications Server(s) and the status of the Communications Server to each PLC/RTU. In the event of a communications failure, the SCADA System

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shall transfer communications responsibility to a designated standby communications Server.

3. Data Historization Redundancy: The Contractor shall configure the SCADA System to

provide for historization of data values from active objects. Upon the failure of execution of active primary objects, standby objects shall be activated and assume the task of providing historization of data values. Separate configuration of historization for standby objects shall not be required. If the Historian Server is off-line or unreachable, the engines servicing active objects shall store the historized data locally, and forward the buffered data to the Historian Server when the Historian Server is available. Primary and standby object engines shall synchronize any buffered historization data. If the Historian Server is off-line or unreachable and the primary object engine fails, the failover engine shall assume the task of storing the historized data locally, and forwarding the buffered data to the Historian Server when the Historian Server is available. There shall be no practical limit, other than disk space, for the size of the historized data stored locally.

C. RUNTIME SECURITY

1. Login Requirements: The Contractor shall configure the SCADA System so that users

must be required to log in before changes to any object attribute that has been constrained/secured is allowed.

2. Runtime Audit Trail: The Contractor shall configure the SCADA System so that any runtime changes to a variable shall provide an audit trail of user ID, full user name, previous value, and new value. Similarly, attributes configured for verification shall provide an audit trail of user ID, full user name, verifier username and full user name, previous value, and new value.

The Contractor shall configure the SCADA System to disable access to all Microsoft Windows controls (file menu, close, minimize, etc.) and keyboard commands (e.g., Ctrl-ESC, Alt-Tab, and limiting external system access via Ctrl-Alt-Del). (a) All operator actions shall be able to be logged to an event logger. (b) The event logger shall keep track of each new operator log-on, log-off, setpoint

change, and device control. (c) Each event log shall record the date, time, operator logged in, and the type of action

taken (setpoint change, state change, etc.).

3. Value Change Event Logging: Any configured integer, real, discrete, or string tag may also be configured as the source for an event to be triggered. The point shall be logged as an event whenever its value changes. (a) Events shall be logged to a Microsoft SQL Server database. (b) Items to be logged in addition to the event itself shall include date and time of the

event, and event priority.

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J-1.2 DATA HISTORIAN

A. SINGLE CONFIGURATION OF DATA HISTORIAN The Contractor shall configure the SCADA System so that the historization of data from SCADA objects shall be entered once at the time of configuration of those objects using the corresponding object editor in the SCADA System. The Data Historian shall automatically acquire those configuration historization parameters upon deployment of the configured application objects. The Contractor shall configure the Data Historian to provide the option to work with a dual historian configuration allowing the sending of the same data to both historians if desired.

1. Historical Data Store and Forward: If the historian is off-line or unreachable, the engines

servicing active objects shall store data locally and forward the buffered data to the historian, complete with time stamps and quality information, when the Historian Server is available.

B. HISTORIAN DATA AQCUISITION AND RETRIEVAL The Contractor shall configure the SCADA System so that the Data Historian acquires data via automatic and manual methods. Automatic data acquisition shall be through industry-standard data transports. Data acquisition via dynamic data exchange (DDE) and OLE for process control (OPC), in addition to proprietary transports, shall be supported. The method for retrieving data shall be SQL.

1. Manual Data, Out-of-Sequence Data, and Superseded Data: The Contractor shall

configure the SCADA System so that the historian shall support manual data, out-of-sequence data, and superseded data where manually entered data, such as lab data and out-of-sequence data (e.g., batched history data from an RTU), shall be treated by the retrieval engine as if the data were stored automatically. Any historized data may be superseded by manually inserting the correct data value and a flag denoting that the previous data has been superseded. The data historian shall be configured so that the original data cannot be modified or deleted. An SQL client tool shall be able to request original data, superseded data, and out-of-sequence data. Manual data, out-of-sequence data, and superseded data shall be inserted into the historian via an SQL insert statement or in bulk via comma separated variable (CSV) file. Only users with proper login credentials shall be allowed to manually insert or modify data.

SECTION K – SOFTWARE APPLICATIONS The Contractor shall provide software (including operating system software, database software and reporting software to be utilized to create reports from the SCADA System as well as the historical database), in addition to the software described in Section J, Wonderware, that conforms to the specifications of this section. Additionally, the Contractor shall provide fault tolerant high availability software, Human Machine Interfaces (HMI browser applications, mobile reporting applications, and network firewall appliances that conform to the specifications of this section.

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K-1.1 REPORTING SOFTWARE The Contractor shall provide, install, and configure Dream Reports™ 4.6 r1 or an approved equal. The Contractor shall provide most current version at the time of installation.

A. GENERAL

The reporting software shall be dedicated to, and shall be specially configured for, use with automation systems and shall enable use of Dream Report™ by non-programming users.

1. The reporting software shall provide direct connectivity to automation systems and

equipment; collect and archive real-time data and alarms; provide online analysis and automatic generation and e-distribution of professional reports; and enable web management over the internet and intranet.

2. The reporting software shall connect to the real time SCADA System and the historical

SQL database and create reports and export them into common file formats.

3. The reporting software shall schedule and distribute reports automatically on a time scheduled basis and have an unlimited number of reports able to be scheduled.

4. The reporting software shall access external history databases and proprietary archives

and produce reports, based on historical data and alarms from the external databases and proprietary archives.

5. The Contractor shall configure the reporting software to automatically generate reports.

6. The parameters required to generate the reports are described in Section N, Control

Strategies. 7. Sample reports are included in Appendix VIII, Sample Reports.

B. SOFTWARE FEATURES

The reporting software shall have the following features:

1. WYSIWYG developer studio. 2. Fully interactive web portal capable of manipulating tables and trends. 3. Email, FTP, print, and web distribution. 4. Native export to PDF, MS Word, Excel, and CSV. 5. OPC, ODBC, and OLE-DB Compatible. 6. Real-time data connectors. 7. Direct native connectivity to the SCADA System’s software and hardware. 8. Native functionality for report scheduling. 9. Data aggregation capable. 10. Primary and backup printer capable. 11. Graphics engine capable of 3D graphics. 12. Embedded visual SQL query builder. 13. CPU priority management. 14. Concurrent report generation. 15. User authentication and secure access to reports.

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16. Redundant operation capable.

K-1.2 FAULT TOLERANT HIGH AVAILABILITY SOFTWARE The Contractor shall provide ArcServe or an approved equal. The Contractor shall provide the most current version at the time of installation. A. The Contractor shall install the software onto the two SCADA Servers and two Historian

Servers, and shall provide an off-site disaster recovery fault tolerant high availability solution for the entire System.

B. The fault tolerant high availability software shall be installed across the network spanning both the DRCC and WSCC.

C. The disaster recovery software shall provide the following features:

1. Redundant operation capable.

2. Symmetric multiprocessor & multi-core support.

3. Hardware agnostic.

4. Use of off-the-shelf hardware for lower cost and complexity.

5. Self-healing, hands-off operation.

6. Built-in virtualization engine.

7. Storage Area Network (SAN) or third party management software shall not be installed.

8. SplitSite geographic separation deployment disaster tolerance (DT).

9. Span between both WSCC and DRCC for disaster recovery (DR).

10. Local Area Network (LAN) and WAN replication to provide system, application, and

data protection for Windows, Linux, and UNIX environments on physical and virtual Servers by allowing deployment of failover environment on-premise, off-premise, and in the cloud.

11. Virtualized Server support providing replication and high availability at the VM level for

VMware ESX and VMware vSphere™ as well as high availability for VMware vCenter™ Server.

12. Hypervisor and guest-level replication and high availability for Microsoft® Hyper-V™,

and provide Citrix® XenServer guest-level replication and high availability.

13. A single solution for both physical and virtual Servers.

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14. Unified Management Console providing a single web-based console for management,

monitoring, and reporting of all levels of protection for all supported Windows, UNIX and Linux platforms.

15. Control Service replication and failover for its own management system high availability.

16. Data rewind to provide continuous data protection (CDP) with fast recovery of lost or

damaged data and databases, complementing periodic backups, and snapshots.

17. Offline synchronization to provide an alternative to LAN and WAN synchronization to transfer large Windows-based data sets and databases more easily.

18. Multiple replication option to offer continuous, scheduled, periodic, and ad-hoc Windows

Server replication that shall provide the flexibility to balance network resource utilization and required level of protection.

19. Application-aware replication and redundancy to allow auto-configuration for fast and

easy deployment as well as transactional integrity for Microsoft Exchange, SQL Server, SharePoint, Internet Information Services (IIS), Microsoft Dynamics CRM, Oracle, and BlackBerry from a single management console.

20. Multi-stream replication to enable use of multiple data streams to increase network

replication throughput over high-latency WANs.

21. Full system protection to perform continuous real-time physical-to-virtual (P2V) and virtual-to-virtual (V2V) replication of the Windows operating system, system state, application, and data to an offline local or remote VMware vSphere, Microsoft Hyper-V, Citrix XenServer, or Amazon Web Services (AWS/EC2) virtual Server.

22. Automatically, with no business downtime, stand-up the replica Server after automated or

push-button failover and redirect end-users, Bare Metal Recovery (BMR) failback where Servers may be booted to a new physical or virtual Server using the BMR boot image or the repaired production Server, and perform non-disruptive reverse synchronization from the replica Server.

23. Amazon Cloud [Amazon Web Service™ (AWS) and Amazon Elastic Compute Cloud

(AMAZON EC2)] Integration to enable use of the cloud for the failover Server to replace CAPEX with OPEX while benefiting from having a Remote Location with defined service level agreement for disaster recovery.

24. Secure communication providing 128-bit SSL encryption across the network without the

need for a virtual private network (VPN) or IPsec tunnel.

25. Windows Server 2012 Failover Cluster Support to complement a Windows failover cluster with replication to any local or Remote Location, regardless of distance, for

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disaster recovery.

26. Network Address Translation (NAT) Support enabling remote replication and failover in NAT environment while maintaining security.

27. VMWare VCenter Server V5 Support to protect the VMware management system and

provide fast recovery.

D. The following applications shall be protected by the fault tolerant high availability software:

1. HMI Control System 2. Data Historian Control Systems 3. InTouch Access Anywhere 4. Dream Report – Reporting Software 5. SmartGlance – Smart Device reporting software 6. All software and functions, including communications, that will provide for a fully

redundant control center environment allowing SCADA operations to continue without any loss of data while maintaining all control features throughout the entire System.

7. ArcServe software, or approved equal, to enable automated, non-disruptive, Windows-based replica testing at the application level to ensure System preparedness while maintaining real-time replication and continuous data protection, enabling combined data replication, backup, and high availability together in a single console.

K-1.3 THIN CLIENT APPLICATION The Contractor shall provide ACP ThinManager for Wonderware or an approved equal. The Contractor shall provide the most current version at the time of installation. The application shall provide the ability to manage both hardware and software from a single management environment. A. The Thin Client Application shall have the following features:

1. Manage hardware (Clients and Servers) and software from a single environment 2. Load balancing 3. Shadowing 4. Multi-monitor support 5. Support of industrial peripherals (e.g., touchscreens, scanners, printers, and card readers) 6. Automatic login upon Client power up and automatic reconnect if disconnected 7. Multiple session support 8. Instant failover to backup Servers which are controlled by Clients 9. Automatic Thin Client configuration without user intervention 10. Automatic “single keystroke” replacement of failed Clients 11. No software or configuration resident on the Thin Clients 12. Conversion of obsolete PCs to true Thin Clients

K-1.4 OPERATING SYSTEM AND DBMS ENTERPRISE APPLICATION SOFTWARE

The Contractor shall provide Microsoft Server 2012 R2 Operating System Software, Microsoft

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SQL 2012 Data Base Management System (DBMS) enterprise application software, and thirty (30) total Microsoft Server 2012 RDS CALS (Remote Desktop Services Client Access Licenses) or approved equal(s). The supplied software shall be compatible with the supplied Server hardware specified in Section I and the SCADA System software specified in Section J. The Contractor shall provide the latest versions of each software: A. Microsoft Server 2012 R2

1. Shall have the following Limits:

(a) Maximum Number of SMB Connections: 16 Million (b) Maximum Number of RRAS Connections: 2 Billion (c) Maximum Number of 64-bit sockets: 64 (d) Maximum RAM: 4TB

2. Shall have the following Server Roles:

(a) Active Directory (AD): i. Certificate Services

ii. Domain Services iii. Federation Services

(b) AD Lightweight Directory Services (c) DHCP Server (d) DNS Server (e) File Services (f) Hyper-V (g) Network Policy and Access Services (h) Print and Document Services (i) Remote Access (j) Terminal Services Application Sharing (k) Terminal Services Gateway (l) Web Services (IIS) (m) Windows Deployment Services (n) Windows Essentials (o) WINS Server

3. Shall have the following Features:

(a) RODC – Read Only Domain Controller (b) Automatic Virtual Machine Activation (c) Best Practice Analyzer (d) BranchCache

i. Hosted Server ii. P2P Cache

(e) Windows Control Panel (f) Distributed File System Replication (g) Data Deduplication (h) ISCSI target support (i) Dynamic Memory (in virtualization) Failover Clustering

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(j) Failover Clustering (k) “Hot” add/replace RAM (l) IPAM (IP Address Management) (m) Minimal Server Interface (n) Network Load Balancing (o) Support for Nov-volatile Memory Express (p) Windows PowerShell (q) Server Core Mode (r) Server Manager (s) Storage Management Services (t) Storage Spaces (u) Volume-Activation Services (v) VSS (Volume Shadow Copy Service) Integration (w) Windows Server Update Services

B. Microsoft SQL 2012

1. Shall have the following Limits: (a) Limited to less of 4 Sockets or 16 cores (b) Maximum memory utilized

i. Per instance of SQL Server Database Engine: 64GB ii. Per instance of Analysis Services: 64GB

iii. Per instance of Reporting Services: 64GB (c) Maximum relational Database size: 524PB

2. Shall have the following features for High Availability:

(a) Server Core support (b) Log Shipping (c) Database Mirroring (Safety Full Only) (d) Always On Failover Cluster Instances:

i. Node Support: 2 (e) Database Recovery Advisor

3. Shall have the following Scalability and Performance:

(a) Multi-instance support: 50

4. Shall have the following Security: (a) Basic Auditing (b) User-Defined Roles (c) Contained Databases

5. Shall have the following Replication: (a) SQL Server change tracking (b) Merge replication (c) Transactional replication (d) Snapshot replication (e) Heterogeneous subscribers

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6. Shall have the following Management Tools:

(a) SQL Management Objects (SMO) (b) SQL Configuration Manager (c) SQL CMD (Command Prompt tool) (d) SQL Server Management Studio (e) Distributed Replay:

i. Admin Tool ii. Client

iii. Controller (f) SQL Profiler (g) SQL Server Agent (h) Microsoft System Center Operations Manager Management Pack (i) Database Tuning Advisor (DTA)

7. Shall have the following RDBMS Manageability:

(a) Dedication admin connection (b) PowerShell scripting support (c) SysPrep support (d) Direct query of indexed views (e) Contained Databases

8. Shall have the following configurability: (a) Microsoft Visual Studio Integration (b) Intellisense (Transact-SQL and MDX) (c) SQL Server Data Tools (SSDT) (d) SQL query edit and design tools (e) Version control support (f) MDX edit, debug and design tools

9. Shall have the following Development Tools: (a) Native XML support (b) XML indexing (c) Date and Time datatypes (d) Full-text and semantic search (e) Web Services (HTTP/SOAP endpoints)

10. Shall have the following Integration Services: (a) SQL Server Import and Export Wizard (b) Built-in data source connectors (c) SSIS designer and runtime (d) Basic Transforms (e) Basic data profiling tools

11. Shall have the following Data Warehouse: (a) Create cubes without a database

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(b) Auto-generate staging and data warehouse schema

12. Shall have the following Analysis Services: (a) Backup/Restore, Attach/Detach databases (b) High Availability (c) Configurability (AMO, ADOMD.Net, OLEDB, XML/A, ASSL)

13. Shall have the following Data Mining:

(a) Standard Algorithms (b) Data Mining Tools (Wizards, Editors Query Builders)

14. Shall have the following Reporting Services:

(a) Supported catalog DB SQL Server edition (b) Supported data source SQL Server edition (c) Report Server (d) Report Designer (e) Report Manager (f) Role based security (g) Word Export and Rich Text Support (h) Enhance gauges and charting (i) Export to Excel, PDF, Images, and Atom compliant data-feeds (j) Custom authentication (k) Create custom roles for role-based security (l) Model Item security (m) Infinite click through (n) Shared component library (o) Email and file share (p) Report history, execution snapshots and caching (q) SharePoint Integration (r) Remote and non-SQL data source support (s) Data source, delivery and rendering, RDCE extensibility

15. Shall have the following Additional Database Services:

(a) SQL Server Migration Assistant (b) Database mail

C. Microsoft 2012 RDS CALS for thirty (30) total licenses

1. Shall have the following features:

(a) Remote Desktop Services (RDS) is a Server role with the following RD services: i. Virtualization Host

a. Integrates with Hyper-V to deploy pooled or personal virtual desktop collections within the network.

ii. Session Host a. Enables a Server to host RemoteApp program or session-based

desktops. Users can connect to RD (Remote Desktop) Session Host

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servers to run programs, save files, and use resources on those Servers. Integrates with Hyper-V to deploy pooled or personal virtual desktop collections within the network.

iii. Connection Broker a. Allows users to reconnect to their existing virtual desktops,

RemoteApp programs, and session-based desktops. b. Enables even distribution of processor load among RD Session Host

Servers in a session collection or polled virtual desktop collection. c. Provides access to virtual desktops in a virtual desktop collection.

iv. Web-Access a. Enables users to access RemoteApp and Desktop Connection through

the Start menu on a computer that is running Windows 10, 8, or 7 or through a web browser.

b. RemoteApp and Desktop Connection provides a customized view of RemoteApp programs and virtual desktop in a virtual desktop collection.

v. Licensing a. Manages the licenses required to connect to a Remote Desktop Session

Host Server or a virtual desktop. This can be used to install, issue, and track the availability of licenses.

vi. Gateway a. Enables authorized user to connect to virtual desktops, RemoteApp

programs, and session-based desktops on an internal corporate network from a connected device.

(b) Accelerates and extends desktop and application deployments to any device (c) Enables virtual desktop infrastructure (VDI) (d) Session-based desktops (e) Session-based applications (f) Allows users to work anywhere (g) Monitor and control using session shadowing (h) Allows RemoteApp programs to perform as locally-based applications (i) Simplified Session Virtualization deployment and management (j) Centralized resource publishing (k) Rich user experience with Remote Desktop Protocol (RDP) (l) True Multi-Touch and gesture remoting (m) Email name discovery and subscription to administrator supplied remote resources

2. Shall allow for the following practical applications:

(a) Unified Administration experience i. Administrate user sessions and virtual desktop collections

ii. Configure user RemoteApp programs iii. Manage Virtual Desktops iv. Add Servers to the deployment from one centralized console

(b) User personalization i. Create user profile disks

ii. Preserve user personalization settings across session and polled virtual

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desktop collections (c) Efficient and shared storage

i. Pooled virtual desktops ii. Live migration between host computers

iii. Personal virtual desktops using storage located on network shares (d) Automated pooled virtual desktop management

i. Deploy and manage pooled virtual desktops centrally ii. Use of a virtual desktop template

SECTION L – COMPUTER NETWORK EQUIPMENT

L-1.1 GENERAL DESCRIPTION A. The Contractor shall provide all labor, hardware, software, parts, materials, equipment, and

incidentals as shown, specified and required to furnish, configure, install, connect, test, startup, and place into satisfactory operation all necessary computer network equipment.

B. For equipment furnished by DEP, the Contractor shall configure, install, and test the equipment. Equipment shall include, but not be limited to, desktop PCs, console mounted PCs, network Servers, and all associated software. The Contractor shall be responsible for all Work associated with this equipment. Before Final Acceptance, all licenses, media, documentation, and packaging shall be returned to DEP. Any damaged items or items not returned shall be replaced at the Contractor’s expense. All software furnished shall include run time and development packages, where applicable.

C. The Contractor shall furnish and deliver all spare parts with the equipment, neatly wrapped

or boxed, indexed and tagged with complete information for use in reordering.

L-1.2 PRODUCTS

A. 48-PORT MANAGED SWITCH - WSCC The Contractor shall provide and install a 48-Port Managed Switch. The Contractor shall provide an HP Pro Curve 3800-48G-POE + - 4SFP+ switch (Mfg. Part: J9574A#ABA) managed rack mountable switch or an approved equal with the following features: 1. Managed switch 48 x 10/100/1000 (PoE) + 4x10GB/Ethernet / 1GB SFP + 2. Rack Mountable 3. Performance: 130.9Mpps throughput 4. Switching capacity 176Gbps 5. Ports quantity 48x10/100/1000 (POE) 6. Ports quantity 4x10GB Ethernet / 1GB Ethernet SFP+ 7. 2 processors 8. RAM: 2GB SDRAM 9. MAC addresses: Table size 65,000 entries 10. Routing protocols: IGMP, MLD, MLDv2, OSPF, OSPFv2, OSPFv3, PIM-DM, PIM-SM,

RIP-1, RIP-2, static IP routing, VRRP 11. Remote management: CLI, HTTP, HTTPS, RMON 1, RMON 2, RMON 3, RMON 9,

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SNMP 1, SNMP 2C, SNMP 3 Telnet 12. Features: Access Control list support, ARP support, Auto-uplink, Boot P support, DHCP

support, DIFF server support, FAN tray, Flow control, IGMP snooping, IPV6 support, Layer 2 switching, MAC address lockout, MLD snooping, Multiple spanning tree support, quality of service (QOS), Rapid spanning tree support, S Flow, STP root guard, uni-direction link detection, virtual route redundancy support, VLAN support

13. Frequency required: 50/60 Hz 14. Nominal voltage: AC 120/230V 15. Operating Temp: 32F - 131F 16. Storage Temp: -40F – 158F 17. Humidity 15%-90% 18. Warranty: Lifetime hardware warranty

B. 24-PORT MANAGED SWITCH - DRCC

The Contractor shall provide and install a 24-Port Managed Switch. The Contractor shall provide an HP Pro Curve 3800-24G-POE+ - 2SFP+ switch (Mfg. Part: J9573A#ABA) managed rack mountable switch or an approved equal with the following features: 1. Managed switch 24 x 10/100/1000 (PoE) + 2x10GB/Ethernet / 1GB SFP + 2. Rack Mountable. 3. Performance: 65.4 Mpps throughput 4. Switching capacity 88 Gbps 5. Ports quantity 24x10/100/1000 (POE) 6. Ports quantity 2x10GB Ethernet / 1GB Ethernet SFP+ 7. 2 processors 8. RAM: 2GB SDRAM 9. MAC addresses: Table size 65,500 entries. 10. Routing protocols: IGMP, MLD, MLDv2, OSPF, OSPFv2, OSPFv3, PIM-DM, PIM-SM,

RIP-1, RIP-2, static IP routing, VRRP 11. Remote management: CLI, HTTP, HTTPS, RMON 1, RMON 2, RMON 3, RMON 9,

SNMP 1, SNMP 2C, SNMP 3 Telnet 12. Features: Access Control list support, ARP support, Auto-uplink, Boot P support, DHCP

support, DIFF server support, FAN tray, Flow control, IGMP snooping, IPV6 support, Layer 2 switching, MAC address lockout, MLD snooping, Multiple spanning tree support, quality of service (QOS), Rapid spanning tree support, S Flow, STP root guard, uni-direction link detection, virtual route redundancy support, VLAN support

13. Frequency required: 50/60 Hz 14. Nominal voltage: AC 120/230V 15. Operating Temp: 32F - 131F 16. Storage Temp: -40F – 158F 17. Humidity 15%-90% 18. Warranty: Lifetime hardware warranty

C. POWER DISTIBUTION UNITS

The Contractor shall provide and install PDUs. The Contractor shall provide Triplite PDUs Metered 120V 20A 5-15/20R 12 outlet, L5-20P, Horizontal URM (MFG. Part: PDUMH20) or an approved equal with the following features:

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1. Input connector L5-20 NEMA 2. Output connector 12 x NEMA 5x15x20 3. Cable: 15ft. power cable 4. Rack mountable 5. Max. Electric current: 20A 6. Circuit protection/breaker: 7. Power device features: has a power meter 8. Power provided: 1.9KW 9. 2 year limited warranty

D. BACK-UP TAPE DRIVES The Contractor shall provide and install back-up tape drives. The Contractor shall provide HP StorageWorks MSL2024 – LTO Ultriums (Mfg. Part: AK379A) or an approved equal with the following features: 1. Type: Tool-less design Rack Mountable tape backup with 2U form factor. 2. Media: twenty-five (25) LT05 Ultrium Tape Cartridges shall be furnished for each drive

furnished. 3. Storage Capacity: With two LTO-5 drives 3 TB (compressed), 1.5 TB uncompressed 4. Transfer Rate and Backup Rate: 504GB/hr. 5. Interface: 6GB SAS Interface leveraging higher transfer rates over SCSI Ultra-2 LVD. 6. User Interface: Power on/off switch, LED for fan status. 7. Reliability: 2,500,000 hours MTBF. 8. Physical: 2U rack mounts. 9. Software:

(a) Backup software: Veritas NetBackup Executive for Windows latest version or an approved equal.

(b) Operating System: Microsoft Windows Server - latest version. 10. Power: 100-240VAC, 60 Hz. 11. Service: Five-year Next Business Day parts replacement and Next Business day on-site

labor

E. KEYBOARD VIDEO MOUSE (KVM) MONITOR/CONSOLE The Contractor shall provide and install KVM Console/Monitors. The Contractor shall provide HP TFT7600 G2 Consoles and Monitors (Mfg. Part: AZ871A), HP 2x1Ex16 KVM IP Console Switches G2 (Part #: AF621A), and HP USB Virtual Media Interface Adapters, (Mfg. Part: AF629A), or approved equal(s) with the following features: 1. User Functions:

(a) The KVM shall connect all Servers to a centralized console. (b) The console shall be capable of controlling all connected Servers and Workstations. (c) The KVM shall be capable of connectivity via a web portal on the LAN.

2. Keyboard and Console:

(a) Screen Size: 17.3 inches

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(b) Screen Type: Flat Panel, Active Matrix-TFT LCD (c) Rack Space: 1U (d) Max. Video Resolution: 1440x900 (e) Graphics Modes: 640x480 VGA – 1440x900 WXGA+ (f) Pointing Device: 3 button touchpad with scroll bar (g) Keyboard / Mouse Output: PS2 and USB (h) Rated Voltage: 90-264 VAC. (i) Rated Frequency: 47-63 Hz. (j) Manufacturer and Model No.: HP TFT7600 G2 Console and Monitor, AZ870A.

3. Console Switch: (a) Number of Ports: 16 (b) Number of Users: 4 (c) Maximum Servers: 1024 (d) Port Tiering: Built-In (e) Access: LAN and WAN (f) Connectivity: PS/2, USB Mouse and Keyboard, VT100 serial console support, HP

BladeSystem support (g) Rack Space: 1U (h) Manufacturer and Model No.: HP 2x1Ex16 KVP IP Console Switch G2, AF621A.

4. Media Interface Adaptor: (a) Video Graphics Connector: SVGA (b) Connector to Console Switch: RJ-45 (c) Connector for Mouse, Keyboard, Media: USB 2.0 (d) HP USB Virtual Media Interface Adapter, AF629A. (e) Mfg.Part: AF629A

F. NETWORK FIREWALL APPLIANCE The Contractor shall provide and install Network Firewall Appliances that will control incoming and outgoing network traffic based on an applied rule set as well as establishing a secure barrier between the SCADA network and the DEP LAN/WAN. The Contractor shall provide Cyberoam 750iNG-XPd (Part#: #01-CRI-0750iNG-XP-01) or an approved equal with the following features: 1. Hardware:

(a) Supports user authentication for ICS / SCADA System.

(b) Command based filtering using the following protocols:

i. Modbus

ii. DNP3 iii. IEC iv. Bacnet v. Secure DNP3

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(c) Modbus control over the following commands:

i. Read Coils

ii. Read Discreet Inputs iii. Read Holding Integer iv. Read Input Registers v. Write Single Coil

vi. Write Single Register vii. Read Exception Status

viii. Diagnostics ix. Read FIFO Queue x. Mask Write Register

xi. Report Slave ID xii. Get Comm. Event Counter

xiii. Get Comm. Event Log xiv. Write Multiple Registers xv. Write Multiple Coils

xvi. Read / Write Multiple Registers xvii. Read Device Identification

(d) Capable of creating custom signatures.

(e) Protection against malware and propagation utilizing:

i. Gateway Anti-Virus and Anti-Spam

ii. Web Filtering iii. Application Filtering

(f) Protect vulnerabilities specifically on ICS / SCADA components. Utilizing IPS

(Intrusion Protection System) which monitors specific ICS/SCADA signatures.

(g) All user creation of base security policies

(h) Multiple Security Zones

(i) TCP/UDP Tunneling

(j) Authentication for VPN based upon:

i. Active Directory ii. LDAP

iii. RADIUS iv. Local

(k) Web Application Filter to guard against internet-facing ICS/SCADA applications.

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(l) Stateful inspection firewall

(m) Category based load balancing

(n) Application and user based bandwidth management

(o) Application visibility and control

(p) 3G / 4G / WiMAX Connectivity

(q) Multiple Link Management

(r) IPv6 Ready

(s) High availability capable:

i. Active-Active

ii. Active-Passive iii. Stateful Failover

(t) WRR based Load Balancing

(u) Automated Failover/Failback, Multi-WAN

(v) Application filtering based on:

i. Category

ii. Risk Level iii. Characteristics iv. Technology

G. LED VIDEO MONITORS

The Contractor shall provide and install wall mounted LED video monitors for the WSCC that will be used to display SCADA HMI screens. The Contractor shall configure the System to allow displaying of SCADA screens from terminals on the control console and supervisor’s desk. The WSCC operators shall have the ability to select from their station which monitor will be displayed on each of the wall mounted LED video monitors. The Contractor shall furnish and install all cabling and mounting hardware as necessary to ensure fully functioning LED video monitors. The Contractor shall provide Sharp model E-803 Slimline LED Displays (Part#: SHARP-PN-E803), or an approved equal with the following configuration/functional features: 1. Screen Size: 80in HD widescreen. Capable of Landscape/Portrait orientation. 2. Screen Resolution: 19200 x 1080 pixels. 3. Display Colors: 1.06 billion colors.

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4. Pixel Pitch: 0.923 x 0.923 mm. 5. Brightness: 470 cd/m². 6. Contrast Ratio: 5,000: 1. 7. Viewing Angle: 176º. 8. Active Screen Area: 69 ¾” x 39 ¼”. 9. Response Time: 4ms. 10. Backlight: LED, full-array. 11. Video Color System: NTSC, PAL, PAL60, SECAM. 12. Designed for 24/7 around-the-clock Operation. 13. Audio: Built in 10w SPEAKERS. 14. Inputs: (1) Display Port, (1) DVI-I, (1) mini D-sub 15pin, (2) HDMI, (2) 3.5mm mini

stereo jack, (1) RS-232C. 15. Outputs: (1) Display Port, (1) DVI-D, (1) 3.5mm mini stereo jack, (1) RS-232C. 16. Computer Input: Input/ Output Terminal: (1) LAN port. 17. Power: 100V- 240V AC, 50/60 Hz. 18. Power Consumption: 280W. 19. Fanless Architecture. 20. Built in temperature Sensor. 21. Main Accessories Included: Power Cord, Remote Control Unit, set-up manual, CD-

ROM. 22. VESA Wall Mount: 400 x 600. 23. Warranty: 3 year manufacturer standard warranty.

H. SMART DEVICES

The Contractor shall provide iPad Air2 (latest generation) (Mfg. Part: MH182LL/A), Clamcase® Pro iPad Air Keyboard Case (Mfg. Part: IPD-263-WSLV), Belkin Express Docking Station (Part#: F8J088BT) or an approved equal(s). The smart devices shall be capable of connectivity via a web portal on the DEP LAN, and shall be able to access customized reports using Smart Glance software as described in Section K, Software Applications. Each smart device shall include a licensed subscription service for the Mobile Reporting Application software.

1. The Contractor shall furnish and place into satisfactory operation fifteen (15) tablets with

the following features:

(a) Memory: 128GB

(b) Wireless: i. WiFi 802.11 a/b/g/n

ii. Dual channel 2.4GHz and 5GHz iii. MIMO iv. Bluetooth 4.0 (or latest) technology

(c) Cellular:

i. UMTS/HSPA/HSPA+/DC-HSDPA (850, 900, 1700/2100, 1900, 2100 MHz), GSM/EDGE (850, 900, 1800, 1900 MHz)

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ii. CDMA EV-DO Rev.A and Rev.B (800, 1900 MHz) iii. LTE (Bands 1,2,3,4,5,7,8,13,17,18,19,20,25,26) iv. Data only v. Carriers: AT&T or Verizon

(d) Color: Spaceship Gold

(e) Screen Size:

i. Height: 9.4 inches ii. Width: 6.7 inches

iii. Depth: 0.2 inches iv. Weight: 15.41 oz.

(f) Display:

i. Retina Display ii. 9.7 inch diagonal

iii. LED backlight iv. Multi-Touch Display with IPS technology v. 2048 x 1536 resolution at 264 pixels per inch (ppi)

vi. Fingerprint resistant oleophobic coating

(g) Chip: i. Processor A8x chip or latest

ii. 64 bit (or latest) architecture iii. M8 (or latest) motion coprocessor iv. Clock Speed 1.5GHz

(h) Camera:

i. 8 Megapixel (rear), 1.2 Megapixel (front) ii. 1080p HD video

iii. FaceTime video calling over Wi-Fi or cellular iv. Face detection v. Backside illumination

vi. Tap to control exposure for video or still images vii. Photo and video geotagging

(i) Video Recording:

i. 1080p HD video recording ii. Video stabilization

iii. Face detection iv. Tap to focus while recording v. Backside illumination

vi. 3x video zoom

(j) Sight Camera: i. 8MP photos

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ii. Autofocus iii. Face detection iv. Backside illumination v. Five-element lens

vi. Hybrid IR filter vii. f/2.4 aperture

viii. Tap to focus video or still images ix. Tap to control exposure for video or still images x. Photo and video geotagging

xi. HDR photos

(k) External Buttons and Connectors: i. Buttons:

a. Home b.On/Off - Sleep/Wake c. Volume up/down d.Silent/Screen e. Rotation f. Lock

ii. Connectors and Input/Output: a. Dual microphones b.3.5-mm stereo headphone mini jack c. Lightning connector d.Built-in speakers e. Nano-SIM card tray

(l) Power and Battery:

i. Built-in 32.4 watt-hour rechargeable lithium-polymer battery ii. Up to 10 hours of web surfing on Wi-Fi or watching video

iii. Up to 9 hours of surfing the web using cellular data network iv. Charging via included power adapter or USB to computer system

(m) Sensors:

i. Three-axis gyro ii. Accelerometer

iii. Ambient light sensor

(n) Operating System: i. iOS 7 (or latest release)

ii. AirPrint iii. Control Center iv. Notification Center v. Siri

vi. iCloud vii. Multitasking

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(o) Apps: i. Safari

ii. Mail iii. Photos iv. Maps v. FaceTime

vi. Messages vii. iTunes Store

viii. App Store ix. Calendar x. Reminders

xi. Contacts xii. Camera

xiii. Notes xiv. Clock

(p) Location:

i. Wi-Fi ii. Digital compass

iii. Assisted GPS iv. Cellular

(q) Video Calling:

i. FaceTime ii. iPad Air to any FaceTime-enabled device over Wi-Fi or cellular

(r) FaceTime:

i. iPad Air to any FaceTime-enabled device over Wi-Fi or cellular

(s) Audio Playback: i. Frequency response: 20Hz to 20,000Hz

ii. Audio formats supported: AAC (8 to 320 Kbps), Protected AAC (from iTunes Store), HE-AAC, MP3 (8 to 320 Kbps), MP3 VBR, Audible (formats 2, 3, 4, Audible Enhanced Audio, AAX, and AAX+), Apple Lossless, AIFF, and WAV

iii. User-configurable maximum volume limit

(t) Mail Attachment Support: i. .jpg, .tiff, .gif (images); .doc and .docx (Microsoft Word); .htm and .html (web

pages); .key (Keynote); .numbers (Numbers); .pages (Pages); .pdf (Preview and Adobe Acrobat); .ppt and .pptx (Microsoft PowerPoint); .txt (text); .rtf (rich text format); .vcf (contact information); .xls and .xlsx (Microsoft Excel); .zip; .ics

(u) Languages:

i. Language Support: English

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ii. Keyboard Support: English iii. Dictionary support (enables predictive text and autocorrect): English iv. Siri Languages: English

(v) Intelligent Assistant: Siri

(w) Accessibility:

i. VoiceOver screen reader ii. Guided Access

iii. Switch Control iv. Support for playback of closed-captioned content v. AssistiveTouch

vi. Full-screen zoom magnification vii. Larger type

viii. Bold text ix. Increase contrast x. Reduce motion

xi. On/Off labels xii. Invert colors

xiii. Left/right volume adjustment

(x) Environmental Requirements: i. Operating ambient temperature: 32° to 95° F (0° to 35° C)

ii. Nonoperating temperature: -4° to 113° F (-20° to 45° C) iii. Relative humidity: 5% to 95% noncondensing iv. Operating altitude: tested up to 10,000 feet (3000 m)

(y) ClamCase Pro iPad Air Keyboard Case

i. The Contractor shall furnish a keyboard case for each tablet provided under this Contract.

ii. The keyboard cases shall have the following features: a. 360 deg. Hinge b.Bluetooth Connectivity c. Rechargeable Battery d.Full QWERTY Keyboard e. Auto Wake and Sleep

iii. Mfg. Part: IPD-263-WSLV

(z) Belkin Docking Station i. Connector: 4pin USB A

ii. Two year limited warranty iii. Mfg. Part: F8J088BT

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I. PORTABLE LAPTOP COMPUTERS The Contractor shall provide Dell Latitude E7470 (Catalog # 4 S004E747014US) or an approved equal. The Contractor shall furnish and place into satisfactory operation three (3) portable laptop computers with the following features: 1. 8GB 2133MHz DDR4 2. Processor: Intel core i7-6600U (dual core 2.6GHz 4M cache 15W) 3. LCD 15: FHD 1920 x 1080 anti-glare LCD camera and mic, WLAN / WAN compatible 4. Hard drive: M.2 256 SATA SSD 5. Wireless Intel dual band Wireless – AC8260 wifi + BT4.1 wireless card 6. Keyboard 82 internal backlit keyboard, English 7. Security hardware: Smartcard, contactless Smartcard, and fingerprint reader for 82 key dual-point keyboard 8. Power adapter: 65W AC adapter 9. Battery: primary 4 cell, 55W / HR batter with express charge 10. 5 year pro support and next day business on-site service 11. Carrying case, DELL professional Topload 14.1

J. 16-PORT ETHERNET SWITCH The Contractor shall provide Netgear Prosafe 16 port Gigabit Ethernet Switch GS526T Model: JGS-516 (Mfg. Part: JGS516NA) or an approved equal. The Contractor shall furnish two (2) 16-Port Ethernet Switches with the following features: 1. 16 ports at 1000Base-T 2. Rackmount kit 3. Data transfer rate 1Gbps 4. MAC address table size 8000 5. Features: Auto-uplink (Auto MDI/MDIX, flow control, full duplex capability) 6. Operating Temp: 32° F-104° F 7. Humidity 0%-90% 8. Power: nominal V 120/230V, Frequency 50/60H 9. Power consumption: 25W 10. RAM: 2MB 11: Limited Lifetime warranty

SECTION M – SCADA COMMUNICATIONS NETWORK

M-1.1 GENERAL DESCRIPTION The Contractor shall utilize the existing DEP communications network to link the Remote Locations specified in this Contract with the WSCC and DRCC using existing DEP-owned standard dial service lines for backup communications.

The Remote Locations where SCADA network communications are required are described in Appendix IV, Remote Locations SCADA Network Communications and in Appendix IX, Network Layout Drawings.

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The Contractor shall utilize existing DEP metro Ethernet access connections at the WSCC, DRCC, and Remote Locations. Any additional provisioning services or interface hardware equipment necessary to connect these facilities shall be furnished, installed, provisioned, and coordinated by the Contractor, and paid for under Contract Item A-1 as approved by the PM. The Contractor shall coordinate the provisioning of any additional data circuits, routers, hubs, managed switches, and firewalls required under this Contract with the PM.

The Contractor shall comply with SCADA security protocols as directed by the PM whenever accessing or connecting equipment to the SCADA network.

The Contractor shall coordinate access to WSCC, DRCC, and Remote Locations for service providers to install and provision data circuits and equipment. The Contractor shall notify the local carriers for WSCC, DRCC, and Remote Locations when it is necessary for the Contractor to handle or in any way manipulate equipment located on DEP property but owned by that carrier. The Contractor shall arrange to have service provider personnel available during all testing and installation Work of communication equipment. The Contractor shall also provide to DEP contact information for arranging troubleshooting and repair services with the service provider. The Contractor shall provide field supervision, inspection, start-up and training in accordance with the requirements of Section F, Start-Up and Field Testing and Section G, Training.

M-1.3 EXECUTION

A. INSTALLATION The Contractor shall install equipment and materials provided under this Contract in accordance with the manufacturer’s recommendations.

B. NETWORK SECURITY 1. All connections between the Internet and the SCADA network shall be established

through DEP Office of Information Technology (OIT) provided services. At no time shall the Contractor attempt/establish such a connection without the written approval of the PM. If such a connection is approved, the Contractor shall follow all security measures, restrictions, and instructions as directed by the PM.

2. All Contractor provided computers, laptops, and other systems requiring connection to

the SCADA network shall be subject to all security measures, restrictions, and instructions as directed by the PM prior to being connected to the SCADA network or other networked equipment.

3. All Contractor removable media including, but not limited to, floppy disks, USB thumb drives, and portable hard drives shall be subject to all security measures, restrictions, and instructions as directed by the PM.

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4. All computer systems and other network hardware supplied by the Contractor under this

Contract shall be subject to all security measures, restrictions, and instructions as directed by the PM.

5. At no time shall the Contractor to establish a remote connection to any computer or other

equipment on the SCADA network without written approval from the PM. If such a connection is approved, the Contractor shall follow all security measures, restrictions, and instructions as directed by the PM.

SECTION N – CONTROL STRATEGIES The Contractor shall configure the software supplied under this Contract with the control configurations necessary to perform the control and monitoring functions required by DEP. N-1.1 SUMMARY

A. The Contractor shall furnish Control Strategy flowchart diagrams, configuration sheets, and Control Strategy descriptions as shown, specified, and required to configure the SCADA System.

B. The Contractor shall configure the SCADA System and associated equipment to perform functions as described in this Section N.

C. Configuration of these functions shall be completed and verified as operational during factory acceptance testing.

N-1.2 CONFIGURATION

A. VARIABLE TYPES Analog variables may be in Engineering Units or un-scaled values to be processed by the SCADA System. The SCADA System shall:

1. Be capable of monitoring and processing logical ON/ OFF digital signals and displaying

them as alarms, events, status signals, or complex devices. 2. Process and output digital control signals as momentary, timed, or latched control

outputs. 3. Have the ability to process, monitor, and output analog signals that are Integer, Double

Integer, Unsigned Integer, Unsigned Double Integer, Time, or Real.

B. STRUCTURE The Contractor shall structure process control functions to permit the realization of all Control Strategy requirements. In addition, each control function shall be configured so that bumpless, balance free transfers are obtained during operating mode changeover and initialization. Where applicable, user-changeable parameters shall be automatically defaulted to a preset value (initial) if a specific value is not given during system generation.

C. MONITORING At a minimum, the Contractor shall configure the following monitoring parameters for

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scanned inputs and:

1. Operators with the appropriate security level shall be able to access and change the configuration of a data point by clicking a displayed point that shall display a popup window with the below point editing functions. All modifications shall be automatically logged in the Event Log. (a) Override scanned analog signals and manually enter a value for the point. (b) Enable/disable alarms and change alarm setpoints for the point. (c) Override scanned values for the state of an alarm or status point. (d) Set a service TAG such as Out-of-Service for the associated point.

2. Manually entered point values shall be flagged in the historical databases indicating they

have been modified.

3. The SCADA System shall indicate bad quality on any hardwired I/O point (such as zero milliamps on a 4 to 20 mA DC circuit).

4. The SCADA System shall provide the user with indication and notification of an

individual PLC fault.

5. The SCADA System shall provide the user with indication and notification of communications failure.

6. For all analog signals, the SCADA System shall provide the user with the following

alarm indications and have the ability to enable/disable alarms and setpoints: (a) High – High – High (b) High – High (c) High (d) Low (e) Low – Low (f) Low – Low – Low (g) High and Low Rate of Change (h) Deviation Alarm (i) Alarm Delay Function

D. GENERAL PROCESSING

The SCADA System shall provide the following process handling of scanned I/Os: 1. Analog Data Scaling: This control function shall scale all analog inputs to a common

span and shall normalize the digital representation of each analog input to a percent of the operating span. All signals shall be scaled as Engineering Units as listed in the table referenced in Section N-1.2(D)(4).

2. Runtime Calculation: This control function shall track runtimes of equipment monitored as Running or being ON. Units for tracking shall be user selectable to be recorded in

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units of Minutes, Hours, Days, etc. This information shall be available for use in generating equipment reports for tracking Preventative Maintenance on equipment.

3. Engineering Unit Conversion: This control function shall convert scaled analog data to

Engineering Units by means of the following equation:

4. Units: The SCADA System shall be able to process and display, at a minimum, signals with the following units. The software shall allow for the addition of custom units:

5. Devices: The SCADA System shall be capable of monitoring, processing, and controlling complex multi-bit variables (i.e., Devices). The processing of these Devices shall be utilized to monitor and control field devices using multiple bits of data to represent specific states of the devices being monitored or controlled. Devices shall be capable of being configured for simultaneous Input and Output functionality. The software shall allow for the addition of custom configured Devices. A list and description of Device types that the Contractor shall provide, at a minimum, is listed in Appendix V, List and Description of Device Types.

N-1.3 IMPLEMENTATION

A. CONTROL STRATEGY (CS)-01 - ALARM PROCESSING Alarm configuration and management shall be as described in Section J, Wonderware. The Contractor shall configure the SCADA System to process and display alarms in the following manner: 1. The alarm shall be displayed on an alarm banner that shall pop-up to display the active

alarm if not open on a screen.

2. The alarm banner shall have the capability of displaying alarms as they go into alarm, and when they return to normal. A configurable delay function shall allow points to return to

Y = (H - L) (D/DH) + LWhere:Y = Value in Engineering unitsH = High value of span, expressed in Engineering unitsL = Low value of span, expressed in Engineering unitsD = Digitized scaled input value in countsDH = Full scale digitized value in counts

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a normal condition without generating an alarm. Enabling this functionality shall be allowed only by users with the proper security level.

3. The alarm shall be capable of being configured for various priority levels defined to prompt the user for responsive actions. Alarms shall be configured to allow for combinations of the audible response, printout, alarm banner display, and external notifications.

4. Operators with the proper security level shall be allowed to manually remove alarms from the alarm banner. Points shall be configurable to allow manual removal at any time, based upon the point returning to normal, based upon the point alarm being acknowledged, or a combination of returning to normal and being acknowledged. Enabling this functionality shall be allowed only by users with the proper security level.

5. Alarms shall be capable of being configured to be auto-removed from the alarm banner based upon the point returning to normal, the point alarm being acknowledged, or a combination of returning to normal and being acknowledged. Enabling this functionality shall be allowed only by users with the proper security level.

6. The alarm banner shall have the capability of displaying the status of the alarm being acknowledged. Enabling this functionality shall be allowed only by users with the proper security level.

7. The alarm banner display shall include: (a) Date and Time Stamp of the Alarm (b) Point Name (c) Point Description (d) Acknowledgement Button with Status (e) Alarm Priority Level (f) Removal Button with Status

8. The alarm banner shall have the ability to remove alarms from the banner based upon

programmed criteria for removal.

9. The alarm banner shall have the capability to user link to Standard Operating Procedures. Users with the appropriate security permission shall be able to modify links to Standard Operator Procedures.

B. CS-02 – EVENT LOG

The Contractor shall configure the SCADA System to process and display an event log of the SCADA System in the following manner:

1. The Event Log shall display all System events in sequential order. The functionality of

the Event Log shall be as a Sequence of Events Recorder. The Event Log shall run continuously regardless of whether any Workstation has the application active or not.

2. The Event Log shall at minimum display the following types of events:

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(a) Alarm Events (b) Alarm Acknowledgement (c) Communication Failures (d) System Alarms/Events (e) Operator Login/Logout (f) Point Parameter Modification (g) Alarm Configuration Modification (h) Issuing a Control Command (i) Modification of a Control Setpoint Value

3. The Event Log shall include the following fields of information about the event:

(a) Date and Time of Event (b) Message Name (c) Message Number (d) Workstation/Session Name (e) User Name (f) Workstation/Session Number (g) Station Name (h) Point Name (i) RTU Name (PLC) (j) Digital Device Name (k) Event Category (l) Alarm Priority (m) Event Type

4. The Event Log shall have the ability to be sorted and filtered by the aforementioned fields. Fields shall be selectable for display in either the sorted or filtered list. All data for fields shall continue to be collected regardless of whether it is in the sorted or filtered display.

5. The Event Log shall be capable of displaying at a minimum 500 Live Online Events. The Event Log shall be archived for retrieval of events beyond the Live Online Event database. The archived Event Log shall be stored from the time the SCADA System goes online until the memory is exhausted. The System shall be installed and setup to archive the online Event Log to the MS SQL (Structured Query Language) historical database for long term storage.

C. CS-03 – COMMUNICATIONS MONITORING/CONTROL The Contractor shall configure the SCADA System to process and display the SCADA communications status of all System Devices and Remote Locations, and to control communications with System Devices and all Remote Locations. Monitoring and control of SCADA communications shall be configured to work in the following manner: 1. The communications monitoring application shall display the status of communications

with each Remote Location.

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2. Where backup communications are available to a Remote Location, the SCADA System shall utilize the primary communications connection, and, upon determination that the primary communications connection has failed, automatically switch to the backup communications connection. An alarm shall be generated indicating primary communications with the site has failed. Upon restoration of the primary communications connection, the System shall automatically switch back to the primary communication connection. A return to normal alarm shall be generated indicating that the primary communications with the site has been restored.

3. Users shall be able to individually modify scan times for polling of information from Remote Locations.

4. Users shall be able to manually select the primary or backup communications connection

used for polling of information from Remote Locations.

5. The SCADA System shall track and display statistical data for each Remote Location showing the performance of each communication connection. The user shall be able to reset/restart the statistical information. The displayed statistical information shall include at a minimum: (a) The polling scan rate (b) The number of polls collected (c) The number of failed polls (d) Type of error (e) Percentage of good polls overall

6. A daily performance report of overall communications status for the SCADA System

shall be generated.

D. CS-04 – VALVE CONTROL FUNCTION The Contractor shall configure the SCADA System to process, display, and control the performance of remote valve control functions in the following manner: 1. The SCADA System shall interact with Remote Locations’ PLCs, RTUs, and standalone

SCADA Systems to perform the function of remotely operating valves at the Remote Locations.

2. PLCs, RTUs, and standalone SCADA Systems at the Remote Locations shall have embedded configurations that serve as the final control element to remotely operate various types of control valves.

3. The SCADA System shall be capable of issuing CONTROL ENABLE commands to

PLCs, RTUs, and standalone SCADA Systems at Remote Locations that have remote valve control capabilities. The Remote Locations shall respond with a status indicating that the command has been received and that remote control function has been enabled. Fault conditions or interlocks at the Remote Location may prevent the enabling of the remote operation function.

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4. The SCADA System shall be capable of issuing CONTROL MODE commands to PLCs,

RTUs, and standalone SCADA Systems at Remote Locations that have remote valve control capabilities. The control mode function selects the method of operation of remote controlled valves. Failure of the Control Enable as described above shall prevent the remote changing of Mode. The Remote Locations shall respond back with a status indicating this command has been received and verifying the selected mode of operation that has been established. The status of mode received by the SCADA System shall be capable of calling up HMI screen layers displaying control functions associated with the operational mode selected.

5. The SCADA System shall issue OPEN, CLOSE, and STOP commands for remote

control valves that are operated fully opened or fully closed. The SCADA System shall send momentary initiation command pulses to the PLCs, RTUs, and standalone SCADA Systems at the Remote Locations that shall carry out the control function with the valves.

6. The SCADA System shall issue setpoint value commands for remote control valves that

are operated as modulating valves. The modulating valves can be either controlled to a specific position or a specific flowrate can be targeted and achieved by the remote facility PLC, RTU, and standalone SCADA System by opening and closing the valve to a position that produces the targeted flowrate.

E. CS-05 – GATE CONTROL FUNCTION The Contractor shall configure the SCADA System to process, display, and control the performance of remote gate control functions as follows: 1. The SCADA System shall interact with Remote Location PLCs, RTUs, and standalone

SCADA Systems to perform the function of remotely operating gates at the Remote Locations.

2. PLCs, RTUs, and standalone SCADA Systems at the Remote Locations shall have configurations embedded to serve as the final control element for remote operation of various types of control gates.

3. The SCADA System shall be capable of issuing CONTROL ENABLE commands to

PLCs, RTUs, and standalone SCADA Systems at Remote Locations that have remote gate control capabilities. The Remote Locations shall respond back with a status indicating this command has been received and that remote control function has been enabled. Fault conditions or interlocks at the Remote Locations may prevent the enabling of the remote operation function.

4. The SCADA System shall issue OPEN, CLOSE, and STOP commands for remote

control gates that are operated fully opened or fully closed. The SCADA System shall send momentary initiation command pulses to the PLCs, RTUs, and standalone SCADA Systems at the Remote Locations that will carry out the control function with the gates.

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5. The SCADA System shall issue setpoint value commands for remote control gates that are operated as modulating gates. The modulating gates can be controlled to a specific position (e.g., gate height) by the Remote Location’s PLC, RTU, and standalone SCADA System by opening and closing the gate to the requested position.

F. CS-06 – LIGHTING CONTROL FUNCTION

The Contractor shall configure the SCADA System to process, display, and remotely control lighting control systems at Remote Locations in the following manner: 1. The SCADA System shall monitor the ON/ OFF/ CONTROL status of lighting control

systems at Remote Locations. Lighting control systems may be segmented into multiple zones of lights that may be separately operated at a facility.

2. The SCADA System shall display the status of the lighting control systems at Remote Locations indicating whether controls are active and whether lights are ON or OFF.

3. The SCADA System shall be capable of enabling or disabling the remote control function

of a Remote Location’s lighting control system.

4. Once remote control is enabled at a Remote Location, the SCADA System shall allow turning ON or OFF a lighting system or particular zone of lights by selecting an ON or OFF command, then selecting to execute the command or cancel the command.

5. The SCADA System shall be configured to provide automatic scheduling of lighting to

be turned ON and OFF. This action shall be displayed as an event on the alarm banner notifying an operator when such action has taken place.

6. The SCADA System shall allow for controlling lights based upon outside triggers such as

alarm systems being disarmed, intrusion alarm detection, or an analog value reaching a limit. This action shall be displayed as an event on the alarm banner notifying an operator when such action has taken place.

G. CS-07 – RESERVOIR MODE STATUS MONITORING FUNCTION The Contractor shall configure the SCADA System to process and display reservoir operational status based upon monitored reservoir gate positions. Intake chambers at some reservoir facilities have an uptake through which water enters the facility. Water can be conveyed directly into the reservoir or diverted through a bypass tunnel through the downtake. Control is accomplished via sluice gates within the intake chamber. The various configurations of these gates determine the operating mode of the reservoir in the following manner.

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1. RESERVOIR MODE: As illustrated below, in Reservoir Mode the downtake sluice gates are CLOSED and the reservoir sluice gates are OPEN allowing free flow of water from the uptake to enter the reservoir through the reservoir sluice gates.

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2. FLOAT MODE: As illustrated below, in float mode the downtake sluice gates and reservoir sluice gates are both OPEN allowing flow of water from the uptake to flow into both the bypass downtake and the reservoir.

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3. BYPASS MODE: As illustrated below, in bypass mode the downtake sluice gates are OPEN and the reservoir gates are CLOSED allowing flow of water from the uptake to flow through the downtake to the bypass tunnel.

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4. WEIR MODE: As illustrated below, in weir mode the downtake sluice gates and reservoir sluice gates are both CLOSED allowing water to flow from the uptake over the reservoir weir into the reservoir.

H. CS-08 – PRECIPITATION DATA HANDLING FUNCTION The Contractor shall configure the SCADA System to process and display recorded precipitation at Remote Locations in the following manner. 1. Precipitation is recorded at Remote Locations by electrically heated tipping bucket rain

gauges. The gauge produces a switch closure for every 0.01inch of precipitation recorded.

2. Equipment at the Remote Locations receive the signal from the precipitation gauge as a digital input (SITE_PRECIP_RAW) and accumulates the signal as an hourly value (SITE_PRECIP_HOURLY) and daily value (SITE_PRECIP_DAILY).

3. The SCADA System shall read these data registers from the equipment at Remote

Locations. Processed values shall be utilized on graphical display screens and historical graphs, and used in the processing and generation of reports.

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4. The SCADA System shall be capable of using the collected precipitation data for generation of detailed analytical information such as triggered rainfall event notification, rate-of-rainfall, high rainfall alarms, and calculated runoff estimated amounts.

I. CS-09 – STORAGE TABLE LOOK-UP FUNCTION

The Contractor shall configure the SCADA System to process and display reservoir storage values based upon measured reservoir elevation values in the following manner: 1. The SCADA System shall be loaded with reservoir storage tables for each reservoir. The

tables shall contain the storage values for each 0.01 feet of the usable reservoir stage.

2. The SCADA System shall use the measured reservoir elevation stage as a pointer to lookup the associated storage value at a periodic interval that shall be configurable by a user with proper security clearance.

3. The computed reservoir storage values shall be generated as SCADA System tags that are

processed, displayed, and historically stored by the SCADA System.

4. The SCADA System generated storage values shall be utilized on graphical display screens and historical graphs, and used in the processing and generation of reports.

5. Copies of available reservoir storage tables will be furnished to the Contractor by the PM.

J. CS-10 – SPILL CALCULATION FUNCTION The Contractor shall configure the SCADA System to process and display reservoir spill values based upon measured reservoir elevation values in the following manner: 1. The SCADA System shall be loaded with reservoir spill tables for each reservoir. The

tables shall contain the spill values for each 0.01 feet of the reservoir stage above the spillway elevation.

2. The SCADA System shall use the measured reservoir elevation stage as a pointer to lookup the associated spill value at a periodic interval that shall be configurable by a user with proper security clearance.

3. The computed reservoir spill values shall be generated as SCADA System tags that are

processed, displayed, and historically stored by the SCADA System.

4. The SCADA System generated spill values shall be utilized on graphical display screens and historical graphs, and used in the processing and generation of reports.

5. Copies of available reservoir spill tables will be furnished to the Contractor by the PM.

K. CS-11 – FLOW TOTALIZATION FUNCTION

The Contractor shall configure the SCADA System to process and display totalization values for various collected tags representing rates in the following manner:

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1. The SCADA System shall utilize measured tags representing rate units and compute a

quantity unit over a period of time for the rate. Example: for a measured flow rate in MGD (Millions of Gallons per Day), the totalized value shall be in MG (Millions of Gallon). Copies of available reservoir spill tables will be furnished to the Contractor by the PM.

2. The SCADA System shall be capable of generating totalizer values that are set up to accumulate hourly, daily, weekly, etc. values.

3. The computed totalizer values shall be generated as SCADA System tags that are

processed, displayed, and historically stored by the SCADA System.

4. The SCADA System generated totalizer values shall be utilized on graphical display screens and historical graphs, and used in the processing and generation of reports.

L. CS-12 – MISCELLANEOUS DATA PROCESSING SCRIPTS The Contractor shall configure the SCADA System to process, manipulate, and display measured, generated, or manually entered data points in the following manner: 1. The SCADA System shall be capable of performing complex mathematical functions on

data points and processing them as points to be utilized by the SCADA System. The mathematical functions shall include, at a minimum, the following: (a) Addition (b) Subtraction (c) Multiplication (d) Division (e) Summation (f) Square (g) Square Root (h) Average

2. Capability of being configured to generate a TIME SYNC data pulse signal at a particular time (HR:MIN:SEC), and transmitting the pulse to a Remote Location for the purpose of synchronizing the Remote Location system clock with the SCADA System computer.

3. Capability of being configured to process and display data points that are inputs,

calculated, or manually entered and moving them to data points that are processed to be outputs to Remote Locations. Example: retransmit a signal collected from one location to other locations for display and processing at that facility.

M. CS-13 – DATABASE CONFIGURATION The Contractor shall utilize software described in Section J, Wonderware and Section K, Software Applications to establish a SCADA System database that shall reside on the Servers and memory storage devices as described in Section I, Stratus Servers. Additionally:

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1. The SCADA System shall include SCADA databases, residing on the SCADA Servers, at the WSCC and DRCC. The SCADA System shall also include historian databases residing on the Historian Servers at the WSCC and DRCC. Other databases, located on the DEP network, shall be capable of exchanging data with the SCADA System databases. A network layout diagram showing network architecture is provided in Appendix IX, Network Layout Drawings.

2. The Historian Servers shall be located in a secure Demilitarized Zone (DMZ) to provide a layer of security between the SCADA network and the DEP corporate WAN. The Historian Servers shall be the source of near real-time data.

3. The Contractor shall configure the database structure such that the SCADA databases and historian databases located at the WSCC and DRCC are synchronized over the existing DEP network.

4. The Contractor shall configure the SCADA database structure and the historian database structure to provide separate databases for the Operations Division and Water Quality Division. The configuration shall be such that any edits, updates, or modifications being performed on any individual database shall not have any adverse effects on any other database on the system.

5. The database structure shall allow for the exchange of data between Wonderware Historian databases and other compatible databases on the DEP network. The databases shall be structured in a tiered arrangement allowing for the user to choose the option of either full exchange of data, summary data, or an aggregate set of data. There shall be no loss of data during periods of intermittent, slow, or total loss of communications.

6. The database structure shall allow for auditing and maintaining of data and files using standard database software tools. The database structure shall facilitate access to the historian data using open database standards.

7. The Contractor shall provide a data dictionary for the structure of all database tables and

their associated relationships. This dictionary shall contain the definition of the database including information about tables, indexes, columns, datatypes, and views. A data dictionary diagram shall be included that depicts a graphical representation of the data dictionary.

N. CS-14 – CUSTOM REPORTS CONFIGURATION

The Contractor shall configure the SCADA System to create and configure custom reports that shall be capable of being scheduled to run at a user determined time or generated upon demand. Reports shall be produced using the software specified in Section J, Wonderware. 1. Reports shall be produced such that they can be viewed and/or distributed via e-mail, fax,

network printer, or viewed as a Web Page.

2. All generated reports shall be capable of being edited before distribution, and any edited

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data shall be flagged to indicate the value presented has been manually modified.

3. The Contractor shall produce, at a minimum, the reports listed in this section. Any additional reports that are required to be produced with DEP Operational staff shall be included as part of training on the reporting software.

4. Data shall be collected from various historians on the SCADA network.

5. The information displayed on reports shall be appended daily to include the current day’s

values as well as updating the calculated values shown on the reports.

6. Sample reports showing the complexity and general layout requirements are shown in Appendix VIII, Sample Reports.

7. Due to the complexity of these reports, the Contractor shall examine the methods being

used to generate these reports and become familiar with the reporting requirements prior to configuring the reporting software to generate these reports.

8. Specific required custom reports:

(a) SYSTEM STATUS OVERVIEW REPORTS: The Contractor shall configure the SCADA System to produce System Status Overview Reports generated at 8:00am daily that shall show the final collected (totalized) values for the current water day. The water day shall be defined as 8:00am the previous day through 8:00am the current day. Data shall be collected from various historians on the SCADA network. Values obtained shall be scrutinized such that the highest totalized value for the water day is collected prior to being reset. There shall be separate reports generated for each system using the parameters shown in the following tables, where all parameters listed within the table shall apply to all locations/sites included within the table:

Requirements for System Status Report - West of Hudson Reservoir System

Parameters (ALL Parameters below are required for ALL Locations/Sites listed) Locations / Sites

Current Reservoir Elevation (ft) Rondout Reservoir Current Reservoir Storage (BG) Neversink Reservoir

24-Hour Reservoir Spill Amount (MG) Pepacton Reservoir24-Hour Accumulated Precipitation (in) Cannonsville Reservoir

24-Hour Release Amount (MG) Ashokan Reservoir(East and West Basins)24-Hour Total Diversion Amount (MG) Schoharie Reservoir

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Requirements for System Status Report - East of Hudson (Croton) Reservoir

Parameters (ALL Parameters below are required for ALL Locations/Sites listed)

Locations / Sites

Current Reservoir Elevation (ft) Amawalk ReservoirCurrent Reservoir Storage (BG) Bog Brook Reservoir

24-Hour Reservoir Spill Amount (MG) Boyds Corner Reservoir24-Hour Accumulated Precipitation (in) Cross River Reservoir

24-Hour Release Amount (MG) Croton Falls Reservoir24-Hour Total Diversion Amount (MG) Diverting Reservoir

East Branch ReservoirMiddle Branch Reservoir

Muscoot ReservoirNew Croton Reservoir

Titicus ReservoirWest Branch Reservoir

Lake GleneidaLake Gilead

Kirk Lake

Requirements for System Status Report - BWS Water Quality

Parameters (ALL Parameters below are required for ALL Locations/Sites listed) Locations / Sites Locations / Sites (Continued)

Chlorine Residual (mg/l) 1. SRR1CM 19. BX-58Turbidity (NTU) 2. SRR2CM 20. SITE_8

Conductivity (µm/m) 3. EARCM 21. SHAFT_3ApH 4. CATALUM 22. SHAFT_3B

Temperature (ºC) 5. CATIC 23. SHAFT_4TOC (mg/l) 6. DEL9 24. SHAFT_7DOC (mg/l) 7. DEL10 25. 3SC26NO3 (ppm) 8. DEL17 26. 1SCL1

9. DEL18DT 27. 1SCH1 10. DEL19 28. 1SCH2 11. DEL19LAB 29. 1SCH3 12. CCC 30. 1SCH4 13. CCCLAB 31. 1S03 14. DELSFB 32. 38_SCAN 15. DELSFBLAB 33. PIKE_SCAN 16. BX-1 34. RICHMOND 17. BX-2 35. JOL_SCAN 18. BX-3 36. S6_SCAN

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Requirements for System Status Report - BWS Wastewater

Parameters (ALL Parameters below are required for ALL Locations/Sites listed) Locations / Sites

24-Hour Total Plant Influent Grahamsville Wastewater Treatment Plant24-Hour Total Plant Effluent Grand Gorge Wastewater Treatment Plant

Plant Effluent Turbidity Mahopac Wastewater Treatment Plant24-Hour Accumulated Precipitation (in) Margaretville Wastewater Treatment Plant

Pine Hill Wastewater Treatment PlantPort Jervis Wastewater Treatment Plant

Tannersville Wastewater Treatment Plant

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(b) RESERVOIR ACCOUNTING REPORTS: The Contractor shall configure the SCADA System to produce monthly accounting reports for each of the six (6) West of Hudson Reservoirs, each of the twelve (12) East of Hudson (Croton) Reservoirs, and each of the three (3) East of Hudson Controlled Lakes. There shall be separate reports generated for each system using the parameters shown in the following tables, where all parameters listed within the table shall apply to all locations/sites included within the table:

(c) RIVER MASTER ACCOUNTING REPORT: The Contractor shall configure the SCADA System to produce a River Master Accounting report for tracking Delaware River releases from the tributary reservoirs – Neversink, Cannonsville, and Pepacton Reservoirs.

Requirements for Reservoir Accounting Reports

Parameters (ALL Parameters below are required for ALL Locations/Sites listed) Locations / Sites

Date West of Hudson ReservoirsReservoir Elevation Ashokan Reservoir (East Basin)

Reservoir Gross Storage Value Ashokan Reservoir (West Basin)Reservoir Storage Percentage Cannonsville Reservoir

Reservoir Change in Storage (from Previous Day) Neversink ReservoirAccumulated Reservoir Watershed Precipitation Value Pepacton Reservoir

Reservoir Conservation Release Rondout ReservoirReservoir Directed Release Schoharie Reservoir

Reservoir Total ReleaseReservoir Spill Value East of Hudson Reservoirs

Tunnel Diversion Value Amawalk ReservoirDiversion Added from other Reservoirs Bog Brook Reservoir

Aqueduct Draft Boyds Corner ReservoirReservoir Dam Siphon Flows Cross River ReservoirUSGS Gauging Station Flow Croton Falls Reservoir

Computed Total Daily Runoff Diverting ReservoirMonthly Totals and Averages of above items East Branch Reservoir

Annual Running Totals of above items Middle Branch ReservoirMuscoot Reservoir

New Croton ReservoirTiticus Reservoir

West Branch Reservoir

East of Hudson Controlled LakesKirk Lake

Lake GileadLake Gleneida

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i. The report shall include information about releases made from the reservoirs with accumulation time variables to track the water travel time to the River Master monitoring location at Montague, New Jersey.

ii. The report shall display values for the past seven (7) days.

(d) DIVERSION STORAGE FFMP REPORT: The Contractor shall produce monthly Diversion Storage FFMP Reports for the Delaware System Reservoirs tracking diversions, storage, and parameters of the Flexible Flow Management Program (FFMP).

i. Data for this report shall be collected from various historians on the SCADA network and from other data sources including stored data tables and values from other generated reports.

ii. The information displayed on the report shall be updated daily to include the current date’s values as well as updating calculated values shown on the reports.

iii. In the diversions section of the report, the daily diversions from Cannonsville

Reservoir, Pepacton Reservoir, and Neversink Reservoir to the Rondout Reservoir shall be shown. The daily sum of these diversions and running total since June 1st of the same Water Supply Year, which shall be defined as June 1st through May 31st, shall be calculated and shown. The running number of days after June 1st shall also be shown in this section.

iv. In the storages section of this report, calculated net storage value for the

combined Neversink Reservoir, Pepacton Reservoir, and Cannonsville Reservoir shall be displayed as a value in BG and as a percentage of maximum net storage. Gross storage values shall be displayed as a value in BG for the Neversink Reservoir, Pepacton Reservoir, and Cannonsville Reservoir. The drought warning curve storage value and the calculated difference compared to net storage shall be displayed.

v. In the FFMP information section of this report, the level percentage and

FFMP release level for the Neversink Reservoir, Pepacton Reservoir, and Cannonsville Reservoir shall be displayed. The level percentage and FFMP release level for the Delaware System and Application section of Table 4 of the FFMP program shall also be displayed.

(e) DAILY WATER REPORT (DWR): The Contractor shall configure the SCADA System to produce daily strategic services accounting reports (i.e., Daily Water Reports) for the water supply system. Data for this report shall be collected from various historians on the SCADA network and from other data sources including stored data tables and values from other generated reports. The information displayed on the Daily Water Report (DWR) shall be appended daily to include the current date’s values as well as updating calculated values shown on the reports. The DWR is broken into six sections:

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i. Section 1 – Precipitation Data: The first section of the DWR shall list the past

seven (7) days of daily precipitation values and calculated cumulative weighted average precipitation for the following watersheds as well as additional statistical data for the current water year and previous water year. Watershed locations, weighted average factors, and additional statistical data required are summarized in the table below:

Requirements for Daily Water Report (DWR) - Precipitation Data

Watersheds Number of Stations Weighted Average FactorSchoharie 1 Station 0.16

Esopus 1 Station 0.13Croton 10 Stations 0.19

Rondout 1 Station 0.05Neversink 1 Station 0.05

East Branch Delaware 1 Station 0.19West Branch Delaware 1 Station 0.23

Additional Statistical Information Required for Each LocationActual Precipitation

Historical Average Precipitation (1983-2012 data)% Difference of Historical Precipitation vs Actual Precipitation

Actual Cumulative PrecipitationHistorical Cumulative Precipitation

% Difference of Actual Cumulative Precipitation vs Actual Cumulative Precipitation

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ii. Section 2 - Reservoir Elevations: The second section of the DWR shall include information related to the tracking of reservoir elevations. This section shall list reservoir elevations, crest elevations, and the calculated level above or below crest elevation for the following reservoirs:

iii. Section 3 - Reservoir Storage Values: The third section of the DWR shall include information related to the tracking of reservoir storage values. Data shall be displayed for the current day and include total calculated values from the previous day. Reservoir Storage Values will be generated for each system using the parameters shown in the following tables where all parameters listed within the table below shall apply to all locations/sites included within the table:

Requirements for Daily Water Report (DWR) - Crest Elevation

Reservoir Crest Elevation (Base Measure)

Schoharie Reservoir 1130.00FTAshokan West Basin 590.00FTAshokan East Basin 587.10FT

Croton Lake Reservoir 196.00FTRondout Reservoir 840.00FT

Neversink Reservoir 1440.00FTPepacton Reservoir 1280.00FT

Cannonsville Reservoir 1150.00FTCroton West Branch Reservoir 503.20FT

Kensico Reservoir 357.00FT

Requirements for Daily Water Report (DWR) - Reservoir Storage Values

Parameters (ALL Parameters below are required for ALL Locations/Sites listed) Locations / Sites

Total Gross Storage Capacity in BG Schoharie ReservoirTotal Capacity (in BG) below Minimum Operating Level (MOL) Ashokan Reservoir Total Capacity (in BG) above Minimum Operating Level (MOL) Catskill System (Schoharie+Ashokan)

Current Gross Storage in BG Cannonsville ReservoirCurrent Usable Storage in BG Neversink Reservoir

Current Percentage of Useable Storage Pepacton ReservoirHistorical Percentage of Useable Storage Rondout Reservoir

Current Draft in MG Croton SystemCurrent Spill in MG Delaware Basin (Neversink+Pepacton+Cannonsville)

Current Day’s Normal Percentage Storage Value Delaware System (Delaware Basin+Rondout)Previous Day's Value of Gross Storage in BG West of Hudson System (Delaware System+Catskill System)

Previous Day's Value of Usable Storage in BG System Total (Delaware System+Croton System)Previous Day's Value of Percentage of Useable Storage

Previous Day's Value of Spill in MG

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iv. Section 4 - Reservoir Releases: The fourth section of the DWR shall include tracking information of reservoir releases including the past seven (7) days of releases and total of the past seven (7) days. This section shall include all parameters listed within the table below and shall apply to all locations/sites included within the table.

v. Section 5 - Catskill System Controlled Operational Flows Downstream: The fifth section of the DWR shall include Schoharie siphon flow, Ashokan release channel flow, and total of these flows. This section shall list data for the past seven (7) days and total of the past seven (7) days.

vi. Section 6 - Daily Consumption from Municipal Sources: The sixth section of the DWR shall include calculated average consumption information that shall list values for the 1st through 15th, 16th through last day of month, and total for the month. This section shall display the following information: 1) Water Consumption of Tunnel 1 measured at Shaft 2 in MG. 2) Water Consumption of Tunnel 2 measured at Shaft 2A in MG. 3) Water Consumption of Tunnel 3 measured at Shaft 2B in MG. 4) Total Water Consumption of Tunnels 1, 2, and 3 in MG. 5) Water Consumption of Croton. 6) Total Water Consumption of Municipal Sources.

vii. Due to the complexity of the DWR, the Contractor shall examine the methods being used to generate this report and become familiar with the reporting requirements prior to configuring the reporting software to generate this report. A sample report showing typical formatting of the six sections of the Daily Water Report are shown in Appendix VIII, Sample Reports.

(f) COMMUNICATIONS REPORT: The Contractor shall configure the SCADA System

to produce communications reports showing statistical information for all data communication paths including those listed in Section M, SCADA Communications Network and include specific requirements described in Section N, Control Strategies (CS-03, Communications Monitoring/Control). The Communications Report shall be automatically produced daily at 8:00am and able to be produced on demand.

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The Communications Report shall display the following statistical information:

i. Mode of Communications (Primary – Backup) ii. The polling scan rate.

iii. The number of initiated polls. iv. The number of successfully received polls. v. The number of failed polls.

vi. Percentage of good polls overall.

O. CS-15 – CUSTOM SCRIPTS CONFIGURATION The Contractor shall configure the SCADA System to run scripts to “pull” or “push” data to/from external sources. Data collected shall be capable of being displayed on SCADA screens and utilized in generation of reports. Data pushed to external sources will be used by other reporting groups within DEP or outside agencies. Scripts shall be capable of continual, periodically, on-demand scheduling, or by trigger to run, and be capable of establishing data transfer connections via the SCADA network, DEP WAN, and internet, using established measures to ensure security of the data and the SCADA system. Additionally, the SCADA System shall provide real-time monitoring and run-time statistics about how the scripts are running, execution error information, etc. The Contractor shall configure, at a minimum, the scripts listed in this section. Any additional Scripts that are required by DEP shall be included as part of Script Writing Software training. The Contractor shall provide technical support during the Contract maintenance and guaranty period. Scripts shall support the ability to transfer data to/from other standalone SCADA systems, modeling database Servers, and external websites (e.g., USGS Stream Gauge Data). Due to the complexity of some of these scripts, the Contractor shall examine the methods being used to generate these scripts and become familiar with the data transfer requirements and formatting prior to configuring scripts to transfer data. Sample scripts illustrating typical formatting are shown in Appendix VIII, Sample Reports. 1. Required scripts.

(a) ASHOKAN WORKING GROUP SCRIPT (NWS_OST_ASH): This script shall

transfer data to the Ashokan Working Group website. Data shall be transmitted at an hourly interval with the format of data being XML. The following table details the West of Hudson Reservoirs included in this report as well as the data transmission parameters. All parameters listed within the table below shall apply to all locations/sites included in the table.

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(b) NATIONAL WEATHER SERVICE SCRIPT (NWS_FTP): This script shall transfer

data to the National Weather Service website at 15-minute intervals with the data formatted in XML. The following table details the West of Hudson Reservoirs included in this report as well as the data transmission parameters. All parameters listed within the table below shall apply to all locations/sites included in the table.

(c) NEW YORK STATE CANAL COMISSION SCRIPT (NYSCC_FTP): This script shall transfer data to the New York State Canal Commission Server website at 15-minute intervals in XML data format. Data transmitted shall be for the Schoharie Reservoir for the following parameters:

i. Reservoir Elevation. ii. Reservoir Storage.

iii. Reservoir Spill. iv. Reservoir Release.

P. CS-16 – CUSTOM GRAPH CONFIGURATION

The Contractor shall configure the SCADA System to process and display preconfigured data graphs on the SCADA System. Graph data shall be collected from various historians throughout the SCADA network and other data sources such as stored data tables, values from generated reports, and outside sources. The displayed graph information shall be capable of being generated for a set time period or for an updated time period when produced on demand. Graphs shall be capable of being generated by a time schedule, software link buttons on HMI Screens, and by being selected from a menu list.

Ashokan Working Group Script (NWS_OST_ASH)

Parameters(ALL Parameters below are required for ALL Locations/Sites listed) Reservoir

Reservoir Elevation Schoharie ReservoirReservoir Storage Ashokan Reservoir

Reservoir Spill Rondout ReservoirPrecipitation Neversink Reservoir

Reservoir Release Pepacton ReservoirReservoir Diversion Cannonsville Reservoir

National Weather Service Script (NWS_FTP)

Parameters(ALL Parameters below are required for ALL Locations/Sites listed) Reservoir

Reservoir Elevation Schoharie ReservoirReservoir Storage Ashokan Reservoir

Reservoir Spill Rondout ReservoirPrecipitation Neversink Reservoir

Reservoir Release Pepacton ReservoirReservoir Diversion Cannonsville Reservoir

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The Contractor shall configure, at a minimum, the pre-defined graphs listed in this section. Any additional graphs that are required by DEP shall be included as part of training for graph generating software. The Contractor shall provide technical support during the Contract maintenance and guaranty period. Predefined graphs shall be capable of easy modification and copying as new pre-defined trend graphs. Due to the complexity of some of the graphs, the Contractor shall examine the methods being used to generate these graphs and become familiar with the requirements and formatting prior to configuring the SCADA System to generate them. Sample graphs showing typical formatting are shown in Appendix VIII, Sample Reports. Additional pre-defined graphs shall include all trending abilities listed in the following table.

1. Required Graphs.

(a) RESERVOIR LEVEL TREND GRAPH: These pre-defined graphs shall contain reservoir water level data trended for the period of two weeks (14 days) and be established for individual reservoirs, reservoirs grouped by various sub-systems, and total reservoir system.

(b) WATER QUALITY TREND: These pre-defined graphs shall be generated for all water quality parameters measured at a specific sample location. The Water Quality Trend Graphs for Catskill Aqueduct (EARCM) and Shandaken Tunnel Outlet (SSr1CM) are produced each day at 8:00am and distributed by e-mail to specific Engineering and Water Quality staff. Typical parameters measured and trended include:

i. Chlorine Residual (mg/l). ii. Turbidity (NTU).

iii. Conductivity (µm/m). iv. pH. v. Temperature (ºC).

vi. TOC (mg/l).

Additonal Custom Graphs - Trend Requirements

Reservoir Elevation Level Trend Graphs Tunnel HGL Level Trend GraphsReservoir Storage Trend Graphs HVAC Parameter Trend Graphs

Reservoir Spill Rate Trend Graphs Solar Panel Voltage Trend GraphsAccumulated Precipitation Trend Graphs Pressure Trend Graphs

Reservoir Diversion Trend Graphs Wastewater Treatment Plant Flow Trend GraphsReservoir Release Trend Graphs USGS Stage vs Flow Trend Graphs

Water Quality Station Parameter Trend Graphs Operational Mode Status Trend GraphsValve Position vs Flowrate Trend Graphs Alarm Status Trend Graphs

Motor Torque Trend Graphs Flowrate vs Totalizer Performance Trend Graphs

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vii. DOC (mg/l). viii. NO3 (ppm).

(c) TOTALIZER CHECK GRAPH: The pre-defined graphs display analog parameters with associated totalizer function values. Typical totalized trend values include hourly total values, daily total values, cumulative total value, and past 24-hour total value. Totalizer check trend graphs shall be configured for at least the following parameter types:

i. Accumulated Flow. ii. Accumulated Precipitation.

iii. Accumulated Runtime. iv. Accumulated Releases. v. Accumulated Diversions.

vi. Accumulated Spill.

(d) SHAFT 6 PRESSURE GRAPH: This pre-defined graph shall display pressure information of the Rondout West Branch Tunnel as measured at Shaft 6. The Shaft 6 Pressure Graph contains pressure measured at Shaft 6, calculated HGL level at Shaft 6, flowrate at the delivery source point (Rondout), and flowrate at the delivery withdrawal point (Shaft 9). The Shaft 6 Pressure Trend Graph is produced each day at 8:00am and distributed by e-mail to specific Engineering Staff.

(e) RONDOUT WEST BRANCH TUNNEL HGL LEVEL TREND GRAPH: This pre-defined graph is for monitoring hydraulic grade level (HGL) measurements at shaft sites along the Rondout West Branch Tunnel. The Rondout West Branch Tunnel HGL Level Trend Graph is produced each day at 8:00am and distributed by e-mail to specific Engineering Staff, and contains calculated HGL values for the following shaft sites:

i. Shaft 1 – 1 level transducer. ii. Shaft 2A – 2 level transducers.

iii. Shaft 4 – 1 pressure transducer. iv. Shaft 5A – 1 pressure transducer. v. Shaft 6 – 2 pressure transducers.

vi. Shaft 8 – 1 pressure transducer.

(f) DELAWARE SYSTEM USABLE COMBINED STORAGE GRAPH: This pre-defined graph displays stored values for the six drought curves for the Delaware River Basin Reservoirs. The values for these curves are derived from established tables that the Contractor will import for use by the SCADA System.

(g) FFMP STORAGE AVAILABILITY GRAPH: This pre-defined graph displays the actual observed Delaware River Basin Storage values and the six drought curves for Delaware System Usable Combined Storage from stored tables. Projected values used for forecasting values are calculated by the Operational Support Tool (OST) System.

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Q. CS-17 – IMPORTING HISTORICAL DATA Related to the importing of historical data into the SCADA System, the Contractor shall: 1. Take all necessary action to maintain existing tag names for all data that is imported to

support internal and external users that rely on particular tag names in order to push data to or pull data from the online SCADA database for usage with their separate databases.

2. Import Storage and Spill Tables for all eighteen (18) NYC reservoirs and three (3) controlled lakes, for displaying data, performing computations, and generating reports on the SCADA System. DEP will provide these tables in electronic format to the Contractor.

3. Import historical data from the existing SCADA database for displaying of data,

computations, and generation of reports. This data resides in multiple tables and shall be compiled into a single usable database.

4. Import historical data from the existing Water Quality Wonderware Historian for

displaying data, performing computations, and generating reports on the SCADA System. The Contractor shall transfer this data to a separate database as directed by DEP. This shall be a separate database table.

5. Import SCADA database tags from the existing West of Hudson SCADA database for

displaying data, performing computations, and generating reports on the SCADA System. These tags shall be obtained from either the existing SCADA System point log or from individual PLC tag lists as directed by the PM.

6. Import SCADA database tags from the existing East of Hudson SCADA database for

displaying data, performing computations, and generating reports on the SCADA System. These tags shall be obtained from either the existing EOH SCADA System point log or from individual data concentrator RTU tag lists.

7. Import SCADA database tags from the existing Wastewater Treatment Plant SCADA

databases for displaying data, performing computations, and generating reports on the SCADA System. The upgraded SCADA System will serve the primary function of monitoring and displaying alarm information for the existing stand-alone SCADA System functionality running at each individual BWS Wastewater Treatment Facility. These tags may be obtained from the existing individual SCADA Systems. Required display screens shall also be imported from these SCADA Servers.

R. CS-18 – SCADA SYSTEM TIME SYNCHRONIZATION

The Contractor shall configure the SCADA System to provide time synchronization of the SCADA System and for all remote connected PLCs and devices on the system.

1. On a daily basis (at minimum), all SCADA Servers in the tiered SCADA network shall

have their real-time clocks synchronized to the System Time.

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2. The Contractor shall produce a scheduled momentary time sync pulse to Western Operation PLCs individually or as a group such that the PLCs will set their internal real-time clocks to the configured expected time of the arriving pulse. The PLC code to perform this time synchronization along with the code to pass to slave Devices exists within each PLC. The expected synchronization times will be changed by DEP.

3. The SCADA System shall be capable of sending real-time clock values to external

SCADA system Devices such that programming routines in the external SCADA system Devices shall be able to view the SCADA established time and synchronize to it.

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DIVISION THREE – SITE-SPECIFIC WORK REQUIREMENTS

SECTION O – GRAHAMSVILLE WATER SUPPLY CONTROL CENTER (WSCC) REQUIREMENTS

O-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION

1. The SCADA Servers are located in a secure location in the Grahamsville Division Office/ Shop (GDO/S) complex in the Rear Shop Building. Networking connectivity to the head end of the SCADA network and DEP WAN are available at the SCADA Server location. The Instrumentation Shop and OIT Director of Upstate SCADA Office are located adjacent to the Server location.

2. The Water Supply Control Center (WSCC) is located in the Grahamsville Division Office/ Shop complex in the Front Office Building. The WSCC is connected to the SCADA Servers via Ethernet over Fiber Optic cable.

3. The BWS Wastewater Treatment Administration Offices are located in the Grahamsville Annex Building, across the street from the Grahamsville Office Complex. The Annex Building is interconnected to the Grahamsville Complex via fiber optic cabling.

4. Remote Workstations and desktop PCs outside the WSCC which will connect to, and

retrieve data from, the Historian Server are connected to the corporate WAN.

5. The Contractor shall coordinate all Site visits with the PM.

B. SITE SPECIFIC PAYMENT REQUIREMENTS 1. Payment Item #3: Payment for Work performed at the WSCC described in this Section

O-1.1(B)(1) will be made in accordance with Appendix III, Schedule of Payments, as approved by the PM. Specific tasks required to be completed for payment include the following:

(a) All required equipment and software listed in Equipment and Software Table 1 in Section O-1.2 shall be delivered, installed, and operational, as approved by the PM.

(b) All installation Work described in Sections O-1.4 through O-1.6 shall be completed, as approved by the PM.

(c) Historical data residing on the existing DYNAC SCADA system and Reservoir

Storage and Spill Tables shall be imported as described in Section N-1.3Q) (CS-17 – Importing Historical Data), as approved by the PM.

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2. Payment Item #27: Payment for Work performed at the WSCC described in this Section O-1.1(B)(2) will be made in accordance with Appendix III, Schedule of Payments, as approved by the PM. The Contractor will also be paid for additional costs required to complete the Work under this Section as described in Section D-1.2(C), Contract Item A-1, Miscellaneous Equipment Allowance. Specific tasks required to be completed for payment include the following:

(a) All work to monitor, control, and display information from Remote Locations described in Sections P through UU shall be completed.

(b) Any training required to provide continuous operation of the SCADA System during installation that is not included in Section G, Training shall be completed.

(c) Communications with the Kingston Disaster Recovery Control Center (DRCC)

shall be completed and tested.

(d) All Control Strategies described in Section N including all reports and graphs shall be completed and tested.

(e) Importing historical data for the West of Hudson (WOH) SCADA, East of

Hudson (EOH) SCADA, Water Quality (WQ) SCADA, and Wastewater Treatment Plant (WWTP) SCADA systems, all as described in Section N-1.3(Q) (CS-17 – Importing Historical Data), shall be completed.

(f) Required software to be installed on DEP Workstations shall be setup, installed,

and tested.

(g) All remaining installation Work described in this Section shall be completed.

C. SITE SPECIFIC ELECTRICAL WORK 1. The Contractor shall use existing fiber optic and ethernet network cabling between the

Server Room and the WSCC as well as between the WSCC and Grahamsville Annex.

2. The Contractor shall utilize existing UPS power supplies to provide power to Servers, Workstations, and networking equipment located in the Server Room and Control Room at WSCC.

3. The Contractor shall provide and install all power cords for equipment and signal/cross-

connect cables required to achieve proper communications between System Devices.

O-1.2 EQUIPMENT AND SOFTWARE REQUIRED The following table details the minimum set of equipment and software (including spares) that are required to be furnished and/or installed by the Contractor at WSCC. The Contractor shall provide additional equipment and software as requested by the PM. The technical specifications

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for the equipment and software listed are provided in prior sections as referenced in the table. Any ancillary services or devices such as cables, peripheral equipment, or configuration necessary to provide a complete working System shall be provided by the Contractor and included in its lump sum bid price. Equipment and Software Table 1

Line Description Quantity Contract Section

1 Desktop Operator Workstations 9 H-1.1 2 Thin Client Operator Workstations 7 H-1.2

3 Monitors 32 H-1.1, H-1.2

4 Monitor Stands – Dual 4 H-1.3

5 Monitor Stands – Triple 5 H-1.3

6 SCADA Server 1 I-1.2

7 HISTORIAN Server 1 I-1.3

8 Wonderware – ArchestrA System Platform 2014 r2, Part No. SP-5675A, with Enterprise Level Historian for 50K Tags and 50K I/O

1 J

9 Wonderware – Development Studio 2014r2 Unlimited, Unlim/60K/500 1 J

10 Wonderware – Historian Server 2014r2 Standard, 50K Tags, Enterprise for replication from Master

1 J

11 Wonderware – Historian Server Standard, 5K Tag for Water Quality 1 J

12 Wonderware – (15 Concurrent Users) InTouch for System Platform 2014r2 w/ Historian Client RDS Concurrent (Access Anywhere included)

1 J

13 Wonderware – (15 Concurrent Users) InTouch for System Platform 2014r2 Read-only w/Historian Client RDS Concurrent (on Reporting server for remote users to READ ONLY in DMZ)

1 J

14 Dream Report for Wonderware, 5K Tags, v4.7 or latest compatible 1 J

15 Dream Report for Wonderware Web Client, (10 Concurrent Users), v4.7 or latest compatible

1 J

16 SmartGlance Subscription, named users, 15 User Pack (licensed per mobile device name)

1 J

17 Wonderware Fail-over licenses for Disaster Recovery servers 1 J

18 One Year of Customer First Support Premium Level for all aforementioned Wonderware products

1 J

19 Dream Report 4.6r1 1 K-1.1

20 ArcServe (4 Servers – adequate license to span entire system) 1 K-1.2

21 ACP Thin Manager - 15 User Pack with Support for 1 year 1 K-1.3

22 Microsoft Server 2012 R2 (per each server) 2 K-1.4

23 Microsoft SQL 2012 (per each server) 2 K-1.4

24 Microsoft 2012 RDS CALS (15 Users) 1 K-1.4 25 48-Port Managed Switch 1 L-1.2(A) 26 Power Distribution Unit 2 L-1.2C 27 Back-Up Tape Drive 1 L-1.2D

28 KVM Keyboard and Console HP TFT7600 G2 and Monitor AZ807A 2 L-1.2E

29 KVM Console Switch 2 L-1.2E

30 Media Interface Adapter – AF603A 10 L-1.2E 31 Network Firewall Appliance 2 L-1.2F

32 LED Video Monitors 3 L-1.2G 33 Smart Devices (iPad Air 2 Tablets) 15 L-1.2H 34 ClamCase Pro iPad Air 2 Keyboard Case 15 L-1.2H

35 Sync Docking Stations with Power Adapter 15 L-1.2H 36 Portable Laptop Computers 3 L-1.2I 37 16-Port Ethernet Switches 2 L-1.2J

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The Contractor shall deliver the following spare parts to the PM at the WSCC:

1. Two (2) spare desktop Workstations. 2. Two (2) spare Thin Client Workstations. 3. Five (5) spare monitors. 4. Eight (8) spare media adapters.

These spare parts are included in quantities shown in the equipment lists included in Section O, Grahamsville Water Supply Control Center (WSCC Requirements and Section VV, Kingston Disaster Recovery Control Center (DRCC) Requirements.

O-1.3 IMPLEMENTATION / INSTALLATION SUMMARY

Work at the WSCC shall include:

A. Installation, configuration, and startup of a SCADA Server, Historian Server, local Workstations, remote Workstations, and Smart Devices.

B. Providing necessary network connections between Servers, Workstations, DEP network printers, and to Remote Locations.

C. Providing interconnection to and operation with the DRCC as described in Section VV.

D. Providing a seamless switchover from the existing SCADA System with no disruption to

daily operations. The old SCADA System shall remain in operation until Remote Locations are successfully migrated onto, and operational on, the upgraded SCADA System. There shall not be any disruption in the monitoring of facilities or the remote operation of valves and other control elements.

E. Prior to disconnection or removal of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display Screens shall be installed and tested.

O-1.4 PRE-INSTALLATION Prior to commencement of Work at the WSCC, the Contractor shall complete the following preliminary Work:

A. Factory testing of the Servers and SCADA System under Section E, Factory Testing. All

deficiencies shall be corrected to the satisfaction of the PM.

B. Necessary communications services shall be operational, provisioned, installed, and tested.

C. All software, equipment, wiring, cables, and appurtenances necessary to complete installation of the SCADA System shall be on-Site.

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O-1.5 SERVER ROOM INSTALLATION WORK The Contractor shall install Servers, network equipment, firewall devices, and associated wiring and cabling in the Server Room at the WSCC Rear Shop Building as follows:

A. SERVER INSTALLATION

The Contractor shall install the SCADA Server and the Historian Server listed in Equipment and Software Table 1. 1. The Contractor shall install the SCADA Server in the secure rack located in the Server

Room. The SCADA Server shall have the required operating system, SCADA software, database software, and other software installed and configured.

2. The Contractor shall install the Historian Server in the non-secure rack located in the

Server Room. The Historian Server shall have the required operating system, SCADA software, database software, and other software installed and configured.

B. COMPUTER NETWORKING EQUIPMENT INSTALLATION

The Contractor shall install networking equipment listed in Equipment and Software Table 1 in the Server Room. The Contractor shall:

1. Install a PDU in the secure SCADA rack and a PDU in the Historian Server rack. Each PDU shall be powered by an existing rack mounted UPS system located in each rack. The PDU shall provide power to equipment mounted in each rack.

2. Install the 48-port managed switch in the Historian Server rack.

3. Install a drawer-type KVM and console switch in the secure SCADA rack and a

KVM and console switch in the Historian Server rack.

4. Install two (2) firewall devices in the Historian Server rack and connect them as directed by the PM and detailed in the Conceptual Network Layout Diagram in Appendix IX. The Contractor shall configure the firewall devices to provide a demilitarized zone (DMZ) for access to data on the Historian Server.

5. Install the backup tape drive in the designated secure SCADA rack. 6. Provide connections for all installed equipment as directed by the PM and detailed in

the Conceptual Network Layout Diagram in Appendix IX. The Contractor shall utilize the existing fiber optic link for communications from the Server equipment to Workstations in the WSCC in the adjacent building.

O-1.6 WATER SUPPLY CONTROL CENTER (WSCC) INSTALLATION WORK

The Contractor shall install Workstations listed in Equipment and Software Table 1 in the WSCC Office Building as follows:

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A. WORKSTATION INSTALLATION. The Contractor shall install Workstations and monitors as follows:

1. Install one (1) desktop Workstation at the Operations Supervisor II’s desk equipped with three (3) monitors installed on a triple monitor stand.

2. Install one (1) desktop Workstation at the Operations Modeling OST / Engineer’s desk equipped with three (3) monitors installed on a triple monitor stand.

3. Install one (1) desktop Workstation at the OIT WS SCADA System Administrator’s

desk equipped with three (3) monitors installed on a triple monitor stand.

4. Install two (2) Thin Client Workstations in the Control Room Console for WSCC Operators equipped with four (4) monitors installed on two (2) dual monitor stands.

5. Install one (1) Thin Client Workstation at the WSCC Operations Supervisor I desk

equipped with three (3) monitors installed on a triple monitor stand.

6. Install one (1) Thin Client Workstation in the Control Room Console and connect to wall mounted display screens described below.

B. WALL MOUNTED DISPLAY SCREEN INSTALLATION.

The Contractor shall install the wall-mounted display screens listed in Equipment and Software Table 1 as follows:

1. Remove existing wall display monitors and turn them over to DEP.

2. Wall mount the three (3) new 80” LED video monitors. These monitors shall be connected to a Thin Client Workstation installed in the Control Room Console. The Contractor shall provide and install all wiring and cabling necessary to connect the wall monitors to the Workstation.

3. Demonstrate proper operation of the wall displays controlled from the Thin Client

Workstation with no visible video signal loss.

C. MISCELLANEOUS WSCC INSTALLATION WORK. The Contractor shall:

1. Connect communications services between the installed Workstations and an existing communications switch. This switch is interconnected with the Servers through existing fiber optic cables. Installation shall be as directed by the PM and detailed in the Conceptual Network Layout Diagram in Appendix IX.

2. Demonstrate connectivity and operation of the Workstation computers with the SCADA Server, and connectivity and operation of WAN-connected Client computers and devices with the Historian Server.

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3. Install software drivers and provide connections to network printers located in the

WSCC for printing screens, graphs, reports, alarms, events, and System documentation.

4. Demonstrate connectivity of Workstations in the WSCC to the Servers at the

DRCC for continuity of service during a failover event. O-1.7 ADDITIONAL INSTALLATION WORK REQUIREMENTS

The Contractor shall install Workstations listed in Equipment and Software Table 1 in other areas at the Grahamsville Office Complex.

A. ADDITONAL DESKTOP WORKSTATIONS

The Contractor shall install:

1. One (1) desktop Workstation in the Director of Operations office equipped with one (1) monitor installed with the standard monitor stand.

2. One (1) desktop Workstation in the Chief of Water System Operations office equipped with one (1) monitor installed with the standard monitor stand.

3. One (1) desktop Workstation in the Chief of Wastewater Treatment Operations office

located in the Grahamsville Annex Complex across the road from the WSCC facility equipped with one (1) monitor installed with the standard monitor stand.

4. One (1) desktop Workstation in the office of the OIT Director of Upstate SCADA

equipped with one (1) monitor installed with the standard monitor stand.

B. THIN CLIENT WORKSTATIONS

1. The Contractor shall install one (1) Thin Client Workstation in the Instrumentation Shop equipped with three (3) monitors installed on a triple monitor stand.

C. SOFTWARE INSTALLATION ON DEP EQUIPMENT

The Contractor shall provide and install all necessary software on:

1. DEP computers and Smart Devices (as described in Section O, Grahamsville Water Supply Control Center (WSCC) Requirements) to allow displaying SCADA screens, reports, and operational data from the Historian Server via existing cellular connections, secure WIFI connections, and DEP WAN connections.

2. DEP laptop computers (as described in Section O, Grahamsville Water Supply Control Center (WSCC) Requirements) used by service personnel to allow displaying live SCADA screens, reports, and operational data over existing SCADA network connections to the Remote Locations.

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SECTION P – GRAHAMSVILLE DIVISION OFFICE/SHOP (GDO/S) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.. P-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The GDO/S PLC is located in the same building as the WSCC Servers. The PLC is directly connected to the SCADA System with a serial connection and Ethernet connection. Existing data Tags are polled by the SCADA System via serial Modbus protocol. The GDO/S PLC monitors the local Office and Shop Buildings via directly connected field devices. The GDO/S PLC also provides monitoring and control of Remote Locations. 1. The Remote Locations are:

(a) Neversink Tunnel Outlet (b) Grahamsville Annex Building (c) Grahamsville Police Precinct (d) Grahamsville Wastewater Treatment Plant (e) Rocky Hill Road Pumping Station (f) Route 42 Pumping Station

2. These Remote Locations are monitored by the GDO/S PLC via a wireless radio network

and wireless I/O datalinks. The GDO/S PLC has Tag and data information for all Remote Locations, and acts as a data concentrator host by collecting and exchanging data values and control commands with the Remote Locations.

3. The Contractor shall coordinate all necessary physical on-Site Work with the PM. If, at the Contractor’s expense, the Contractor desires a Site visit, it shall coordinate with the Site Contact and PM.

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section P will be made in accordance with Appendix III, Schedule of Payments, Payment Item 6 upon completion of Work in this Section P and completion of work in Section S, as approved by the PM.

P-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the GDO/S shall include: A. Installation of a communications driver to communicate with the Modicon PLC and scan and

process Tags listed below in Section P-1.3, Tag Summary Listing.

B. Minimal or no disruption of alarms and valve control.

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C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of

any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section P.

E. Via secure remote network connection, the Contractor shall: 1. Confirm that the networking equipment at GDO/S is operational and communicating

successfully with the WSCC.

2. Enable scanning of the I/O Tags.

3. Test for correct data display on Workstation Displays.

4. Perform complete point-to-point testing of all I/O points.

5. Test valve control operation in accordance with Control Strategies defined in these Specifications for proper operation.

6. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the GDO/S PLC.

P-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary.

A. Signals connected to the GDO/S PLC to be processed include:

1. GDO – Intrusion Alarm 2. GDO – Fire Alarm 3. GDO - Alarm System Armed 4. GDO - Low temperature 5. GDS - UPS loss of AC 6. GDS - UPS failure 7. GDS – Intrusion Alarm 8. GDS – Fire Alarm 9. GDS - Shop Alarm System Armed 10. GDS – Stockroom Alarm System Armed 11. GDS - Furnace 1 Malfunction Alarm 12. GDS - Furnace 2 Malfunction Alarm

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13. GDS - Tank Monitor IN TANK Alarm 14. GDS - Tank Monitor LIQUID SENSOR

B. Signals remotely monitored by GDO/S from the Neversink Tunnel Outlet (NTO) to be

processed include: 1. NTO – NYC Bypass Valve Status 2. NTO – NYC Bypass Valve Control Function 3. NTO - Intrusion Alarm 4. NTO – Alarm System Armed 5. NTO – Flood Alarm 6. NTO – Evacuation Alarm 7. GDO – Fire Alarm

C. Signals remotely monitored by GDO/S from the Grahamsville Annex Building to be

processed include: 1. Annex – General AC Power Alarm 2. Annex – Generator Running 3. Annex – Generator Fault 4. Annex – Fire Alarm 5. Annex – Fire Alarm Trouble 6. Annex – PLC Panel Tamper Switch 7. Annex – UV System Fault 8. Annex – Radio Link Failure

D. Signals remotely monitored by GDO/S from the Grahamsville Police Barracks to be

processed are: 1. 5th Precinct – Fire Alarm 2. 5th Precinct – Fire Alarm Trouble 3. 5th Precinct – UV System Fault 4. 5th Precinct – Sump Pump Fault 5. 5th Precinct – Generator Running Status 6. 5th Precinct – Generator Fault Alarm 7. 5th Precinct - High Septic Tank Alarm 8. 5th Precinct – General AC Power Alarm 9. 5th Precinct – PLC Panel Tamper Switch 10. 5th Precinct – Garage Temperature / Humidity Signals 11. 5th Precinct – Barracks Temperature/ Humidity Signals

E. Processing of signals remotely monitored from the Grahamsville Wastewater Treatment

Plant, Rocky Hill Pumping Station, and Route 42 Pumping Station are described in Section UU, Grahamsville Wastewater Treatment Plant Requirements.

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P-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the GDO/S PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION Q – RONDOUT EFFLUENT CHAMBER (REC) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. Q-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Rondout Effluent Chamber (REC) is located on the Rondout Reservoir which straddles the Ulster-Sullivan County border along the southern edge of the Catskill Park. 1. Monitoring and control functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The REC PLC monitors facility systems via directly connected field devices.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section Q will be made in accordance with Appendix III, Schedule of Payments, Payment Item 9 upon completion of Work in this Section Q as approved by the PM.

Q-1.2 IMPLEMENTATION / INSTALLATION SUMMARY

Work at the Rondout Effluent Chamber includes: A. Utilizing the existing DEP network infrastructure to allow the existing DEP Modicon

Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section Q.

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E. Via secure remote network connection, the Contractor shall: 1. Provide all configuration and testing equipment necessary to configure, set up, diagnose,

and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the REC Site.

3. Configure and activate I/O Tags within the SCADA System to receive data from the REC Site.

4. Confirm that the networking equipment at REC is operational and communicating

successfully with the WSCC.

5. Enable scanning of the I/O Tags.

6. Test for correct data display on Workstation displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display and for proper precipitation recording display in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System

from the REC PLC.

Q-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The REC PLC monitors the following facility information:

1. REC – Facility Alarms 2. REC – Facility Operations 3. REC – Valve Position Status 4. REC – Flow Rates 5. REC – Reservoir Level 6. REC – Precipitation Measurement 7. REC – Water Quality Parameters 8. REC – Calculated Variables

Q-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the REC PLC. Sample display Screens are shown in Appendix VII,

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Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION R – WEST DELAWARE TUNNEL OUTLET (WDTO) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. R-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The West Delaware Tunnel Outlet (WDTO) is located on the Rondout Reservoir. This facility transfers water from the Cannonsville Reservoir through a hydroelectric plant and through bypass valves to the Rondout Reservoir. The quantity of water being diverted to the Rondout Reservoir is measured by a Venturi meter that is monitored by an electronic flowmeter. Water quality of the transferred water is monitored at this facility. City bypass valves are monitored, but are not remotely operated at this time. The WDTO also communicates with the East Delaware Tunnel Outlet (EDTO) facility, and acts as a data concentrator for the SCADA System. Information is exchanged between WDTO and EDTO via 900MHz spread spectrum radios. The EDTO transfers water from the Pepacton Reservoir through a hydroelectric plant, and through bypass valves to the Rondout Reservoir. The quantity of water being diverted to the Rondout Reservoir is measured by Venturi meters that are monitored by electronic flowmeters. Water quality of the transferred water is monitored at this facility. City bypass valves are monitored and remotely controlled from WSCC. 1. Monitoring and control functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The WDTO PLC monitors local facility systems via directly connected field devices, and remotely monitors and controls EDTO facility systems via a radio network.

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed at the West Delaware Tunnel Outlet (WDTO), as described in this Ssection R, will be made in accordance with Appendix III, Schedule of Payments, Payment Item 7, upon completion of Work in this Section and completion of Work in Section V and Section W. Payment for Work performed at the East Delaware Tunnel Outlet (EDTO), as described in this Section R, will be made in accordance with Appendix III, Schedule of Payments, Payment Item 8, upon completion of Work in this Ssection and completion of Work in Section T and Section U.

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R-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the West Delaware Tunnel Outlet includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section R.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the WDTO Site.

3. Configure and activate I/O Tags within the SCADA System to receive data from the WDTO Site.

4. Confirm that the networking equipment at WDTO is operational and communicating

successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display and for proper precipitation recording display in accordance with the Control Strategies defined in these Specifications..

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the WDTO PLC.

R-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include

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provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The WDTO PLC directly monitors the following facility information:

1. WDTO – Facility Alarms 2. WDTO – Facility Operations 3. WDTO – Valve Position Status 4. WDTO – Flow Rates 5. WDTO – Water Quality Parameters 6. WDTO – Calculated Variables

B. The WDTO PLC remotely monitors the following facility information from EDTO:

1. EDTO – Facility Alarms 2. EDTO – Facility Operations 3. EDTO – Valve Position Status 4. EDTO – Flow Rates 5. EDTO – Water Quality Parameters 6. EDTO – Remote Valve Control 7. EDTO – Calculated Variables

R-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the WDTO PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION S – NEVERSINK INTAKE CHAMBER (NIC) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. S-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Neversink Intake Chamber (NIC) is located on the Neversink Reservoir. The Neversink Reservoir is located in Sullivan County, approximately 5 miles northeast of the Village of Liberty and more than 75 miles from New York City Water released to the Neversink River is controlled by valves that are monitored and controlled from WSCC. Reservoir elevation is gauged at the NIC which is used to track Reservoir Storage and Spill Rate. The NIC also communicates with a USGS Gauging Station downstream of the reservoir to

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monitor river stage. Information is exchanged between NIC and USGS Station 01436000 via 900MHz spread spectrum radios. The USGS flowrate is computed by the NIC PLC. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The NIC PLC monitors facility systems via directly connected Field Devices, and remotely monitors the USGS Gauging Station via a radio network.

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section S will be made in accordance with Appendix III, Schedule of Payments, Payment Item 6 upon completion of Work in this Section S and completion of Work in Section P, as approved by the PM.

S-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Neversink Intake Chamber includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section S.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the NIC Site.

3. Configure and activate I/O Tags within the SCADA System to receive data from the NIC Site.

4. Confirm that the networking equipment at NIC is operational and communicating successfully with the WSCC.

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5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display, remote valve control and precipitation recording display in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the NIC PLC.

S-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The NIC PLC monitors the following facility information:

1. NIC – Facility Alarms 2. NIC – Facility Operations 3. NIC – Valve Position Status 4. NIC – Flow Rates 5. NIC – Reservoir Level 6. NIC – Precipitation Measurement 7. NIC – Remote Valve Control 8. NIC – Calculated Variables

B. The NIC PLC remotely monitors the following facility information from USGS Station

01436000: 1. USGS – Facility Alarms 2. USGS – Facility Operations 3. USGS – River Stage 4. USGS – Calculated Variables

S-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the NIC PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION T – EAST DELAWARE INTAKE CHAMBER (EDIC) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual

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power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. T-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The East Delaware Intake Chamber (EDIC) is located on the Pepacton Reservoir. Reservoir elevation is gauged at the EDIC which is used to track Reservoir Storage and Spill Rate. Water diverted to the Rondout Reservoir through the East Delaware Tunnel is controlled by Broome Gates that can be closed to facilitate draining the tunnel. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The EDIC PLC monitors facility systems via directly connected Field Devices.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section T will be made in accordance with Appendix III, Schedule of Payments, Payment Item 8 upon completion of Work in this Section T and completion of Work in Section R and Section U, as approved by the PM.

T-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the East Delaware Intake Chamber includes:

A. Utilize the existing DEP network infrastructure to allow the DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section T.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the EDIC Site.

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3. Configure and activate I/O Tags within the SCADA System to receive data from the

EDIC Site.

4. Confirm that the networking equipment at EDIC is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper display of reservoir level, storage value, and spill rate in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the EDIC PLC.

T-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The EDIC PLC monitors the following facility information:

1. EDIC – Facility Alarms 2. EDIC – Facility Operations 3. EDIC – Reservoir Level 4. EDIC – Calculated Variables

T-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the EDIC PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION U – EAST DELAWARE RELEASE CHAMBER (EDRC) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

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U-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The East Delaware Release Chamber (EDRC) is located on the Pepacton Reservoir. The Pepacton Reservoir is located in Delaware County along the southern edge of the State's “forever wild” Catskill Park, 12 miles south of the Village of Delhi, and more than 100 miles northwest of New York City. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The EDRC PLC monitors facility systems via directly connected Field Devices.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section U will be made in accordance with Appendix III, Schedule of Payments, Payment Item 8 upon completion of Work in this Section U and completion of Work in Section R and Section T, as approved by the PM.

U-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the East Delaware Release Chamber includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section U.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the EDRC Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the EDRC Site.

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4. Confirm that the networking equipment at EDRC is operational and communicating

successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display, precipitation record display, and remote valve control in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the EDRC PLC.

U-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The EDRC PLC monitors the following facility information:

1. EDRC – Facility Alarms 2. EDRC – Facility Operations 3. EDRC – Valve Position Status 4. EDRC – Flow Rates 5. EDRC – Precipitation Measurement 6. EDRC – Remote Valve Control 7. EDRC – Calculated Variables

B. The EDRC PLC remotely monitors the following facility information from USGS Station

01417000: 1. USGS – Facility Alarms 2. USGS – Facility Operations 3. USGS – River Stage 4. USGS – Calculated Variables

C. The EDRC PLC remotely monitors the following facility information from the Pepacton

Office/Shop and Downsville Annex: 1. PDO – Facility Alarms 2. PDS – Facility Alarms 3. Annex – Facility Alarms

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4. PDS – Facility Operations 5. Annex – Facility Operations 6. PDO/S – Calculated Variables

U-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the EDRC PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION V – WEST DELAWARE INTAKE CHAMBER (WDIC) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. V-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The West Delaware Intake Chamber (WDIC) is located on the Cannonsville Reservoir. Reservoir Elevation is gauged at the WDIC which is used to track Reservoir Storage and Spill Rate. Water diverted to the Rondout Reservoir through the West Delaware Tunnel is controlled by Broome Gates that can be closed to facilitate draining the tunnel. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The WDIC PLC monitors facility systems via directly connected Field Devices.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section V will be made in accordance with Appendix III, Schedule of Payments, Payment Item 7 upon completion of Work in this Section V and completion of Work in Section R and Section W, as approved by the PM.

V-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the West Delaware Intake Chamber includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy

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functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section V.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the WDIC Site.

3. Configure and activate I/O Tags within the SCADA System to receive data from the WDIC Site.

4. Confirm that the networking equipment at WDIC is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper display of reservoir level, storage value, and spill rate in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the WDIC PLC.

V-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The WDIC PLC monitors the following facility information:

1. WDIC – Facility Alarms 2. WDIC – Facility Operations 3. WDIC – Reservoir Level 4. WDIC – Calculated Variables

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V-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the WDIC PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION W – WEST DELAWARE RELEASE CHAMBER (WDRC) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

W-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The West Delaware Release Chamber (WDRC) is located on the Cannonsville Reservoir. The Cannonsville Reservoir is located at the western edge of Delaware County, southwest of the Village of Walton and about 120 miles northwest of New York City. The WDRC also communicates with a USGS Gauging Station downstream of the reservoir to monitor stage. Information is exchanged between WDRC and USGS Station 01425000 via 900MHz spread spectrum radios. The USGS flowrate is computed by the WDRC PLC. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The WDRC PLC monitors facility systems via directly connected Field Devices, and remotely monitors the USGS Gauging Station via a radio network.

A. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section W will be made in accordance with Appendix III, Schedule of Payments, Payment Item 7 upon completion of Work in this Section W and completion of Work in Section R and Section V, as approved by the PM.

W-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the West Delaware Release Chamber includes:

A. Utilize the existing network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy

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functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section W.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the WDRC Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the WDRC Site.

4. Confirm that the networking equipment at WDRC is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display, precipitation recording display, and remote valve control in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System

from the WDRC PLC. W-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The WDRC PLC monitors the following facility information:

1. WDRC – Facility Alarms 2. WDRC – Facility Operations 3. WDRC – Valve Position Status 4. WDRC – Flow Rates 5. WDRC – Precipitation Measurement 6. WDRC – Remote Valve Control

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7. WDRC – Calculated Variables

B. The WDRC PLC remotely monitors the following facility information from USGS Station 01425000:

1. USGS – Facility Alarms 2. USGS – Facility Operations 3. USGS – River Stage 4. USGS – Calculated Variables

W-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the WDRC PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION X– ASHOKAN LOWER GATE CHAMBER (ALGC) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

X-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Ashokan Lower Gate Chamber (ALGC) is located on the Ashokan Reservoir. The Ashokan Reservoir is located in Ulster County, about 13 miles west of Kingston and 73 miles north of New York City. The ALGC consists of two basins separated by a concrete dividing weir and roadway, it holds 122.9 billion gallons at full capacity. The ALGC contains valves that can selectively divert water to the Catskill Aqueduct through a hydroelectric plant or bypass valves. Valves also control water that is released down the Lower Esopus Creek. Water quality of the released water is monitored at ALGC. Valves in the ALGC are monitored and controlled from the WSCC in Grahamsville.

The ALGC also communicates with the following:

Ashokan Upper Gate Chamber (AUGC): Reservoir Elevation is gauged at the AUGC which is used to track Reservoir Storage and Spill rate. The AUGC also has valves and stop logs to selectively draw water from different levels in each basin. These valves and stop logs are currently not monitored; however, database variables are setup so that the positions can be manually entered and tracked by the SCADA System.

Ashokan Screen Chamber (ASC): Water Quality of diverted water to the Catskill Aqueduct is monitored from ASC. The ASC contains flow measurement equipment to measure diverted water to the Catskill Aqueduct. It also has equipment to monitor river

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stage in the Release Water Channel and compute flowrate released to the Lower Esopus Creek.

Ashokan Ben Nesin Lab (BNL), Ashokan Shop Building (ASB), and Ashokan City Houses (ACH): The ALGC monitors the facilities’ alarms and operations.

Ashokan Dividing Weir Chamber (ADWC): The ADWC contains gates to move water from the West Basin to the East Basin. Gate positions are monitored and controlled from the WSCC in Grahamsville. Gate position information along with Reservoir Levels are used to compute the transferred flowrate from basin to basin.

1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The ALGC PLC monitors facility systems via directly connected Field Devices, and remotely monitors the AUGC, ASC, BNL, ASB, and ACH via a radio network and the ADWC via a fiber optic link.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section X will be made in accordance with Appendix III, Schedule of Payments, Payment Item 23 upon completion of Work in this Section X, as approved by the PM.

X-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Ashokan Lower Gate Chamber includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section X.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

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2. Configure device drivers and communications at WSCC for communication with the ALGC Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the ALGC Site.

4. Confirm that the networking equipment at ALGC is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display, precipitation recording display, and remote valve control in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the ALGC PLC.

X-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The ALGC PLC monitors the following facility information:

1. ALGC – Facility Alarms 2. ALGC – Facility Operations 3. ALGC – Valve Position Status 4. ALGC – Flow Rates 5. ALGC – Precipitation Measurement 6. ALGC – Remote Valve Control 7. ALGC – Water Quality Parameters 8. ALGC – Calculated Variables

B. The ALGC PLC remotely monitors the following facility information from the Ashokan

Upper Gate Chamber:

1. AUGC – Facility Alarms 2. AUGC – Facility Operations 3. AUGC – Valve Position Status 4. AUGC – Reservoir Basin Levels 5. AUGC – Calculated Variables

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C. The ALGC PLC remotely monitors the following facility information from the Ashokan

Screen Chamber: 1. ASC – Facility Alarms 2. ASC – Facility Operations 3. ASC – Flow Rates 4. ASC – Water Quality Parameters 5. ASC – Calculated Variables

D. The ALGC PLC remotely monitors the following facility information from the Ashokan Ben

Nesin Lab Building: 1. BNL – Facility Alarms 2. BNL – Facility Operations 3. BNL – Calculated Variables

E. The ALGC PLC remotely monitors the following facility information from the Ashokan

Shop Building: 1. ASB – Facility Alarms 2. ASB – Facility Operations 3. ASB – Calculated Variables

F. The ALGC PLC remotely monitors the following facility information from the Ashokan City

Houses: 1. ACH – Facility Alarms 2. ACH – Facility Operations 3. ACH – Calculated Variables

G. The ALGC remotely monitors the following facility information from the Ashokan Dividing

Weir Chamber: 1. ADWC – Facility Alarms 2. ADWC – Facility Operations 3. ADWC – Gate Position Status 4. ADWC – Flow Rates 5. ADWC – Remote Gate Control 6. ADWC – Calculated Variables

X-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the ALGC PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

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SECTION Y – SHANDAKEN TUNNEL PORTAL (STP) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. Y-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Shandaken Tunnel Portal (STP) is located at the Esopus Creek in Shandaken, NY. This facility transfers water from the Schoharie Reservoir through the Shandaken Tunnel, diverting water into the Esopus Creek where it will then travel to the West Basin of the Ashokan Reservoir. The quantity of water being diverted is measured by a USGS Rated Weir at the STP. Water Quality of the transferred water is monitored at this facility. The STP also monitors water quality of the Esopus Creek upstream of the STP discharge area by means of a sample pump that has its intake located upstream. This pump provides a water sample representing water quality of the Esopus Creek prior to mixing with the waters discharged from the STP The STP also monitors the Esopus Creek flowrate from a USGS Gaging Station approximately 1 mile upstream that reports river stage level that is converted into a flowrate based upon the current USGS Ratings Table for the Site. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The STP PLC monitors local facility systems via directly connected Field Devices, and remotely monitors the upstream USGS Gauging Station via dial-up communications equipment.

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section Y will be made in accordance with Appendix III, Schedule of Payments, Payment Item 10 upon completion of Work in this Section Y and completion of Work in Section Z, Section AA, and Section BB, as approved by the PM.

Y-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Shandaken Tunnel Portal includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

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C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of

any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section Y.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the STP Site.

3. Configure and activate I/O Tags within the SCADA System to receive data from the STP Site.

4. Confirm that the networking equipment at STP is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for accuracy of retransmitted value of the Portal Flow Value to the Shandaken Tunnel Intake Chamber (location detailed in Section AA) using the upgraded SCADA System in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System

from the STP PLC. Y-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The STP PLC directly monitors the following facility information:

1. STP – Facility Alarms 2. STP – Facility Operations

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3. STP – Portal Discharge Stage 4. STP – Discharge Flow Rate 5. STP – Discharge Water Quality Parameters 6. STP – Esopus Creek Upstream Water Quality Parameters 7. STP – Calculated Variables

B. The STP PLC remotely monitors the following facility information from USGS Station

01362200 at Fox Hollow Road:

1. FOX HOLLOW – Facility Alarms 2. FOX HOLLOW – Facility Operations 3. FOX HOLLOW – Esopus Creek Stage 4. FOX HOLLOW – Calculated Variables

Y-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the STP PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION Z – PRATTSVILLE USGS STATION (PRATS) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with PM.

Z-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Prattsville USGS Station (PRATS) is located on the West Bank of the Schoharie Creek by the Main Street Bridge in Prattsville. This facility monitors water inflow into the Schoharie Reservoir from the Schoharie Creek. The Prattsville USGS Station monitors for river stage level that is converted into a flowrate based upon the current USGS Ratings Table for the Site. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The PRATS PLC monitors local facility systems via directly connected Field Devices, and monitors river stage as measured by USGS Gauging Station 01350000.

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section Z will be made in accordance with Appendix III, Schedule of Payments, Payment Item 10 upon completion of Work in this Section Y and completion of Work in Section Y, Section AA, and Section BB, as approved by the PM.

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Z-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Prattsville USGS Station includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section Z.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the PRATS Site.

3. Configure and activate I/O Tags within the SCADA System to receive data from the PRATS Site.

4. Confirm that the networking equipment at PRATS is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the PRATS PLC.

Z-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary.

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A. The PRATS PLC directly monitors the following facility information:

1. PRATS – Facility Alarms 2. PRATS – Facility Operations 3. PRATS – Schoharie Creek Stage 4. PRATS – Schoharie Creek Flow Rate (Schoharie Reservoir Inflow) 5. PRATS – Calculated Variables

Z-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the PRATS PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION AA – SHANDAKEN TUNNEL INTAKE CHAMBER (STIC) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. AA-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Shandaken Tunnel Intake Chamber (STIC) is located on the Schoharie Reservoir. The Schoharie Reservoir is located at the intersection of Schoharie, Delaware, and Greene Counties, about 36 miles southwest of Albany and roughly 110 miles from New York City. Water leaving the Schoharie Reservoir flows through the STIC, where flow is controlled by operating eight (8) gates to deliver the desired flow to the Shandaken Tunnel. Reservoir Elevation is gauged at the STIC which is used to track Reservoir Storage and Spillrate. Water Quality is also monitored at this facility to track water quality leaving the Schoharie Reservoir. The STIC also communicates with a Storage Pole Barn to monitor petroleum storage tanks and measure rainfall. Information is exchanged between STIC and the Pole Barn via 900MHz radios. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The STIC PLC monitors local facility systems via directly connected Field Devices, and remotely monitors the Pole Barn via a radio network.

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B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section AA will be made in accordance with Appendix III, Schedule of Payments, Payment Item 10 upon completion of Work in this Section AA and completion of Work in Section Y, Section Z, and Section BB, as approved by the PM.

AA-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Shandaken Tunnel Intake Chamber includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section AA.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the STIC Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the STIC Site.

4. Confirm that the networking equipment at STIC is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for correct data display on Workstation Displays including communications status.

9. Perform complete point-to-point testing of all I/O points.

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10. Test for proper gate status display, precipitation recording display, and remote gate

control in accordance with the Control Strategies defined in these Specifications.

11. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the STIC PLC.

AA-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The STIC PLC directly monitors the following facility information:

1. STIC – Facility Alarms 2. STIC – Facility Operations 3. STIC – Gate Position Status 4. STIC – Reservoir Level 5. STIC – Precipitation Measurement 6. STIC – Remote Gate Control 7. STIC – Water Quality Parameters 8. STIC – Calculated Variables

AA-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the STIC PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION BB – GILBOA DAM MONITORING SITE (GILBOA) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

BB-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Gilboa Dam Monitoring Site (GILBOA) is located in the East Electrical Room at the Gilboa Dam and provides monitoring and control of modern Dam Construction elements undertaken by the City of New York in the reconstruction of the Gilboa Dam. The new reconstructed Dam includes an extensive Dam Safety Instrumentation System that is monitored independently from the SCADA System. Reconstruction also provided the installation of an Inflatable Crest Gate System that can be raised and lowered to alleviate overtopping and prevent flooding downstream. The monitoring Site also provides extensive

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CCTV monitoring for Operations and Security efforts. In a future Construction phase, the Gilboa Dam will have a Low Level Release Chamber added including a Shaft Site that will house Stop Gates to isolate the Release Works for maintenance. GILBOA also communicates with the following:

Gilboa USGS Gauging Station: This is downstream of the Reservoir Spillway and monitors river stage of the Schoharie Creek which is downstream of the Schoharie Reservoir. Information is exchanged between GILBOA and USGS Station 01350101 via 900 MHz spread spectrum radios. The USGS flowrate is computed by the GILBOA PLC based upon the current USGS Ratings Table for the Site.

Gilboa Crest Gate Control System (GCG): This is located in the West Upper Gate Chamber. The GCG Control System monitors a compressed air supply system and controls the raising and lowering of the inflatable Crest Gates. Positioning of the Crest Gates is controlled automatically for sensed flood conditions and remotely operated from the WSCC in Grahamsville. Gilboa Release Shaft Site and Gilboa Low Level Release Chamber: These facilities are currently being constructed, and will monitor and control releases made from the Schoharie Reservoir to the Schoharie Creek. The valves in the Low Level Release Chamber will be remotely operated by the WSCC in Grahamsville.

Gilboa Dam Safety Instrumentation System: This monitors facility operating parameters, such as communications, power, and equipment tamper alarms. Instrumentation engineering parameters are monitored by a separate monitoring system, and are not monitored by the online SCADA System.

1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The GILBOA PLC monitors facility systems via directly connected Field Devices. It remotely monitors Gilboa USGS Gauging Station 01350101 via a radio network as well as remotely monitoring and controlling the Crest Gate Control System via a fiber optic network. The GILBOA PLC will monitor and control the Release Shaft Site and Low Level Release Chamber via the fiber optic network. The GILBOA PLC monitors the Dam Safety Instrumentation System via a serial Modbus link.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section BB will be made in accordance with Appendix III, Schedule of Payments, Payment Item 10 upon completion of Work in this Section BB and completion of Work in Section Y, Section Z, and Section AA, as approved by the PM.

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BB-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Gilboa Dam Monitoring Site includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section BB.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the GILBOA Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the GILBOA Site.

4. Confirm that the networking equipment at GILBOA is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for correct data display on Workstation Displays including communications status.

9. Test for proper crest gate status display, remote crest gate control, precipitation recording display, remote on/off lighting control, and valve status display in accordance with the Control Strategies defined in these Specifications.

10. Upon approval of the PM, remotely disable and disconnect the existing SCADA System

from the GILBOA PLC.

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BB-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The GILBOA PLC monitors the following facility information:

1. GILBOA – Facility Alarms 2. GILBOA – Facility Operations 3. GILBOA – Remote Lighting Controls 4. GILBOA – Calculated Variables

B. The GILBOA PLC remotely monitors the following facility information from Gilboa USGS

Station 01350101 (GIL_USGS): 1. GIL_USGS – Facility Alarms 2. GIL_USGS – Facility Operations 3. GIL_USGS – River Stage 4. GIL_USGS – Calculated Variables

C. The GILBOA PLC remotely monitors the following facility information from the Gilboa

Crest Gate Control System (GCG):

1. GCG – Facility Alarms 2. GCG – Facility Operations 3. GCG – Gate Position Status 4. GCG – Reservoir Level 5. GCG – Remote Gate Control 6. GCG – Remote Lighting Controls 7. GCG – Calculated Variables

D. The GILBOA PLC will remotely monitor the following facility information from the Gilboa

Release Shaft Site (GIL_SHAFT): 1. GIL_SHAFT – Facility Alarms 2. GIL_SHAFT – Facility Operations 3. GIL_SHAFT – Gate Position Status 4. GIL_SHAFT – Remote Gate Control 5. GIL_SHAFT – Calculated Variables

E. The GILBOA PLC will remotely monitor the following facility information from the Gilboa Low Level Release Chamber (GIL_LLREL): 1. GIL_LLREL – Facility Alarms 2. GIL_LLREL – Facility Operations

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3. GIL_LLREL – Valve Position Status 4. GIL_LLREL – Flow Rates 5. GIL_LLREL – Remote Valve Control 6. GIL_LLREL – Calculated Variables

F. The GILBOA PLC remotely monitors the following facility information from the Dam Safety Instrumentation System (DSIS):

1. DSIS – Facility Alarms 2. DSIS – Facility Operations 3. DSIS – Precipitation Measurement 4. DSIS – Calculated Variables

BB-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the GILBOA PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION CC - LOMONTVILLE USGS STATION (LOMONT) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

CC-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Lomontville USGS Gauging Station 01363556 (LOMONT) is located at the intersection of Tongore Road and Hurly Mountain Road (County Route 5) on the Esopus Creek. This gauging station is operated by the USGS, and monitors river stage, flow, and turbidity. 1. Monitoring and control functions are currently not remotely monitored back to the

WSCC in Grahamsville.

2. The LOMONT PLC will monitor local facility systems via directly connected Field Devices and USGS information polled from the USGS data logger.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section CC will be made in accordance with Appendix III, Schedule of Payments, Payment Item 24 upon completion of Work in this Section CC, as approved by the PM.

CC-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the LOMONT Dam Monitoring Site includes:

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A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section CC.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the LOMONT Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the LOMONT Site.

4. Confirm that the networking equipment at LOMONT is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the LOMONT PLC.

CC-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The LOMONT PLC directly monitors the following facility information:

1. LOMONT – Facility Alarms

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2. LOMONT – Facility Operations 3. LOMONT – River Stage 4. LOMONT – Water Quality Parameters (Turbidity Only) 5. LOMONT – Calculated Variables

CC-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the LOMONT PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION DD – HUDSON RIVER PUMPING STATION (HRPS) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. DD-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Hudson River Pumping Station (HRPS) is located adjacent to the Delaware Aqueduct Shaft 6 facility on the eastern shore of the Hudson River. This facility withdraws water from the Hudson River and pumps it into the Delaware Aqueduct through shaft 6 in extreme drought conditions. This facility also serves as a discharge point for de-watering operations of the Delaware Aqueduct where water is pumped out of the Delaware Tunnel via pumps in Shaft 6. The quantity of water being pumped from the Hudson River is measured by a Venturi meter, and is also checked using an ultrasonic bidirectional flowmeter that measures delivered and received flows. Water quality monitoring equipment is used to monitor the water withdrawn from the Hudson River. Facility power and pumps are monitored, but are not remotely controlled. The HRPS also communicates with the Delaware Shaft 6 facility (DEL_S6), and acts as a data concentrator for the SCADA System. Information is exchanged between HRPS and DEL_S6 via 900MHz spread spectrum radios. Shaft 6 tunnel pressure and facility equipment are monitored. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The HRPS PLC monitors local facility systems via directly connected Field Devices, and remotely monitors the Delaware Shaft 6 facility systems via a radio network.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section DD will be made in accordance with Appendix III, Schedule of Payments, Payment Item 25 upon completion of Work in this

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Section DD, as approved by the PM.

DD-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Hudson River Pumping Station Site includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section DD.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the HRPS Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the HRPS Site.

4. Confirm that the networking equipment at HRPS is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the HRPS PLC

DD-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included

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in Appendix VI, Tag Summary. A. The HRPS PLC directly monitors the following facility information:

1. HRPS – Facility Alarms 2. HRPS – Facility Operations 3. HRPS – Flow Rates 4. HRPS – Water Quality Parameters 5. HRPS – Calculated Variables

B. The HRPS PLC remotely monitors the following facility information from DEL_S6:

1. DEL_S6 – Facility Alarms 2. DEL_S6 – Facility Operations 3. DEL_S6 – Flow Rates 4. DEL_S6 – Calculated Variables

DD-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the HRPS PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION EE – DELAWARE AQUEDUCT – HGL SHAFT 1 (HGL-S1) Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. EE-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION Delaware Aqueduct HGL Shaft 1 (HGL-S1) is located on the Rondout-West Branch Tunnel on Route 55 downstream of the Rondout Reservoir and is monitored by the WSCC. Data collected from this Site and five others help to determine the condition of the Rondout West Branch Tunnel, and will be used to monitor the tunnel during de-watering operations. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The HGL-S1 PLC monitors local facility systems via directly connected Field Devices.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section EE will be made in accordance with Appendix III, Schedule of Payments, Payment Item 11 upon completion of Work in this

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Section EE and completion of Work in Section FF, Section GG, Section HH, Section II, and Section JJ, as approved by the PM.

EE-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at (HGL-S1) shall include:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section EE.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the HGL-S1 Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the HGL-S1 Site.

4. Confirm that the networking equipment at HGL-S1 is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the HGL-S1 Site.

EE-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include

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provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The HGL-S1 PLC directly monitors the following facility information:

1. HGL-S1 – Facility Alarms 2. HGL-S1 – Facility Operations 3. HGL-S1 – Shaft Water Level 4. HGL-S1 – Calculated Variables

EE-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the HGL-S1 PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION FF – DELAWARE AQUEDUCT – HGL SHAFT 2A (HGL-S2A) Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. FF-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION Delaware Aqueduct HGL Shaft 2A (HGL-S2A) is located on the Rondout-West Branch Tunnel in Kerhonskon Downstream of the Rondout Reservoir and is monitored by the WSCC. Data collected from this Site and five others help to determine the condition of the Rondout West Branch Tunnel, and will be used to monitor the tunnel during de-watering operations. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The HGL-S2A PLC monitors local facility systems via directly connected Field Devices.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section FF will be made in accordance with Appendix III, Schedule of Payments, Payment Item 11 upon completion of Work in this Section FF and completion of Work in Section EE, Section GG, Section HH, Section II, and Section JJ, as approved by the PM.

FF-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Delaware Aqueduct HGL Shaft 2A site includes:

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A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section FF.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the HGL-S2A Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the HGL-S2A Site.

4. Confirm that the networking equipment at HGL-S2A is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the HGL-S2A Site.

FF-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The HGL-S2A PLC directly monitors the following facility information:

1. HGL-S2A – Facility Alarms

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2. HGL-S2A – Facility Operations 3. HGL-S2A – Shaft Water Level 4. HGL-S2A – Calculated Variables

FF-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the HDL-S2A PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION GG – DELAWARE AQUEDUCT – HGL SHAFT 4 (HGL-S4) Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. GG-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION Delaware Aqueduct HGL Shaft 4 (HGL-S4) is located on the Rondout-West Branch Tunnel in Gardiner Downstream of the Rondout Reservoir. HGL-S4 monitors tunnel HGL levels. A pressure transducer on the riser shaft cap monitors the pressure (level) of water in the shaft under various flow conditions. HGL-S4 is monitored by the WSCC. Data collected from this Site and five others help to determine the condition of the Rondout West Branch Tunnel, and will be used to monitor the tunnel during de-watering operations.

1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The HGL-S4 PLC monitors local facility systems via directly connected Field Devices.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section GG will be made in accordance with Appendix III, Schedule of Payments, Payment Item 11 upon completion of Work in this Section GG and completion of Work in Section EE, Section FF, Section HH, Section II, and Section JJ, as approved by the PM.

GG-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Delaware Aqueduct HGL Shaft 4 site includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

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C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP

personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section GG.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the HGL-S4 Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the HGL-S4 Site.

4. Confirm that the networking equipment at HGL-S4 is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display, precipitation recording display, and remote valve control in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System

from the HGL-S4 Site. GG-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The HGL-S4 PLC directly monitors the following facility information:

1. HGL-S4 – Facility Alarms 2. HGL-S4 – Facility Operations 3. HGL-S4 – Shaft Water Pressure

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4. HGL-S4 – Valve Position Status 5. HGL-S4 – Gate Position Status 6. HGL-S4 – River Stage 7. HGL-S4 – Flow Rates 8. HGL-S4 – Reservoir (Lake) Level 9. HGL-S4 – Precipitation Measurement 10. HGL-S4 – Remote Valve Control 11. HGL-S4 – Remote Gate Control 12. HGL-S4 – Water Quality Parameters 13. HGL-S4 – Calculated Variables

GG-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the HGL-S4 PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION HH – DELAWARE AQUEDUCT – HGL SHAFT 5A (HGL-S5A) Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

HH-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Delaware Aqueduct HGL Shaft 5A Site (HGL-S5A) is located on the Rondout-West Branch Tunnel in Marlboro Downstream of the Rondout Reservoir. A pressure transducer on the Riser Shaft Cap monitors the pressure (level) of water in the shaft under various flow conditions. HGL-S5A is monitored by the WSCC. Data collected from this shaft site and five others helps to determine the condition of the Rondout West Branch Tunnel, and will be used to monitor the tunnel during de-watering operations. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The HGL-S5A PLC monitors local facility systems via directly connected Field Devices.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section HH will be made in accordance with Appendix III, Schedule of Payments, Payment Item 11 upon completion of Work in this Section HH and completion of Work in Section EE, Section FF, Section GG, Section II, and Section JJ, as approved by the PM.

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HH-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Delaware Aqueduct HGL Shaft 5A site includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section HH.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the HGL-S5A Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the HGL-S5A Site.

4. Confirm that the networking equipment at HGL-S5A is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the HGL-S5A PLC.

HH-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary.

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A. The HGL-S5A PLC directly monitors the following facility information:

1. HGL-S5A – Facility Alarms 2. HGL-S5A – Facility Operations 3. HGL-S5A – Shaft Water Pressure (Level) 4. HGL-S5A – Calculated Variables

HH-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the HGL-S5A PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION II – DELAWARE AQUEDUCT – HGL SHAFT 6 (HGL-S6) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. II-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Delaware Aqueduct HGL Shaft 6 Site (HGL-S6) is located on the Rondout-West Branch Tunnel in Chelsea near the Hudson River Pumping Station. SCADA Monitoring Equipment is present at this location for monitoring Tunnel HGL levels. A pressure transducer monitors the pressure (level) of water in the shaft under various flow conditions. HGL-S6 is monitored by the WSCC. Data collected from this shaft site and five others helps to determine the condition of the Rondout West Branch Tunnel, and will be used to monitor the tunnel during de-watering operations. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The HGL-S6 PLC monitors local facility systems via directly connected Field Devices.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section II will be made in accordance with Appendix III, Schedule of Payments, Payment Item 11 upon completion of Work in this Section II and completion of Work in Section EE, Section FF, Section GG, Section HH, and Section JJ, as approved by the PM.

II-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Delaware Aqueduct HGL Shaft 6 site includes:

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A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section II.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the HGL-S6 Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the HGL-S6 Site.

4. Confirm that the networking equipment at HGL-S6 is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the HGL-S6 PLC.

II-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. B. The HGL-S6 PLC directly monitors the following facility information:

1. HGL-S6 – Facility Alarms

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2. HGL-S6 – Facility Operations 3. HGL-S6 – Shaft Water Pressure (Level) 4. HGL-S6 – Calculated Variables

II-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured Display Screens depicting the monitored tags for each of the facilities monitored by the HGL-S6 PLC. Sample Display Screens are shown in Appendix VII, Sample HMI Screens. Actual Display Screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site Start-up.

SECTION JJ – DELAWARE AQUEDUCT – HGL SHAFT 8 (HGL-S8) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. JJ-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION Delaware Aqueduct HGL Shaft 8 (HGL-S8) is located on the Rondout-West Branch Tunnel in Putnam Valley upstream of Shaft 9 and the West Branch Reservoir. The Site monitors tunnel HGL levels. Two depth probes monitor the level of water in the shaft under various flow conditions. HGL-S8 is monitored by the WSCC. Data collected from this Site and five others help to determine the condition of the Rondout West Branch Tunnel, and will be used to monitor the tunnel during de-watering operations. 1. Monitoring and Control Functions are performed by a Modicon Quantum PLC which is

currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville.

2. The HGL-S8 PLC monitors local facility systems via directly connected Field Devices.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section JJ will be made in accordance with Appendix III, Schedule of Payments, Payment Item 11 upon completion of Work in this Section JJ and completion of Work in Section EE, Section FF, Section GG, Section HH, and Section II, as approved by the PM.

JJ-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Delaware Aqueduct HGL Shaft 8 site includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

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B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section JJ.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the HGL-S8 Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the HGL-S8 Site.

4. Confirm that the networking equipment at HGL-S8 is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status.

7. Perform complete point-to-point testing of all I/O points.

8. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the HGL-S8 PLC.

JJ-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The HGL-S8 PLC directly monitors the following facility information:

1. HGL-S8 – Facility Alarms. 2. HGL-S8 – Facility Operations. 3. HGL-S8 – Shaft Water Level. 4. HGL-S8 – Calculated Variables

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JJ-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the HGL-S8 PLC. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION KK – CARMEL WATER TOWER SITE (CARMEL) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

KK-1.1 GENERAL A. FACILITY/SITE LOCATION INFORMATION Carmel Water Tower Site (CARMEL) is a data concentrator for the Eastern Operations standalone SCADA system. This Site polls and collects data via a private licensed radio network from Remote Locations located in Putnam County. CARMEL contains a Motorola ACE 3600 RTU that has Tags defined for reading and writing to associated Tags at the Remote Locations. CARMEL has a metro-E network connection that is provisioned to provide network connectivity to the WSCC in Grahamsville. The Contractor shall provide the necessary configurations to allow the SCADA System to read Tag values from the Remote Locations monitored by CARMEL and to issue control commands to operate valves and gates at the Remote Locations monitored by CARMEL. The CARMEL RTU monitors the Carmel Radio Tower facility systems via directly connected field devices, and remotely monitors via a licensed radio network using the Motorola MDLC protocol the following locations:

1. Kirk Lake 7. Diverting Reservoir 2. Lake Gilead 8. East Branch Reservoir 3. Lake Glenida 9. Middle Branch Reservoir 4. Bog Brook Reservoir 10. West Branch Reservoir 5. Boyds Corner Reservoir 11. Shaft 9 – West Branch Tunnel 6. Croton Falls Reservoir 12. Shaft 10 – West Branch Tunnel

13. Shaft 11 – West Branch Tunnel

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section KK will be made in accordance with Appendix III, Schedule of Payments, Payment Item 12 upon completion of Work in this Section KK, as approved by the PM.

KK-1.2 IMPLEMENTATION / INSTALLATION SUMMARY

Work at CARMEL shall be limited to the Carmel Radio Tower Site to ensure that the variables configured in the ACE-3600 RTU can be scanned by the SCADA System at the WSCC and that

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control functions can be transmitted from the WSCC to the Carmel Radio Tower to be processed and retransmitted out to the Remote Locations. A. Utilize the existing DEP network infrastructure to allow the existing DEP Motorola ACE

3600 RTU to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the upgraded System shall be on-Site before starting Work under this Section KK.

E. Via secure remote network connection, the Contractor shall:

1. Confirm operational readiness of the existing metro-E networking service and

equipment. Any additional provisioning required to poll data from the Carmel Water Tower RTU shall be arranged through the PM prior to commencement of any work in the CARMEL remote facility.

2. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

3. Configure device drivers and communications at WSCC for communication with the CARMEL Site.

4. Configure and activate I/O tags within the SCADA System to receive data from the CARMEL Site.

5. Confirm that the networking equipment at CARMEL is operational and communicating successfully with the WSCC.

6. Enable scanning of the I/O tags.

7. Test for correct data display on Workstation Displays including communications status.

8. Perform complete point-to-point testing of all I/O points from the Carmel Radio Tower RTU site.

9. Test for proper display of all facility alarms and operational status points, including loss

of communications with CARMEL and loss of communications with each of the remotely monitored sites.

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10. Test for proper valve status displays, gate position status displays, flowrates and

calculated totals displays, reservoir levels and associated storage and spill values displays, precipitation recording displays, remote valve control, remote gate control, water quality parameters monitored from the Remote Locations displays, and display of any required calculated variables from the Remote Locations in accordance with the Control Strategies defined in these Specifications.

11. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the CARMEL Radio Tower.

KK-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The Carmel Radio Tower Site RTU monitors the following local facility information:

1. CARMEL – Facility Alarms 2. CARMEL – Facility Operations 3. CARMEL – Calculated Variables

B. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from Kirk Lake: 1. KIRK LAKE – Facility Alarms 2. KIRK LAKE – Facility Operations 3. KIRK LAKE – Valve Position Status 4. KIRK LAKE – Gate Position Status 5. KIRK LAKE – River Stage 6. KIRK LAKE – Flow Rates 7. KIRK LAKE – Reservoir (Lake) Level 8. KIRK LAKE – Precipitation Measurement 9. KIRK LAKE – Remote Valve Control 10. KIRK LAKE – Remote Gate Control 11. KIRK LAKE – Water Quality Parameters 12. KIRK LAKE – Calculated Variables

C. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from Lake Gilead: 1. LAKE GILEAD – Facility Alarms 2. LAKE GILEAD – Facility Operations 3. LAKE GILEAD – Valve Position Status 4. LAKE GILEAD – Gate Position Status

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5. LAKE GILEAD – River Stage 6. LAKE GILEAD – Flow Rates 7. LAKE GILEAD – Reservoir (Lake) Level 8. LAKE GILEAD – Precipitation Measurement 9. LAKE GILEAD – Remote Valve Control 10. LAKE GILEAD – Remote Gate Control 11. LAKE GILEAD – Water Quality Parameters 12. LAKE GILEAD – Calculated Variables

D. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from Lake Glenida:

1. LAKE GLENIDA – Facility Alarms 2. LAKE GLENIDA – Facility Operations 3. LAKE GLENIDA – Valve Position Status 4. LAKE GLENIDA – Gate Position Status 5. LAKE GLENIDA – River Stage 6. LAKE GLENIDA – Flow Rates 7. LAKE GLENIDA – Reservoir (Lake) Level 8. LAKE GLENIDA – Precipitation Measurement 9. LAKE GLENIDA – Remote Valve Control 10. LAKE GLENIDA – Remote Gate Control 11. LAKE GLENIDA – Water Quality Parameters 12. LAKE GLENIDA – Calculated Variables

E. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from the Bog Brook Reservoir: 1. BOG BROOK – Facility Alarms 2. BOG BROOK – Facility Operations 3. BOG BROOK – Valve Position Status 4. BOG BROOK – Gate Position Status 5. BOG BROOK – River Stage 6. BOG BROOK – Flow Rates 7. BOG BROOK – Reservoir Level 8. BOG BROOK – Precipitation Measurement 9. BOG BROOK – Remote Valve Control 10. BOG BROOK – Remote Gate Control 11. BOG BROOK – Water Quality Parameters 12. BOG BROOK – Calculated Variables

F. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from the Boyds Corner Reservoir: 1. BOYDS – Facility Alarms 2. BOYDS – Facility Operations

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3. BOYDS – Valve Position Status 4. BOYDS – Gate Position Status 5. BOYDS – River Stage 6. BOYDS – Flow Rates 7. BOYDS – Reservoir Level 8. BOYDS – Precipitation Measurement 9. BOYDS – Remote Valve Control 10. BOYDS – Remote Gate Control 11. BOYDS – Water Quality Parameters 12. BOYDS – Calculated Variables

G. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from the Croton Falls Reservoir: 1. CROTON FALLS – Facility Alarms 2. CROTON FALLS – Facility Operations 3. CROTON FALLS – Valve Position Status 4. CROTON FALLS – Gate Position Status 5. CROTON FALLS – River Stage 6. CROTON FALLS – Flow Rates 7. CROTON FALLS – Reservoir Level 8. CROTON FALLS – Precipitation Measurement 9. CROTON FALLS – Remote Valve Control 10. CROTON FALLS – Remote Gate Control 11. CROTON FALLS – Water Quality Parameters 12. CROTON FALLS – Calculated Variables

H. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from the Diverting Reservoir:

1. DIVERTING – Facility Alarms 2. DIVERTING – Facility Operations 3. DIVERTING – Valve Position Status 4. DIVERTING – Gate Position Status 5. DIVERTING – River Stage 6. DIVERTING – Flow Rates 7. DIVERTING – Reservoir Level 8. DIVERTING – Precipitation Measurement 9. DIVERTING – Remote Valve Control 10. DIVERTING – Remote Gate Control 11. DIVERTING – Water Quality Parameters 12. DIVERTING – Calculated Variables

I. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from the East Branch Reservoir:

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1. EAST BRANCH – Facility Alarms 2. EAST BRANCH – Facility Operations 3. EAST BRANCH – Valve Position Status 4. EAST BRANCH – Gate Position Status 5. EAST BRANCH – River Stage 6. EAST BRANCH – Flow Rates 7. EAST BRANCH – Reservoir Level 8. EAST BRANCH – Precipitation Measurement 9. EAST BRANCH – Remote Valve Control 10. EAST BRANCH – Remote Gate Control 11. EAST BRANCH – Water Quality Parameters 12. EAST BRANCH – Calculated Variables

J. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from the Middle Branch Reservoir: 1. MIDDLE BRANCH – Facility Alarms 2. MIDDLE BRANCH – Facility Operations 3. MIDDLE BRANCH – Valve Position Status 4. MIDDLE BRANCH – Gate Position Status 5. MIDDLE BRANCH – River Stage 6. MIDDLE BRANCH – Flow Rates 7. MIDDLE BRANCH – Reservoir Level 8. MIDDLE BRANCH – Precipitation Measurement 9. MIDDLE BRANCH – Remote Valve Control 10. MIDDLE BRANCH – Remote Gate Control 11. MIDDLE BRANCH – Water Quality Parameters 12. MIDDLE BRANCH – Calculated Variables

K. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from the West Branch Reservoir:

1. WEST BRANCH – Facility Alarms 2. WEST BRANCH – Facility Operations 3. WEST BRANCH – Valve Position Status 4. WEST BRANCH – Gate Position Status 5. WEST BRANCH – River Stage 6. WEST BRANCH – Flow Rates 7. WEST BRANCH – Reservoir Level 8. WEST BRANCH – Precipitation Measurement 9. WEST BRANCH – Remote Valve Control. 10. WEST BRANCH – Remote Gate Control 11. WEST BRANCH – Water Quality Parameters 12. WEST BRANCH – Calculated Variables

L. The Carmel Radio Tower Site RTU remotely monitors the following facility information

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from the Shaft 9 – West Branch Reservoir: 1. SHAFT9 – Facility Alarms 2. SHAFT9 – Facility Operations 3. SHAFT9 – Valve Position Status 4. SHAFT9 – Gate Position Status 5. SHAFT9 – River Stage 6. SHAFT9 – Flow Rates 7. SHAFT9 – Reservoir Level 8. SHAFT9 – Precipitation Measurement 9. SHAFT9 – Remote Valve Control 10. SHAFT9 – Remote Gate Control 11. SHAFT9 – Water Quality Parameters 12. SHAFT9 – Calculated Variables

M. The Carmel Radio Tower Site RTU remotely monitors the following facility information

from the Shaft 10 – West Branch Reservoir:

1. SHAFT10 – Facility Alarms 2. SHAFT10 – Facility Operations 3. SHAFT10 – Valve Position Status 4. SHAFT10 – Gate Position Status 5. SHAFT10 – River Stage 6. SHAFT10 – Flow Rates 7. SHAFT10 – Reservoir Level 8. SHAFT10 – Precipitation Measurement 9. SHAFT10 – Remote Valve Control 10. SHAFT10 – Remote Gate Control 11. SHAFT10 – Water Quality Parameters 12. SHAFT10 – Calculated Variables

N. The Carmel Radio Tower Site RTU remotely monitors the following facility information from the Shaft 11 – West Branch Tunnel:

1. SHAFT11 – Facility Alarms 2. SHAFT11 – Facility Operations 3. SHAFT11 – Valve Position Status 4. SHAFT11 – Gate Position Status 5. SHAFT11 – River Stage 6. SHAFT11 – Flow Rates 7. SHAFT11 – Reservoir Level 8. SHAFT11 – Precipitation Measurement 9. SHAFT11 – Remote Valve Control 10. SHAFT11 – Remote Gate Control 11. SHAFT11 – Water Quality Parameters 12. SHAFT11 – Calculated Variables

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KK-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the Carmel Water Tower RTU. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION LL – SOMERS WATER TOWER SITE (SOMERS) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

LL-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION Somers Water Tower Site (SOMERS) is a data concentrator site the Eastern Operations standalone SCADA system. This Site polls and collects data via a private licensed radio network from Remote Locations located in Westchester and Putnam Counties. SOMERS contains a Motorola ACE 3600 RTU that has Tags defined for reading and writing to associated tags at the Remote Locations and has a metro-E network connection installed at the Somers Radio Tower Site that is provisioned to provide network connectivity to the Water Supply Control Center (WSCC) in Grahamsville, N.Y.

The Contractor shall provide the necessary configurations to allow the SCADA system to read tag values from the Remote Locations monitored by the Somers Water Tower and to issue control commands to operate valves and gates at the Remote Locations monitored by the Somers Water Tower.

The Somers Water Tower RTU monitors the radio tower facility systems via directly connected Field Devices and remotely monitors, via a licensed radio network using the Motorola MDLC protocol, the following locations:

1. Amawalk Reservoir 2. Muscoot Reservoir 3. Titicus Reservoir

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section LL will be made in accordance with Appendix III, Schedule of Payments, Payment Item 13 upon completion of Work in this Section LL, as approved by the PM.

LL-1.2 IMPLEMENTATION / INSTALLATION SUMMARY

Work at the Somers Water Tower Site shall be limited to the Somers Radio Tower Site to ensure that the variables configured in the ACE-3600 RTU at this location can be scanned by the

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SCADA System at the WSCC and that Control functions can be transmitted from the WSCC to the Somers Radio Tower Site to be processed and retransmitted out to the Remote Locations. A. Utilize the existing DEP network infrastructure to allow the existing DEP Motorola ACE

3600 RTU to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the upgraded System shall be on-Site before starting Work under this Section LL.

E. Via secure remote network connection, the Contractor shall:

1. Confirm operational readiness of the existing metro-E networking service and equipment.

Any additional provisioning required to poll data from the Somers Water Tower RTU shall be arranged through the PM prior to commencement of any work in the SOMERS remote facility.

2. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

3. Configure device drivers and communications at WSCC for communication with the SOMERS Site.

4. Configure and activate I/O tags within the SCADA System to receive data from the SOMERS Site.

5. Confirm that the networking equipment at SOMERS is operational and communicating successfully with the WSCC.

6. Enable scanning of the I/O tags.

7. Test for correct data display on Workstation Displays including communications status.

8. Perform complete point-to-point testing of all I/O points from the Somers Radio Tower RTU site.

9. Test for proper valve status displays, gate position status displays, flowrates and

calculated totals displays, reservoir levels and associated storage and spill values displays, precipitation recording displays, remote valve control, remote gate control,

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water quality parameters monitored from the Remote Locations displays, and display of any required calculated variables from the Remote Locations in accordance with the Control Strategies defined in these Specifications.

10. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the SOMERS Radio Tower.

LL-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The Somers Radio Tower Site RTU monitors the following local facility information:

1. SOMERS – Facility Alarms 2. SOMERS – Facility Operations 3. SOMERS – Calculated Variables

B. The Somers Radio Tower Site RTU remotely monitors the following facility information

from Amawalk Reservoir: 1. AMAWALK – Facility Alarms 2. AMAWALK – Facility Operations 3. AMAWALK – Valve Position Status 4. AMAWALK – Gate Position Status 5. AMAWALK – River Stage 6. AMAWALK – Flow Rates 7. AMAWALK – Reservoir (Lake) Level 8. AMAWALK – Precipitation Measurement 9. AMAWALK – Remote Valve Control 10. AMAWALK – Remote Gate Control 11. AMAWALK – Water Quality Parameters 12. AMAWALK – Calculated Variables

C. The Somers Radio Tower Site RTU remotely monitors the following facility information

from Muscoot Reservoir: 1. MUSCOOT – Facility Alarms 2. MUSCOOT – Facility Operations 3. MUSCOOT – Valve Position Status 4. MUSCOOT – Gate Position Status 5. MUSCOOT – River Stage 6. MUSCOOT – Flow Rates 7. MUSCOOT – Reservoir (Lake) Level 8. MUSCOOT – Precipitation Measurement

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9. MUSCOOT – Remote Valve Control 10. MUSCOOT – Remote Gate Control 11. MUSCOOT – Water Quality Parameters 12. MUSCOOT – Calculated Variables

D. The Somers Radio Tower Site RTU remotely monitors the following facility information

from Titicus Reservoir: 1. TITICUS – Facility Alarms 2. TITICUS – Facility Operations 3. TITICUS – Valve Position Status 4. TITICUS – Gate Position Status 5. TITICUS – River Stage 6. TITICUS – Flow Rates 7. TITICUS – Reservoir (Lake) Level 8. TITICUS – Precipitation Measurement 9. TITICUS – Remote Valve Control 10. TITICUS – Remote Gate Control 11. TITICUS – Water Quality Parameters 12. TITICUS – Calculated Variables

LL-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the Somers Radio Tower RTU. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION MM – KATONAH WATER TOWER SITE (BEDFORD) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. MM-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION Katonah Water Tower Site (BEDFORD) is a data concentrator site for the Eastern Operations standalone SCADA system. This site polls and collects data via a private licensed radio network from Remote Locations located in Putnam County.

The Katonah Water Tower site contains a Motorola ACE 3600 RTU that has Tags defined for reading and writing to associated Tags at the Remote Locations. There is a metro-E network connection installed at the Katonah Radio Tower Site that is provisioned to provide network connectivity to the WSCC.

The Contractor shall the SCADA system to read Tag values from the Remote Locations

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monitored by the Katonah Water Tower and to issue control commands to operate valves and gates at the Remote Locations monitored by the Katonah Water Tower.

The Katonah Water Tower RTU monitors the radio tower facility systems via directly connected field devices, and remotely monitors via a licensed radio network using the Motorola MDLC protocol the following locations:

1. Cross River Reservoir 6. Croton Shaft 9 2. New Croton Reservoir 7. Croton Shaft 14 3. Shaft 13-Cross River Pumping Station 8. Croton Shaft 18 4. Croton Lake Gate House 9. Dunwoodie Fluoride Facility 5. Croton Gatehouse 1 10. Croton Shafts 18 QTR

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section MM will be made in accordance with Appendix III, Schedule of Payments, Payment Item 14 upon completion of Work in this Section MM, as approved by the PM.

MM-1.2 IMPLEMENTATION / INSTALLATION SUMMARY

Work at BEDFORD shall be limited to the Katonah Radio Tower Site to ensure that the variables configured in the ACE 3600 RTU can be scanned by the SCADA System at the WSCC and that control functions can be transmitted from the WSCC to the Katonah Radio Tower Site to be processed and retransmitted out to the Remote Locations. A. Utilize the existing DEP network infrastructure to allow the existing DEP Motorola ACE

3600 RTU to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the upgraded System shall be on-Site before starting Work under this Section MM.

E. Via secure remote network connection, the Contractor shall:

1. Confirm operational readiness of the existing metro-E networking service and equipment.

Any additional provisioning required to poll data from the Katonah Water Tower RTU shall be arranged through the PM prior to commencement of any work in the BEDFORD remote facility.

2. Provide all configuration and testing equipment necessary to configure, set up, diagnose,

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and confirm proper operations of the SCADA System.

3. Configure device drivers and communications at WSCC for communication with the BEDFORD Site.

4. Configure and activate I/O tags within the SCADA System to receive data from the BEDFORD Site.

5. Confirm that the networking equipment at BEDFORD is operational and communicating successfully with the WSCC.

6. Enable scanning of the I/O tags.

7. Test for correct data display on Workstation Displays including communications status.

8. Perform complete point-to-point testing of all I/O points from the Katonah Radio Tower RTU site.

9. Test for proper display of all facility alarms and operational status points, including loss

of communications with BEDFORD and loss of communications with each of the remotely monitored sites.

10. Test for proper valve status displays, gate position status displays, flowrates and

calculated totals displays, reservoir levels and associated storage and spill values displays, precipitation recording displays, remote valve control, remote gate control, water quality parameters monitored from the Remote Locations displays, and display of any required calculated variables from the Remote Locations in accordance with the Control Strategies defined in these Specifications.

11. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the BEDFORD Radio Tower.

MM-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The Katonah Radio Tower Site RTU monitors the following local facility information:

1. BEDFORD – Facility Alarms 2. BEDFORD – Facility Operations 3. BEDFORD – Calculated Variables

B. The Katonah Radio Tower Site RTU remotely monitors the following facility information

from Cross River Reservoir:

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1. CROSS RIVER RESERVOIR – Facility Alarms 2. CROSS RIVER RESERVOIR – Facility Operations 3. CROSS RIVER RESERVOIR – Valve Position Status 4. CROSS RIVER RESERVOIR – Gate Position Status 5. CROSS RIVER RESERVOIR – River Stage 6. CROSS RIVER RESERVOIR – Flow Rates 7. CROSS RIVER RESERVOIR – Reservoir (Lake) Level 8. CROSS RIVER RESERVOIR – Precipitation Measurement 9. CROSS RIVER RESERVOIR – Remote Valve Control 10. CROSS RIVER RESERVOIR – Remote Gate Control 11. CROSS RIVER RESERVOIR – Water Quality Parameters 12. CROSS RIVER RESERVOIR – Calculated Variables

C. The Katonah Radio Tower Site RTU remotely monitors the following facility information

from New Croton Reservoir:

1. NEW CROTON RESERVOIR – Facility Alarms 2. NEW CROTON RESERVOIR – Facility Operations 3. NEW CROTON RESERVOIR – Valve Position Status 4. NEW CROTON RESERVOIR – Gate Position Status 5. NEW CROTON RESERVOIR – River Stage 6. NEW CROTON RESERVOIR – Flow Rates 7. NEW CROTON RESERVOIR – Reservoir (Lake) Level 8. NEW CROTON RESERVOIR – Precipitation Measurement 9. NEW CROTON RESERVOIR – Remote Valve Control 10. NEW CROTON RESERVOIR – Remote Gate Control 11. NEW CROTON RESERVOIR – Water Quality Parameters 12. NEW CROTON RESERVOIR – Calculated Variables

D. The Katonah Radio Tower Site RTU remotely monitors the following facility information

from Shaft 13 – Cross River Pumping Station:

1. SHAFT 13 – Facility Alarms 2. SHAFT 13 – Facility Operations 3. SHAFT 13 – Valve Position Status 4. SHAFT 13 – Gate Position Status 5. SHAFT 13 – River Stage 6. SHAFT 13 – Flow Rates 7. SHAFT 13 – Reservoir (Lake) Level 8. SHAFT 13 – Precipitation Measurement 9. SHAFT 13 – Remote Valve Control 10. SHAFT 13 – Remote Gate Control 11. SHAFT 13 – Water Quality Parameters 12. SHAFT 13 – Calculated Variables

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E. The Katonah Radio Tower Site RTU remotely monitors the following facility information from the Croton Lake Gatehouse:

1. CLGH – Facility Alarms 2. CLGH – Facility Operations 3. CLGH – Valve Position Status 4. CLGH – Gate Position Status 5. CLGH – River Stage 6. CLGH – Flow Rates 7. CLGH – Reservoir Level 8. CLGH – Precipitation Measurement 9. CLGH – Remote Valve Control 10. CLGH – Remote Gate Control 11. CLGH – Water Quality Parameters 12. CLGH – Calculated Variables

F. The Katonah Radio Tower Site RTU remotely monitors the following facility information

from the Croton Gatehouse 1:

1. GATEHOUSE 1 – Facility Alarms 2. GATEHOUSE 1 – Facility Operations 3. GATEHOUSE 1 – Valve Position Status 4. GATEHOUSE 1 – Gate Position Status 5. GATEHOUSE 1 – River Stage 6. GATEHOUSE 1 – Flow Rates 7. GATEHOUSE 1 – Reservoir Level 8. GATEHOUSE 1 – Precipitation Measurement 9. GATEHOUSE 1 – Remote Valve Control 10. GATEHOUSE 1 – Remote Gate Control 11. GATEHOUSE 1 – Water Quality Parameters 12. GATEHOUSE 1 – Calculated Variables

G. The Katonah Radio Tower Site RTU remotely monitors the following facility information

from the Croton Shaft 9:

1. CROTON 9 – Facility Alarms 2. CROTON 9 – Facility Operations 3. CROTON 9 – Valve Position Status 4. CROTON 9 – Gate Position Status 5. CROTON 9 – River Stage 6. CROTON 9 – Flow Rates 7. CROTON 9 – Reservoir Level 8. CROTON 9 – Precipitation Measurement 9. CROTON 9 – Remote Valve Control 10. CROTON 9 – Remote Gate Control 11. CROTON 9 – Water Quality Parameters

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12. CROTON 9 – Calculated Variables

H. The Katonah Radio Tower Site RTU remotely monitors the following facility information from the Croton Shaft 14:

1. CROTON 14 – Facility Alarms 2. CROTON 14 – Facility Operations 3. CROTON 14 – Valve Position Status 4. CROTON 14 – Gate Position Status 5. CROTON 14 – River Stage 6. CROTON 14 – Flow Rates 7. CROTON 14 – Reservoir Level 8. CROTON 14 – Precipitation Measurement 9. CROTON 14 – Remote Valve Control 10. CROTON 14 – Remote Gate Control 11. CROTON 14 – Water Quality Parameters 12. CROTON 14 – Calculated Variables

I. The Katonah Radio Tower Site RTU remotely monitors the following facility information

from the Croton Shaft 18:

1. CROTON 18 – Facility Alarms 2. CROTON 18 – Facility Operations 3. CROTON 18 – Valve Position Status 4. CROTON 18 – Gate Position Status 5. CROTON 18 – River Stage 6. CROTON 18 – Flow Rates 7. CROTON 18 – Reservoir Level 8. CROTON 18 – Precipitation Measurement 9. CROTON 18 – Remote Valve Control 10. CROTON 18 – Remote Gate Control 11. CROTON 18 – Water Quality Parameters 12. CROTON 18 – Calculated Variables

J. The Katonah Radio Tower Site RTU remotely monitors the following facility information

from the Dunwoodie Fluoride Facility:

1. DUNWOODIE – Facility Alarms 2. DUNWOODIE – Facility Operations 3. DUNWOODIE – Valve Position Status 4. DUNWOODIE – Gate Position Status 5. DUNWOODIE – River Stage 6. DUNWOODIE – Flow Rates 7. DUNWOODIE – Reservoir Level 8. DUNWOODIE – Precipitation Measurement 9. DUNWOODIE – Remote Valve Control

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10. DUNWOODIE – Remote Gate Control 11. DUNWOODIE – Water Quality Parameters 12. DUNWOODIE – Calculated Variables

K. The Katonah Radio Tower Site RTU remotely monitors the following facility information

from the Croton Shafts 18 QTR:

1. CROTON 18 QTR – Facility Alarms 2. CROTON 18 QTR – Facility Operations 3. CROTON 18 QTR – Valve Position Status 4. CROTON 18 QTR – Gate Position Status 5. CROTON 18 QTR – River Stage 6. CROTON 18 QTR – Flow Rates 7. CROTON 18 QTR – Reservoir Level 8. CROTON 18 QTR – Precipitation Measurement 9. CROTON 18 QTR – Remote Valve Control 10. CROTON 18 QTR – Remote Gate Control 11. CROTON 18 QTR – Water Quality Parameters 12. CROTON 18 QTR – Calculated Variables

MM-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the Katonah Radio Tower RTU. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION NN – SHAFT 18 VALHALLA (SHAFT18) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. NN-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Shaft 18 Valhalla Site (SHAFT18) is a data concentrator site for the Eastern Operations standalone SCADA system. This site polls and collects data via a private licensed radio network from Remote Locations located in Westchester County.

The Shaft 18 Valhalla site contains a Motorola ACE 3600 RTU that has Tags defined for reading and writing to associated Tags at the Remote Locations. There is a metro-E network connection installed at the Shaft 18 Site that is provisioned to provide network connectivity to the WSCC.

The Contractor shall provide the necessary configurations to allow the SCADA System to read Tag values from the Remote Locations monitored by Shaft 18 Valhalla and to issue

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control commands to operate valves and gates at the Remote Locations monitored by Shaft 18.

The Shaft 18 Valhalla RTU monitors the radio tower facility operations via directly connected field devices, and remotely monitors via a licensed radio network using the Motorola MDLC protocol the following locations:

1. Hillview Reservoir 2. Kensico Reservoir 3. Delaware Shaft 17 4. Kensico Alum Plant 5. CAT/DEL UV Plant

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section NN will be made in accordance with Appendix III, Schedule of Payments, Payment Item 15 upon completion of Work in this Section NN, as approved by the PM.

NN-1.2 IMPLEMENTATION / INSTALLATION SUMMARY

Work shall be limited to the Shaft 18 Valhalla Site to ensure that the variables configured in the ACE-3600 RTU at this can be scanned by the SCADA System at the WSCC and that control functions can be transmitted from the WSCC to the Shaft 18 Valhalla Site to be processed and retransmitted out to the Remote Locations. A. Utilize the existing DEP network infrastructure to allow the existing DEP Motorola ACE

3600 RTU to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the upgraded System shall be on-Site before starting Work under this Section NN.

E. Via secure remote network connection, the Contractor shall:

1. Confirm operational readiness of the existing metro-E networking service and equipment.

Any additional provisioning required to poll data from the Shaft 18 Valhalla Site RTU shall be arranged through the PM prior to commencement of any work in the SHAFT18 remote facility.

2. Provide all configuration and testing equipment necessary to configure, set up, diagnose,

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and confirm proper operations of the SCADA System.

3. Configure device drivers and communications at WSCC for communication with the SHAFT18 Site.

4. Configure and activate I/O tags within the SCADA System to receive data from the SHAFT18 Site.

5. Confirm that the networking equipment at SHAFT18 is operational and communicating successfully with the WSCC.

6. Enable scanning of the I/O tags.

7. Test for correct data display on Workstation Displays including communications status.

8. Perform complete point-to-point testing of all I/O points from the Shaft 18 Valhalla Site.

9. Test for proper display of all facility alarms and operational status points, including loss of communications with SHAFT18 and loss of communications with each of the remotely monitored sites.

10. Test for proper valve status displays, gate position status displays, flowrates and

calculated totals displays, reservoir levels and associated storage and spill values displays, precipitation recording displays, remote valve control, remote gate control, water quality parameters monitored from the Remote Locations displays, and display of any required calculated variables from the Remote Locations in accordance with the Control Strategies defined in these Specifications.

11. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the SHAFT 18 Radio Tower.

NN-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The SHAFT18 RTU monitors the following local facility information:

1. SHAFT 18 – Facility Alarms 2. SHAFT 18 – Facility Operations 3. SHAFT 18 – Valve Position Status 4. SHAFT 18 – Gate Position Status 5. SHAFT 18 – River Stage 6. SHAFT 18 – Flow Rates 7. SHAFT 18 – Reservoir (Lake) Level

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8. SHAFT 18 – Precipitation Measurement 9. SHAFT 18 – Remote Valve Control 10. SHAFT 18 – Remote Gate Control 11. SHAFT 18 – Water Quality Parameters 12. SHAFT 18 – Calculated Variables

B. The SHAFT18 RTU remotely monitors the following facility information from Hillview Reservoir (HILLVIEW):

1. HILLVIEW – Facility Alarms 2. HILLVIEW – Facility Operations 3. HILLVIEW – Valve Position Status 4. HILLVIEW – Gate Position Status 5. HILLVIEW – River Stage 6. HILLVIEW – Flow Rates 7. HILLVIEW – Reservoir (Lake) Level 8. HILLVIEW – Precipitation Measurement 9. HILLVIEW – Remote Valve Control 10. HILLVIEW – Remote Gate Control 11. HILLVIEW – Water Quality Parameters 12. HILLVIEW – Calculated Variables

C. The SHAFT18 RTU remotely monitors the following facility information from Kensico

Reservoir (KENSICO):

1. KENSICO – Facility Alarms 2. KENSICO – Facility Operations 3. KENSICO – Valve Position Status 4. KENSICO – Gate Position Status 5. KENSICO – River Stage 6. KENSICO – Flow Rates 7. KENSICO – Reservoir (Lake) Level 8. KENSICO – Precipitation Measurement 9. KENSICO – Remote Valve Control 10. KENSICO – Remote Gate Control 11. KENSICO – Water Quality Parameters 12. KENSICO – Calculated Variables

D. The SHAFT18 RTU remotely monitors the following facility information from Delaware

Shaft 17 (SHAFT 17):

1. SHAFT 17 – Facility Alarms 2. SHAFT 17 – Facility Operations 3. SHAFT 17 – Valve Position Status 4. SHAFT 17 – Gate Position Status 5. SHAFT 17 – River Stage

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6. SHAFT 17 – Flow Rates 7. SHAFT 17 – Reservoir (Lake) Level 8. SHAFT 17 – Precipitation Measurement 9. SHAFT 17 – Remote Valve Control 10. SHAFT 17 – Remote Gate Control 11. SHAFT 17 – Water Quality Parameters 12. SHAFT 17 – Calculated Variables

E. The SHAFT18 RTU remotely monitors the following facility information from Kensico

Alum Plant (ALUM):

1. ALUM – Facility Alarms 2. ALUM – Facility Operations 3. ALUM – Valve Position Status 4. ALUM – Gate Position Status 5. ALUM – River Stage 6. ALUM – Flow Rates 7. ALUM – Reservoir Level 8. ALUM – Precipitation Measurement 9. ALUM – Remote Valve Control 10. ALUM – Remote Gate Control 11. ALUM – Water Quality Parameters 12. ALUM – Calculated Variables

F. The SHAFT18 RTU remotely monitors the following facility information from CAT/DEL

UV Plant (UV PLANT):

1. UV PLANT – Facility Alarms 2. UV PLANT – Facility Operations 3. UV PLANT – Valve Position Status 4. UV PLANT – Gate Position Status 5. UV PLANT – River Stage 6. UV PLANT – Flow Rates 7. UV PLANT – Reservoir Level 8. UV PLANT – Precipitation Measurement 9. UV PLANT – Remote Valve Control 10. UV PLANT – Remote Gate Control 11. UV PLANT – Water Quality Parameters 12. UV PLANT – Calculated Variables

NN-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the Shaft 18 Valhalla RTU. Sample display Screens are shown in Appendix VII, Sample HMI Screens. The actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

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SECTION OO – MAHOPAC WWTP (MAHOPAC) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. OO-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Mahopac Wastewater Treatment Plant (MAHOPAC) is located in, and provides services for, the hamlet of Mahopac, in the Town of Carmel in Putnam County, and has a capacity of 800,000 gal. Monitoring and control functions are currently not being monitored by the WSCC SCADA System. The alarm dialer at the plant notifies the WSCC of alarm conditions over a telephone line. WSCC monitors the plant for critical alarms during off-hour operations. MAHOPAC also has a standalone SCADA system monitoring complete facility operations. The SCADA system includes Wonderware InTouch v10.0, Wonderware Historian, and SCADA Alarm. This system scans information from GE Fanuc 90-30 PLCs located throughout the plant. The MAHOPAC PLCs and standalone SCADA system monitor facility operations via directly connected field devices located at MAHOPAC.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section OO will be made in accordance with Appendix III, Schedule of Payments, Payment Item 17 upon completion of Work in this Section OO, as approved by the PM.

OO-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Mahopac Wastewater Treatment Plant includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP GE Fanuc PLCs and standalone SCADA system to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section OO.

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E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose,

and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the MAHOPAC Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the MAHOPAC Site.

4. Confirm that the networking equipment at MAHOPAC is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status. The screens shall also be confirmed as operational and displaying correctly on the workstation setup for the Chief of Wastewater Operations located at the Grahamsville Annex Building.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display and precipitation recording display in accordance

with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the MAHOPAC PLC.

OO-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The MAHOPAC PLC and standalone SCADA system monitor the following local facility

information: 1. MAHOPAC – Facility Alarms 2. MAHOPAC – Facility Operations 3. MAHOPAC – Pump Status 4. MAHOPAC – Flow Rates 5. MAHOPAC – Levels 6. MAHOPAC – Water Quality Parameters 7. MAHOPAC – Calculated Variables

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OO-1.4 SCADA DISPLAY SCREENS The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the MAHOPAC PLC. The Contractor shall export screens from the MAHOPAC SCADA system. A screen displaying critical alarms that are required to be monitored by the WSCC in providing 24hr/ 7day coverage shall be configured by the Contractor. Sample display screens are shown in Appendix VII, Sample HMI Screens. Actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION PP – TANNERSVILLE WWTP (TWWTP) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

PP-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Tannersville Wastewater Treatment Plant (TWWTP) is located in, and provides services for, the village of Tannersville, in the Town of Hunter in Greene County, New York with a capacity of 800,000gal. Monitoring and control functions are performed by an Allen Bradley Micrologics PLC which is currently monitored via serial Modbus protocol over a network connection back to the WSCC in Grahamsville. WSCC provides monitoring of the plant for critical alarms during off-hour operations. TWWTP also has a standalone SCADA system monitoring complete facility operations. The SCADA system includes Wonderware InTouch v10.1, Wonderware Historian, WIN 911, and XL Reporter. This system scans information from a GE Fanuc 90-30 PLC, Allen Bradley SLC 500 PLC, and writes registers to an Allen Bradley Micrologics PLC for scanning by the WSCC SCADA System. The TWWTP PLC and standalone SCADA system monitor facility operations via directly connected field devices located in the TWWTP Site.

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section PP will be made in accordance with Appendix III, Schedule of Payments, Payment Item 19 upon completion of Work in this Section PP, as approved by the PM.

PP-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Tannersville Wastewater Treatment Plant includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Allen Bradley PLC and standalone SCADA System to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

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B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP

personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section PP.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the TWWTP Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the TWWTP Site.

4. Confirm that the networking equipment at TWWTP is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status. The screens shall also be confirmed as operational and displaying correctly on the workstation setup for the Chief of Wastewater Operations located at the Grahamsville Annex Building.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display and precipitation recording display in accordance

with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the TWWTP PLC.

PP-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary.

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A. The TWWTP PLC and standalone SCADA system monitor the following local facility information:

1. TWWTP – Facility Alarms 2. TWWTP – Facility Operations 3. TWWTP – Pump Status 4. TWWTP – Flow Rates 5. TWWTP – Levels 6. TWWTP – Water Quality Parameters 7. TWWTP – Calculated Variables

PP-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the TWWTP PLC. The Contractor shall export screens from the Tannersville SCADA system. A screen displaying critical alarms that are required to be monitored by the WSCC in providing 24hr/ 7day coverage shall be configured. Sample display screens are shown in Appendix VII, Sample HMI Screens. Actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION QQ – PINE HILL WWTP (PHWWTP) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. QQ-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Pine Hill Wastewater Treatment Plant (PHWWTP) is located in, and provides services for the, hamlet of Pine Hill, in the Town of Shandaken in Ulster County, New York with a capacity of 500,000 gal. Monitoring and control functions are performed by an Allen Bradley Micrologics PLC which is currently monitored via serial Modbus protocol over a network connection back to the WSCC. WSCC provides monitoring of the facility for critical alarms during off-hour operations. The PHWWTP also has a standalone SCADA system monitoring complete facility operations. The SCADA system includes Wonderware InTouch v10.1, Wonderware Historian, WIN 911, and XL Reporter. This system scans information from a GE Fanuc 90-30 PLC and Allen Bradley SLC500 PLC, and writes registers to an Allen Bradley Micrologics PLC for scanning by the WSCC SCADA System. The PHWWTP PLC and standalone SCADA system monitor plant operations via directly connected field devices located in the Control Building, Headworks Building, Sludge Processing Building, and Microfiltration Building.

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B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section QQ will be made in accordance with Appendix III, Schedule of Payments, Payment Item 21 upon completion of Work in this Section QQ, as approved by the PM.

QQ-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Pine Hill Wastewater Treatment Plant includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Allen Bradley PLC and standalone SCADA system to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section QQ.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the PHWWTP Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the PHWWTP Site.

4. Confirm that the networking equipment at PHWWTP is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status. The screens shall also be confirmed as operational and displaying correctly on the workstation setup for the Chief of Wastewater Operations located at the Grahamsville Annex Building.

7. Perform complete point-to-point testing of all I/O points.

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8. Test for proper valve status display and precipitation recording display in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the PHWWTP PLC.

QQ-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The PHWWTP PLC and standalone SCADA system monitor the following facility

information from the Control Building:

1. PHWWTP_CONTROL – Facility Alarms 2. PHWWTP_CONTROL – Facility Operations 3. PHWWTP_CONTROL – Flow Rates 4. PHWWTP_CONTROL – Water Quality Parameters 5. PHWWTP_CONTROL – Calculated Variables

B. The PHWWTP PLC and standalone SCADA system monitor the following facility

information from the Headworks Building:

1. PHWWTP_HEADWORKS – Facility Alarms 2. PHWWTP_HEADWORKS – Facility Operations 3. PHWWTP_HEADWORKS – Pump Status 4. PHWWTP_HEADWORKS – Flow Rates 5. PHWWTP_HEADWORKS – Levels 6. PHWWTP_HEADWORKS – Water Quality Parameters 7. PHWWTP_HEADWORKS – Calculated Variables

C. The PHWWTP PLC and standalone SCADA system monitor the following facility

information from the Sludge Processing Building: 1. PHWWTP_SLUDGE – Facility Alarms 2. PHWWTP_SLUDGE – Facility Operations 3. PHWWTP_SLUDGE – Pump Status 4. PHWWTP_SLUDGE – Flow Rates 5. PHWWTP_SLUDGE – Levels 6. PHWWTP_SLUDGE – Water Quality Parameters 7. PHWWTP_SLUDGE – Calculated Variables

D. The PHWWTP PLC and standalone SCADA system monitor the following facility

information from the Microfiltration Building:

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1. PHWWTP_MICRO – Facility Alarms 2. PHWWTP_MICRO – Facility Operations 3. PHWWTP_MICRO – Pump Status 4. PHWWTP_MICRO – Flow Rates 5. PHWWTP_MICRO – Levels 6. PHWWTP_MICRO – Water Quality Parameters 7. PHWWTP_MICRO – Calculated Variables

QQ-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the PHWWTP PLC. The Contractor shall export screens from the Pine Hill SCADA system. A screen displaying critical alarms that are required to be monitored by the WSCC in providing 24hr/ 7day coverage shall be configured. Sample display screens are shown in Appendix VII, Sample HMI Screens. Actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION RR – MARGARETVILLE WWTP (MWWTP) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. RR-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Margaretville Wastewater Treatment Plant (MWWTP) is located in, and provides services for, the village of Grahamsville, in the Town of Middletown in Delaware County, New York with a capacity of 400,000 gal. Monitoring and control functions are performed by a Modicon Quantum PLC which is currently monitored via serial Modbus protocol over a network connection back to the WSCC. WSCC provides monitoring of the plant for critical alarms during off-hour operations. The MWWTP also has a standalone SCADA system which monitors complete plant operations. The SCADA system includes Wonderware InTouch v10.0, Wonderware Historian, and SCADA Alarm. This system scans information from the Modicon PLC and a GE Fanuc 90-30 PLC. The MWWTP PLC and standalone SCADA system monitor plant operations via directly connected field devices located in the Control Building, Headworks Building, Sludge Processing Building, and Microfiltration Building.

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section RR will be made in accordance with Appendix III, Schedule of Payments, Payment Item 20 upon completion of Work in this

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Section RR, as approved by the PM. RR-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Margaretville Wastewater Treatment Plant includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC and standalone SCADA system to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section RR.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the MWWTP Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the MWWTP Site.

4. Confirm that the networking equipment at MWWTP is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status. The screens shall also be confirmed as operational and displaying correctly on the workstation setup for the Chief of Wastewater Operations located at the Grahamsville Annex Building.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display and precipitation recording display in accordance

with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System

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from the MWWTP PLC.

RR-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The MWWTP PLC and standalone SCADA system monitor the following facility

information from the Control Building:

1. MWWTP_CONTROL – Facility Alarms 2. MWWTP_CONTROL – Facility Operations 3. MWWTP_CONTROL – Flow Rates 4. MWWTP_CONTROL – Water Quality Parameters 5. MWWTP_CONTROL – Calculated Variables

B. The Margaretville Wastewater Treatment Plant PLC and standalone SCADA system

monitors the following facility information from the Headworks Building:

1. MWWTP_HEADWORKS – Facility Alarms 2. MWWTP_HEADWORKS – Facility Operations 3. MWWTP_HEADWORKS – Pump Status 4. MWWTP_HEADWORKS – Flow Rates 5. MWWTP_HEADWORKS – Levels 6. MWWTP_HEADWORKS – Water Quality Parameters 7. MWWTP_HEADWORKS – Calculated Variables

C. The Margaretville Wastewater Treatment Plant PLC and standalone SCADA system

monitors the following facility information from the Sludge Processing Building: 1. MWWTP_SLUDGE – Facility Alarms 2. MWWTP_SLUDGE – Facility Operations 3. MWWTP_SLUDGE – Pump Status 4. MWWTP_SLUDGE – Flow Rates 5. MWWTP_SLUDGE – Levels 6. MWWTP_SLUDGE – Water Quality Parameters 7. MWWTP_SLUDGE – Calculated Variables

D. The Margaretville Wastewater Treatment Plant PLC and standalone SCADA system

monitors the following facility information from the Microfiltration Building:

1. MWWTP_MICRO – Facility Alarms 2. MWWTP_MICRO – Facility Operations 3. MWWTP_MICRO – Pump Status 4. MWWTP_MICRO – Flow Rates

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5. MWWTP_MICRO – Levels 6. MWWTP_MICRO – Water Quality Parameters 7. MWWTP_MICRO – Calculated Variables

RR-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the MWWTP PLC. The Contractor shall export screens from the Margaretville SCADA system. A screen displaying critical alarms that are required to be monitored by the WSCC in providing 24hr/ 7day coverage shall be configured. Sample display screens are shown in Appendix VII, Sample HMI Screens. Actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION SS – GRAND GORGE WWTP (GGWWTP) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

SS-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Grand Gorge Wastewater Treatment Plant (GGWWTP) is located in, and provides services for, the Hamlet of Grand Gorge, in the Town of Roxbury in Delaware County, New York with a capacity of 500,000 gal. Monitoring and control functions are performed by an Allen Bradley SLC 500 PLC which is currently monitored via serial Modbus protocol over a network connection back to the WSCC. WSCC provides monitoring of the plant for critical alarms during off-hour operations. The Grand Gorge Wastewater Treatment Plant also has a standalone SCADA system monitoring complete plant operations. The SCADA system includes Wonderware InTouch v10.0, Wonderware Historian, WIN 911, and XL Reporter. This system scans information from GE Fanuc 90-30 PLCs, and writes registers to an Allen Bradley SLC 500 PLC for scanning by the WSCC SCADA System. The GGWWTP PLC and standalone SCADA system monitor plant operations via directly connected field devices located in the Grand Gorge Wastewater Treatment Plant Facility.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section SS will be made in accordance with Appendix III, Schedule of Payments, Payment Item 22 upon completion of Work in this Section SS, as approved by the PM.

SS-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Grand Gorge Wastewater Treatment Plant includes:

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A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum

PLC and standalone SCADA system to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section SS.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the GGWWTP Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the GGWWTP Site.

4. Confirm that the networking equipment at GGWWTP is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status. The screens shall also be confirmed as operational and displaying correctly on the workstation setup for the Chief of Wastewater Operations located at the Grahamsville Annex Building.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display and precipitation recording display in accordance

with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the GGWWTP PLC.

SS-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an

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exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The GGWWTP PLC and standalone SCADA system monitor the following local plant

information:

1. GGWWTP – Facility Alarms 2. GGWWTP – Facility Operations 3. GGWWTP – Pump Status 4. GGWWTP – Flow Rates 5. GGWWTP – Levels 6. GGWWTP – Water Quality Parameters 7. GGWWTP – Calculated Variables

SS-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the GGWWTP PLC. The Contractor shall export screens from the Grand Gorge SCADA system. A screen displaying critical alarms that are required to be monitored by the WSCC in providing 24hr/ 7day coverage shall be configured. Sample display screens are shown in Appendix VII, Sample HMI Screens. Actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up..

SECTION TT – PORT JERVIS WWTP (PJWWTP) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM.

TT-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Port Jervis Sewage Treatment Plant (PJWWTP) is located in, and provides services for, the City of Port Jervis, in Orange County, NY, and has a capacity of 5 millions gallons per day. Monitoring and control functions are performed by a Modicon Quantum PLC which is currently monitored via serial Modbus protocol over a network connection back to the WSCC. WSCC provides monitoring of the plant for critical alarms during off-hour operations. The Port Jervis Sewage Treatment Plant also has a standalone SCADA system monitoring complete plant operations. The SCADA system includes Wonderware System Platform 3.0, Wonderware Historian, and SCADA Alarm. This system scans information from the Modicon PLC and a GE FANUC 90-30 PLC.

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The PJWWTP PLC and standalone SCADA system monitor facility operations via directly connected field devices located in the Control Building, and remotely monitors facility systems at the North Street Pumping Station, Neversink Pumping Station, and Industrial Pumping Station via a spread spectrum license free radio network.

B. SITE SPECIFIC PAYMENT REQUIREMENTS

Payment for Work performed under this Section TT will be made in accordance with Appendix III, Schedule of Payments, Payment Item 16 upon completion of Work in this Section TT, as approved by the PM.

TT-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Port Jervis Sewage Treatment Plant includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC and standalone SCADA system to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section TT.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the PJWWTP Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the PJWWTP Site.

4. Confirm that the networking equipment at PJWWTP is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status. The screens shall also be confirmed as operational and displaying correctly on the workstation setup for the Chief of Wastewater Operations located at the Grahamsville

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Annex Building.

7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display and precipitation recording display in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the PJWWTP PLC.

TT-1.3 TAG SUMMARY LISTING The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary. A. The PTWWTP PLC and standalone SCADA system monitor the following facility

information from the Control Building:

1. PJWWTP – Facility Alarms 2. PJWWTP – Facility Operations 3. PJWWTP – Flow Rates 4. PJWWTP – Water Quality Parameters 5. PJWWTP – Calculated Variables

B. The Port Jervis Sewage Treatment Plant PLC remotely monitors the following facility information from the North Street Pumping Station:

1. PJ_NORTH_ST – Facility Alarms 2. PJ_NORTH_ST – Facility Operations 3. PJ_NORTH_ST – Pump Status 4. PJ_NORTH_ST – Flow Rates 5. PJ_NORTH_ST – Levels 6. PJ_NORTH_ST – Water Quality Parameters 7. PJ_NORTH_ST – Calculated Variables

C. The Port Jervis Sewage Treatment Plant PLC remotely monitors the following facility

information from the Neversink Pumping Station:

1. PJ_NEVERSINK – Facility Alarms 2. PJ_NEVERSINK – Facility Operations 3. PJ_NEVERSINK – Pump Status 4. PJ_NEVERSINK – Flow Rates 5. PJ_NEVERSINK – Levels 6. PJ_NEVERSINK – Water Quality Parameters 7. PJ_NEVERSINK – Calculated Variables

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D. The Port Jervis Sewage Treatment Plant PLC remotely monitors the following facility

information from the Industrial Waste Pumping Station:

1. PJ_IND_WASTE – Facility Alarms 2. PJ_IND_WASTE – Facility Operations 3. PJ_IND_WASTE – Pump Status 4. PJ_IND_WASTE – Flow Rates 5. PJ_IND_WASTE – Levels 6. PJ_IND_WASTE – Water Quality Parameters 7. PJ_IND_WASTE – Calculated Variables

TT-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the PJWWTP PLC. The Contractor shall export screens from the Port Jervis SCADA system. A screen displaying critical alarms that are required to be monitored by the WSCC in providing 24hr/ 7day coverage shall be configured. Sample display screens are shown in Appendix VII, Sample HMI Screens. Actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

SECTION UU – GRAHAMSVILLE WWTP (GWWTP) REQUIREMENTS Contractor will remotely configure devices at this site. Physical presence by the Contractor is not required on site. Any on site requirements (e.g. physical placement, removal, movement or manual power recycling of equipment, etc.) shall be the responsibility of DEP on site personnel. Contractor shall coordinate any necessary physical on site intervention, or any facility site visits, with the PM. UU-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION The Grahamsville Wastewater Treatment Plant (GWWTP) is located in, and provides services for, the Hamlet of Grahamsville, in the Town of Neversink in Sullivan County, New York with a capacity of 180,000 gal. Monitoring and control functions are performed by a Modicon Quantum PLC which is currently monitored via serial Modbus protocol over a license free radio connection back to the WSCC. WSCC provides monitoring of the facility for critical alarms during off-hour operations. The GWWTP also has a standalone SCADA system monitoring complete facility operations. The SCADA system includes Wonderware InTouch v10.0, Wonderware Historian, and SCADA Alarm. This system scans information from the Modicon PLC and an Allen Bradley SLC 500 PLC. The GWWTP PLC and standalone SCADA system monitor facility operations via directly connected field devices located in the Control Building, Headworks Building, Sludge Processing Building, Microfiltration Building, and remotely monitors pumping stations at

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Rocky Hill Road and Route 42 via a spread spectrum license free radio network.

B. SITE SPECIFIC PAYMENT REQUIREMENTS Payment for Work performed under this Section UU will be made in accordance with Appendix III, Schedule of Payments, Payment Item 18 upon completion of Work in this Section UU, as approved by the PM.

UU-1.2 IMPLEMENTATION / INSTALLATION SUMMARY Work at the Grahamsville Wastewater Treatment Plant includes:

A. Utilize the existing DEP network infrastructure to allow the existing DEP Modicon Quantum PLC and standalone SCADA system (located in the Control Room on the Main Level) to communicate with the SCADA System in WSCC. The networking equipment is described in Section M, SCADA Communications Network.

B. Minimal, or no, disruption of the existing SCADA System’s functionality.

C. Prior to remote disabling/disconnecting by the Contractor, or physical removal by DEP personnel, of any component of the existing System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configurations, and WSCC display screens shall be installed and tested.

D. All equipment, peripherals, and ancillary items necessary for the complete connection of the

upgraded System shall be on-Site before starting Work under this Section UU.

E. Via secure remote network connection, the Contractor shall:

1. Provide all configuration and testing equipment necessary to configure, set up, diagnose, and confirm proper operations of the SCADA System.

2. Configure device drivers and communications at WSCC for communication with the GWWTP Site.

3. Configure and activate I/O tags within the SCADA System to receive data from the GWWTP Site.

4. Confirm that the networking equipment at GWWTP is operational and communicating successfully with the WSCC.

5. Enable scanning of the I/O tags.

6. Test for correct data display on Workstation Displays including communications status. The screens shall also be confirmed as operational and displaying correctly on the workstation setup for the Chief of Wastewater Operations located at the Grahamsville Annex Building.

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7. Perform complete point-to-point testing of all I/O points.

8. Test for proper valve status display and precipitation recording display in accordance with the Control Strategies defined in these Specifications.

9. Upon approval of the PM, remotely disable and disconnect the existing SCADA System from the GWWTP PLC.

UU-1.3 TAG SUMMARY LISTING

The Tag Summary Listing below describes data points being monitored at this Site, and is not an exhaustive list. The actual number of Tags required may vary. The Contractor shall include provisions allowing unlimited System expansion. A complete SCADA Tag Listing is included in Appendix VI, Tag Summary.

A. The Grahamsville Wastewater Treatment Plant PLC and standalone SCADA system monitor

the following facility information from the Control Building:

1. GWWTP_CONTROL – Facility Alarms 2. GWWTP_CONTROL – Facility Operations 3. GWWTP_CONTROL – Flow Rates 4. GWWTP_CONTROL – Precipitation Measurement 5. GWWTP_CONTROL – Water Quality Parameters 6. GWWTP_CONTROL – Calculated Variables

B. The Grahamsville Wastewater Treatment Plant PLC and standalone SCADA system

monitors the following facility information from the Headworks Building:

1. GWWTP_HEADWORKS – Facility Alarms 2. GWWTP_HEADWORKS – Facility Operations 3. GWWTP_HEADWORKS – Pump Status 4. GWWTP_HEADWORKS – Flow Rates 5. GWWTP_HEADWORKS – Levels 6. GWWTP_HEADWORKS – Water Quality Parameters 7. GWWTP_HEADWORKS – Calculated Variables

C. The Grahamsville Wastewater Treatment Plant PLC and standalone SCADA system

monitors the following facility information from the Sludge Processing Building:

1. GWWTP_SLUDGE – Facility Alarms 2. GWWTP_SLUDGE – Facility Operations 3. GWWTP_SLUDGE – Pump Status 4. GWWTP_SLUDGE – Flow Rates 5. GWWTP_SLUDGE – Levels 6. GWWTP_SLUDGE – Water Quality Parameters 7. GWWTP_SLUDGE – Calculated Variables

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D. The Grahamsville Wastewater Treatment Plant PLC and standalone SCADA system monitors the following facility information from the Microfiltration Building:

1. GWWTP_MICRO – Facility Alarms 2. GWWTP_MICRO – Facility Operations 3. GWWTP_MICRO – Pump Status 4. GWWTP_MICRO – Flow Rates 5. GWWTP_MICRO – Levels 6. GWWTP_MICRO – Water Quality Parameters 7. GWWTP_MICRO – Calculated Variables

E. The Grahamsville Wastewater Treatment Plant PLC and standalone SCADA system

monitors the following facility information from the Rocky Hill Pumping Station:

1. GWWTP_ROCKY_HILL – Facility Alarms 2. GWWTP_ROCKY_HILL – Facility Operations 3. GWWTP_ROCKY_HILL – Pump Status 4. GWWTP_ROCKY_HILL – Flow Rates 5. GWWTP_ROCKY_HILL – Levels 6. GWWTP_ROCKY_HILL – Water Quality Parameters 7. GWWTP_ROCKY_HILL – Calculated Variables

F. The Grahamsville Wastewater Treatment Plant PLC and standalone SCADA system

monitors the following facility information from the Route 42 Pumping Station:

1. GWWTP_RTE_42 – Facility Alarms 2. GWWTP_RTE_42 – Facility Operations 3. GWWTP_RTE_42 – Pump Status 4. GWWTP_RTE_42 – Flow Rates 5. GWWTP_RTE_42 – Levels 6. GWWTP_RTE_42 – Water Quality Parameters 7. GWWTP_RTE_42 – Calculated Variables

UU-1.4 SCADA DISPLAY SCREENS

The Contractor shall provide configured display screens depicting the monitored Tags for each of the facilities monitored by the GWWTP PLC. The Contractor shall export screens from the Grahamsville SCADA system. A screen displaying critical alarms that are required to be monitored by the WSCC in providing 24hr/ 7day coverage shall be configured. Sample display screens are shown in Appendix VII, Sample HMI Screens. Actual display screens produced by the Contractor shall be submitted to, and approved by, the PM prior to Site start-up.

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SECTION VV – KINGSTON DISASTER RECOVERY CONTROL CENTER (DRCC) REQUIREMENTS VV-1.1 GENERAL

A. FACILITY/SITE LOCATION INFORMATION 1. The Server Room for the Kingston Disaster Recovery Control Center (DRCC) is located

in a secure location in the DEP Kingston Office Building. Networking connectivity to the head end of the SCADA network and DEP WAN are available at the Server location.

2. Workstations for the DRCC shall be located in the OIT Training Room. DRCC

Workstations shall be connected to the SCADA and Historian Servers via Ethernet over existing CAT5/CAT6 wiring.

3. Remote Workstations and desktop PCs at DRCC shall connect to, and retrieve, data from

the Historian Server via the DEP WAN. 4. The Contractor shall coordinate all Site visits with the PM.

B. SITE SPECIFIC PAYMENT REQUIREMENTS

1. Payment Item #4: Payment for Work performed at the DRCC described in this Section

VV-1.1(B)(1) will be made in accordance with Appendix III, Schedule of Payments, as approved by the PM. Specific tasks required to be completed for payment include the following: (a) All required equipment and software listed in Equipment and Software Table 2 in

Section VV-1.2 shall be delivered, installed, and operational, as approved by the PM.

(b) All installation Work described in Sections VV-1.4 through VV-1.6 shall be completed, as approved by the PM.

(c) Historical data residing on the existing DYNAC SCADA system and Reservoir

Storage and Spill Tables shall be imported as described in Section N-1.3(Q) CS-17 – Importing Historical Data, as approved by the PM.

2. Payment Item #28: Payment for Work performed at the DRCC described in this Section VV-1.1(B)(2) will be made in accordance with Appendix III, Schedule of Payments, as approved by the PM. The Contractor will also be paid for additional costs required to complete the Work under this Section as described in Section D-1.2(C), Contract Item A-1, Miscellaneous Equipment Allowance. Specific tasks required to be completed for payment include the following: (a) All work to monitor, control, and display information from Remote Locations

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described in Sections P through UU shall be completed.

(b) Any training required to provide continuous operation of the SCADA System during installation that is not included in Section G, Training shall be completed.

(c) Communications with the Grahamsville Water Supply Control Center (WSCC) shall be completed and tested.

(d) All Control Strategies described in Section N including all reports and graphs shall be completed and tested.

(e) Importing historical data for the West of Hudson (WOH) SCADA, East of Hudson (EOH) SCADA, Water Quality (WQ) SCADA, and Wastewater Treatment Plant (WWTP) SCADA systems, all as described in Section N-1.3(Q) CS-17 – Importing Historical Data, shall be completed.

(f) Required software to be installed on DEP Workstations shall be setup, installed, and tested.

(g) All remaining installation Work described in this section shall be completed.

C. SITE SPECIFIC ELECTRICAL WORK

1. The Contractor shall use existing Ethernet network cabling from the Server Room to

connect Workstations installed under this Section VV.

2. The Contractor utilize existing UPS power supplies to provide power to Servers, Workstations, and networking equipment located in the Server Room and at office locations.

3. The Contractor shall provide and install all power cords for equipment and

signal/cross-connect cables required to achieve proper communications between System Devices.

VV-1.2 EQUIPMENT AND SOFTWARE REQUIRED The following table details the minimum set of equipment and software that are required to be furnished and/or installed by the Contractor at DRCC. The Contractor shall provide additional equipment and software as requested by the PM. The technical specifications for the equipment and software listed are provided in prior sections as referenced in the table below. Any ancillary services or devices such as cables, peripheral equipment, or configuration necessary to provide a complete working System shall be provided by the Contractor and included in its lump sum bid price.

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Equipment and Software Table 2

Line Description Quantity Contract Section

1 Desktop Operator Workstations 4 H-1.1

2 Monitors 8 H-1.1, H-1.2

3 SCADA Server 1 I-1.2

4 HISTORIAN Server 1 I-1.3

5 Wonderware – ArchestrA System Platform 2014 r2, Part No. SP-5675A, with Enterprise Level Historian for 50K Tags and 50K I/O

1 J

6 Wonderware – Development Studio 2014r2 Unlimited, Unlim/60K/500 1 J

7 Wonderware – Historian Server 2014r2 Standard, 50K Tags, Enterprise for replication from Master

1 J

8 Wonderware – Historian Server Standard, 5K Tag for Water Quality 1 J

9 Wonderware – (15 Concurrent Users) InTouch for System Platform 2014r2 w/ Historian Client RDS Concurrent (Access Anywhere included)

1 J

10 Wonderware – (15 Concurrent Users) InTouch for System Platform 2014r2 Read-only w/Historian Client RDS Concurrent (on Reporting server for remote users to READ ONLY in DMZ)

1 J

11 Dream Report for Wonderware, 5K Tags, v4.7 or latest compatible 1 J

12 Dream Report for Wonderware Web Client, (10 Concurrent Users), v4.7 or latest compatible

1 J

13 SmartGlance Subscription, named users, 15 Pack (licensed per mobile device name)

1 J

14 Wonderware Fail-over licenses for Disaster Recovery servers 1 J

15 One year of Customer First Support Premium Level for all aforementioned Wonderware products

1 J

16 ArcServe (4 Servers – adequate license to span entire system) 1 K-1.2

17 ACP Thin Manager -15 User Pack with Support for one year 1 K-1.3

18 Microsoft Server 2012 R2 (per each server) 2 K-1.4

19 Microsoft SQL 2012 (per each server) 2 K-1.4

20 Microsoft 2012 RDS CALS (15 Users) 1 K-1.4

21 24-Port Managed Switch 1 L-1.2B

22 Power Distribution Unit 1 L-1.2C

23 Back-Up Tape Drive 1 L-1.2D

24 KVM Keyboard and Console HP TFT7600 G2 and Monitor AZ807A 1 L-1.2E

25 KVM Console Switch 1 L-1.2E

26 Media Interface Adapter – AF603A 2 L-1.2E

27 Network Firewall Appliance 2 L-1.2F

VV-1.3 IMPLEMENTATION / INSTALLATION SUMMARY

Work at the DRCC shall include:

A. Installation, configuration, and startup of a SCADA Server, Historian Server, local Workstations, remote Workstations, and Smart Devices.

B. Providing necessary network connections between Servers, Workstations, DEP network printers, and to Remote Locations.

C. Providing interconnection to and operation with the WSCC as described in Section O.

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D. Installation work at the DRCC shall not interfere with normal operations conducted by the WSCC.

E. Prior to installation of the upgraded SCADA System, all Wonderware configurations, Control Strategy functions, networking equipment, communication parameter configuring, and display screens shall be installed and tested.

VV-1.4 PRE-INSTALLATION Prior to commencement of Work at the DRCC, the Contractor shall complete the following preliminary Work:

A. Factory testing of the Servers and SCADA System under Section E, Factory Testing. All

deficiencies shall be corrected to the satisfaction of the PM.

B. Necessary communications services shall be operational, provisioned, installed, and tested.

C. All software, equipment, wiring, cables, and appurtenances necessary to complete installation of the SCADA System shall be on-Site.

VV-1.5 SERVER ROOM INSTALLATION WORK The Contractor shall install Servers, network equipment, firewall devices, and associated wiring and cabling in the Server Room at the DRCC as follows: A. SERVER INSTALLATION

The Contractor shall install the SCADA Server and the Historian Server listed in Equipment and Software Table 2 in the Server Room. 1. The Contractor shall install the SCADA Server in the secure rack located in the Server

Room. The SCADA Server shall have the required operating system, SCADA software, database software, and other software installed and configured.

2. The Contractor shall install the Historian Server in the non-secure rack located in the

Server Room. The Historian Server shall have the required operating system, SCADA software, database software, and other software installed and configured.

B. COMPUTER NETWORKING EQUIPMENT INSTALLATION

The Contractor shall install Networking Equipment listed in Equipment and Software Table 2 in the Server Room. The Contractor shall: 1. Install a PDU in the designated secure SCADA rack. The PDU shall be powered by an

existing rack mounted UPS system located in the rack. The PDU shall provide power to equipment mounted in the rack.

2. Install a 24-port Managed Switch in the designated secure SCADA rack.

3. Install a drawer-type KVM and console switch in the secure SCADA rack and a KVM

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and console switch in the Historian Server rack.

4. Install two (2) firewall devices in the designated secure SCADA rack and connect them as directed by the PM and detailed in the Conceptual Network Layout Diagram in Appendix IX. The Contractor shall configure the firewall devices to provide a demilitarized zone (DMZ) for access to data on the Historian Server.

5. Install a backup tape drive in the designated secure SCADA rack.

6. Provide connections for all installed equipment as directed by the PM and detailed in the

Conceptual Network Layout Diagram in Appendix IX. The Contractor shall utilize existing CAT5/CAT6 wiring for communications from the Server equipment to Workstations in the OIT Training Room.

VV-1.6 DISASTER RECOVERY CENTER (DRCC) INSTALLATION WORK

The Contractor shall install Workstations listed in Equipment and Software Table 2 in the DRCC at the Kingston Office Building as follows: A. WORKSTATION INSTALLATION

The Contractor shall install two (2) desktop Workstations each equipped with three (3) monitors installed on triple monitor stands.

B. MISCELLANEOUS DRCC INSTALLATION WORK

The Contractor shall: 1. Connect communications services between the installed Workstations and the Servers

through existing CAT5/CAT6 wiring. Installation shall be as directed by the PM and detailed in the Conceptual Network Layout Diagram in Appendix IX.

2. Demonstrate connectivity and operation of the Workstation computers with the SCADA Server, and connectivity and operation of WAN-connected Client computers and devices with the Historian Server.

3. Demonstrate connectivity of Workstations in the DRCC to the Servers at the WSCC for continuity of service during normal operations.

VV-1.7 ADDITIONAL INSTALLATION WORK REQUIREMENTS

The Contractor shall install Workstations listed in Equipment and Software Table 2 in other areas at the Kingston Office Building

A. ADDITIONAL DESKTOP WORKSTATIONS

1. The Contractor shall install a desktop Workstation in the Director of Water Quality

Operations office equipped with one (1) monitor installed with the standard monitor stand.

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2. The Contractor shall furnish a desktop Workstation for the Water Quality SCADA System Administrator at a Remote Location equipped with one (1) monitor installed with the standard monitor stand. The Contractor shall set up, configure, and demonstrate the Workstation in the DRCC using a secure connection to the SCADA System that will be established by DEP. DEP will relocate the Workstation to the Remote Location, and establish the communication link to the Remote Location.

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APPENDIX I – Locations of Work

Control Center Facilities Requiring SCADA Communications Hardware Installation (Contractor Required On Site) Water Supply Control Center (WSCC) - Grahamsville 7870 Route 42, Grahamsville, NY 12740 Disaster Recovery Control Center (DRCC) - Kingston 71 Smith Avenue, Kingston, NY 12401

Facilities Requiring Remote SCADA Communications Configuration Only (Contractor Not Required On Site) Grahamsville Division Office / Shop Contractor not required on site. Configure via network connection. Rondout Effluent Chamber Contractor not required on site. Configure via network connection. West Delaware Tunnel Outlet Contractor not required on site. Configure via network connection. Neversink Intake Chamber Contractor not required on site. Configure via network connection. East Delaware Intake Chamber Contractor not required on site. Configure via network connection. East Delaware Release Chamber Contractor not required on site. Configure via network connection. West Delaware Intake Chamber Contractor not required on site. Configure via network connection. West Delaware Release Chamber Contractor not required on site. Configure via network connection. Ashokan Lower Gate Chamber Contractor not required on site. Configure via network connection. Shandaken Tunnel Portal Contractor not required on site. Configure via network connection. Prattsville USGS Station Contractor not required on site. Configure via network connection. Shandaken Tunnel Intake Station Contractor not required on site. Configure via network connection. Gilboa Dam Monitoring Site Contractor not required on site. Configure via network connection. Lomontville USGS Station Contractor not required on site. Configure via network connection. Hudson River Pumping Station Contractor not required on site. Configure via network connection. Delaware Aqueduct – HGL Shaft 1 Contractor not required on site. Configure via network connection. Delaware Aqueduct – HGL Shaft 2A Contractor not required on site. Configure via network connection. Delaware Aqueduct – HGL Shaft 4 Contractor not required on site. Configure via network connection. Delaware Aqueduct – HGL Shaft 5A Contractor not required on site. Configure via network connection. Delaware Aqueduct – HGL Shaft 6 Contractor not required on site. Configure via network connection. Delaware Aqueduct – HGL Shaft 8 Contractor not required on site. Configure via network connection. Carmel Water Tower Site Contractor not required on site. Configure via network connection. Somers Water Tower Site Contractor not required on site. Configure via network connection. Katonah Water Tower Site Contractor not required on site. Configure via network connection. Shaft 18 Valhalla Contractor not required on site. Configure via network connection. Mahopac WWTP Contractor not required on site. Configure via network connection. Tannersville WWTP Contractor not required on site. Configure via network connection. Pine Hill WWTP Contractor not required on site. Configure via network connection. Margaretville WWTP Contractor not required on site. Configure via network connection. Grand Gorge WWTP Contractor not required on site. Configure via network connection. Port Jervis WWTP Contractor not required on site. Configure via network connection. Grahamsville WWTP Contractor not required on site. Configure via network connection.

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APPENDIX II – Bid Breakdown of Lump Sum

Item # DescriptionQuantity

(a)Unit Price

(b)Total Price

(a) + (b)

1 SOFTWARE PURCHASE PRICE 1 $ $

1 HARDWARE PURCHASE PRICE 1 $ $

1 SOFTWARE CONFIGURATION 1 $ $

1 HARDWARE INSTALLATION 1 $ $

1 FACTORY TESTING/STARTUP/TRAINING 1 $ $

A-1 MISCELLANEOUS EQUIPMENT ALLOWANCE N/A N/A 50,000.00$

A-2 TRAVEL, MEALS, LODGING ALLOWANCE N/A N/A 10,000.00$

TOTAL PRICE $

BID BREAKDOWN OF LUMP SUM

CONTRACT NO. DEL-360 BWS SCADA SYSTEM SOFTWARE AND HARDWARE UPGRADE

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APPENDIX III – Schedule of Payment

Payment Item #

Description of Work/Payment Payment Amount

1 Factory Testing Reference Contract Section E for details. 3% of Bid Total (Not including Allowances)

2 Delivery of Equipment Reference Contract Sections H, I, J, K, L, O and VV for details. 30% of Bid Total (Not including Allowances)

3 Installation Work at WSCC as per Section O-1.1(B.1) Reference Contract Section O for details. 12% of Bid Total (Not including Allowances)

4 Installation Work at DRCC as per Section VV-1.1(B.1) Reference Contract Section VV for details. 5% of Bid Total (Not including Allowances)

5 Checkout, Startup, and Field Testing Reference Contract Section F for details. 2% of Bid Total (Not including Allowances)

6 Remote Location Configuration, Activation, and Acceptance Reference Contract Sections P and S for details. 1% of Bid Total (Not including Allowances)

7 Location Configuration, Activation, and Acceptance Reference Contract Sections R, V and W for details. 0.5% of Bid Total (Not including Allowances)

8 Remote Location Configuration, Activation, and Acceptance Reference Contract Sections R, T and U for details. 0.5% of Bid Total (Not including Allowances)

9 Remote Location Configuration, Activation, and Acceptance Reference Contract Section Q for details. 0.5% of Bid Total (Not including Allowances)

10 Remote Location Configuration, Activation, and Acceptance Reference Contract Sections Y, Z, AA and BB for details. 1.5% of Bid Total (Not including Allowances)

11 Remote Location Configuration, Activation, and Acceptance Reference Contract Sections EE, FF, GG, HH, II and JJ for details. 2% of Bid Total (Not including Allowances)

12 Remote Location Configuration, Activation, and Acceptance Reference Contract Section KK for details. 2.5% of Bid Total (Not including Allowances)

13 Remote Location Configuration, Activation, and Acceptance Reference Contract Section LL for details. 1% of Bid Total (Not including Allowances)

14 Remote Location Configuration, Activation, and Acceptance Reference Contract Section MM for details. 2% of Bid Total (Not including Allowances)

15 Remote Location Configuration, Activation, and Acceptance Reference Contract Section NN for details. 1.5% of Bid Total (Not including Allowances)

16 Remote Location Configuration, Activation, and Acceptance Reference Contract Section TT for details. 0.5% of Bid Total (Not including Allowances)

17 Remote Location Configuration, Activation, and Acceptance Reference Contract Section OO for details. 0.5% of Bid Total (Not including Allowances)

18 Remote Location Configuration, Activation, and Acceptance Reference Contract Section UU for details. 0.5% of Bid Total (Not including Allowances)

19 Remote Location Configuration, Activation, and Acceptance Reference Contract Section PP for details. 0.5% of Bid Total (Not including Allowances)

20 Remote Location Configuration, Activation, and Acceptance Reference Contract Section RR for details. 0.5% of Bid Total (Not including Allowances)

21 Remote Location Configuration, Activation, and Acceptance Reference Contract Section QQ for details. 0.5% of Bid Total (Not including Allowances)

22 Remote Location Configuration, Activation, and Acceptance Reference Contract Section SS for details. 0.5% of Bid Total (Not including Allowances)

23 Remote Location Configuration, Activation, and Acceptance Reference Contract Section X for details. 1% of Bid Total (Not including Allowances)

24 Remote Location Configuration, Activation, and Acceptance Reference Contract Section CC for details. 0.5% of Bid Total (Not including Allowances)

25 Remote Location Configuration, Activation, and Acceptance Reference Contract Section DD for details. 0.5% of Bid Total (Not including Allowances)

26 Complete Training Requirements Reference Contract Section G for details. 3.5% of Bid Total (Not including Allowances)

27 Installation Work at WSCC as per Section O-1.1(B.2) Reference Contract Section O for details. 15% of Bid Total (Not including Allowances)

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Payment Item #

Description of Work/Payment Payment Amount

28 Installation Work at DRCC as per Section VV-1.1(B.2) Reference Contract Section VV for details. 11% of Bid Total (Not including Allowances)

A-1 Allowance Item Work Reference Section D-1.2(C) $50,000

A-2 Allowance Item Work Reference Section D-1.2(D) $10,000

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APPENDIX IV - Remote Locations SCADA Network Communications

Contract Section Site/Facility Name Network Connection Connection Speed Committed Access Rate (CAR)

Section O Water Supply Control Center (WSCC) metro-E 20 Mbps 18 Mbps Section P Grahamsville Office/Shop metro-E 3 Mbps 2.048 Mbps Section Q Rondout Effluent Chamber metro-E 3 Mbps 1.536 Mbps Section R West Delaware Tunnel Outlet metro-E 3 Mbps 1.536 Mbps Section S Neversink Intake Chamber metro-E 3 Mbps 1.536 Mbps Section T East Delaware Intake Chamber metro-E 3 Mbps 1.536 Mbps

Section U East Delaware Release Chamber metro-E 3 Mbps 2.688 Mbps Section V West Delaware Intake Chamber metro-E 3 Mbps 1.536 Mbps Section W West Delaware Release Chamber metro-E 3 Mbps 1.536 Mbps Section X Ashokan Lower Gate Chamber metro-E 10 Mbps 6.144 Mbps Section Y Shandaken Tunnel Portal metro-E 3 Mbps 1.536 Mbps Section Z Prattsville USGS Station metro-E 3 Mbps 1.536 Mbps

Section AA Schoharie Intake Chamber metro-E 3 Mbps 2.688 Mbps Section BB Gilboa Dam Monitoring Station metro-E 10 Mbps 5.048 Mbps Section CC Lomontville USGS Station metro-E 1 Mbps 896 Kbps Section DD Hudson River Pumping Station metro-E 3 Mbps 2.688 Mbps Section EE Shaft 1 HGL Monitoring Site metro-E 1 Mbps 896 Kbps Section FF Shaft 2A HGL Monitoring Site metro-E 3 Mbps 1.536 Mbps Section GG Shaft 4 HGL Monitoring Site metro-E 3 Mbps 1.536 Mbps Section HH Shaft 5A HGL Monitoring Site metro-E 1 Mbps 896 Kbps Section II Shaft 6 HGL Monitoring Site metro-E 3 Mbps 2.688 Mbps Section JJ Shaft 8 HGL Monitoring Site metro-E 3 Mbps 896 Kbps Section KK Carmel Water Tower Site metro-E 3 Mbps 1.536 Mbps Section LL Somers Water Tower Site metro-E 3 Mbps 1.536 Mbps Section MM Katonah Water Tower Site metro-E 3 Mbps 1.536 Mbps Section NN Shaft 18 Valhalla metro-E 100 Mbps 10.752 Mbps Section OO Mahopac WWTP metro-E 3 Mbps 2.688 Mbps Section PP Tannersville WWTP metro-E 3 Mbps 2.688 Mbps

Section QQ Pine Hill WWTP metro-E 3 Mbps 2.688 Mbps Section RR Margaretville WWTP metro-E 3 Mbps 1.536 Mbps Section SS Grand Gorge WWTP metro-E 3 Mbps 2.688 Mbps Section TT Port Jervis WWTP metro-E 3 Mbps 2.688 Mbps Section UU Grahamsville WWTP metro-E 20 Mbps 18 Mbps Section VV Kingston Control Center (DRCC) metro-E 100 Mbps 10.752 Mbps

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APPENDIX V - List and Description of Device Types

Device Description Input State(s) Output State(s)ALARM Alarm Status (normal open contacts) 1 bit; 0=Normal, 1=Alarm Not Applicable

ALARM2 Alarm Status (normal closed contacts) 1 bit; 0=Alarm, 1=Normal Not ApplicableAUTO Automatic Mode Status and Control 1 bit; 0=Manual, 1=Auto 2 bits; 01=Manual, 10=Auto

COMM STATUS Communications Status 1 bit; 0=Online, 1=Offline Not ApplicableENABLE Enable Status and Control Function (normal open contacts) Not Applicable 1 bit; 01=Enable

ENABLE2 Enable Status and Control Function (normal closed contacts) 2 bits; 01=Enabled, 10=Cancel 2 bits; 01=Enable, 10=CancelE_STOP Emergency Stop Status and Control 2 bits; 01=Enabled, 10=Cancel 2 bits; 01=Enable, 10=CancelFLOW Flow Monitoring Status 1 bit; 0=No Flow, 1=Flow Not ApplicableGATE Gate Status and Control Function 1 bit; 0=Open, 1=Close 2 bits; 01=Open, 10=Close

GCG_CNTL Gilboa Crest Gate Control [Specific to Site 18114.2] Not Applicable3 bits; 001=Inflate, 010=Stop, 100=Deflate

LOC_REM Local Remote Switch Status 1 bit; 0=Local, 1=Remote Not Applicable

MODE_S2 Mode Selector Command [Specific for Site 18110.0] Not Applicable4 bits; 0001-Inflate, 0010=Stop, 0100=Deflate, 1000=Cancel

MODE_SEL Mode Selector Command. [Specific to Sites 18102.2 and 18104.1] Not Applicable4 bits; 001=Single Mode, 0010=Series Mode, 0100=Tandem Mode, 1000=Cancel

ON_OFF On Off Status 1 bit; 0=Off, 1=On Not ApplicableON_OFF2 On Off Status and Command Function 2 bits; 01=Off, 10=On 2 bits; 01=Off, 10=On

PID_SRC Manual or Flow Control Mode Status and Control Function 1 bit; 0=Manual Mode, 1=Flow Mode2 bits; 01=Manual Mode, 10=Flow Mode

PID_SRC2 Position or Flow Control Mode Status and Control Function 1 bit; 0=Position Mode, 1=Flow Mode2 bits; 01=Position Mode, 10=Flow Mode

POWER Power Status 1 bit; 0=Power On, 1=Power Off Not ApplicablePUMP1 Pump Status and Control Function 1 bit; 0=Pump Off, 1=Pump On 2 bits; 01=Pump Start, 10=Pump StopRESET Reset Command Not Applicable 1 bit; 1=Reset

RES_MODE Reservoir Mode Status Function2 bits; 00=Weir, 01=Reservior Mode, 10=Byass Mode, 11=Float Mode

Not Applicable

RUNNING Running Status Function 1 bit; 0=Off, 1=On Not ApplicableSTATE Status Function 1 bit; 0=Off, 1=On Not Applicable

TREND Trending Status Function2 bits; 00=Null, 01=Trending Up, 10=Trending Down, 11=Null

Not Applicable

VALVE1 Valve Position Status Function2 bits; 00=Error, 01=Valve Full Open, 10=Valve Full Closed, 11=Valve Moving

Not Applicable

VALVE2 Valve Position Control Function 1 bit; 0=Control Off, 1=Control On3 bits; 001=Valve Open Command, 010=Valve Close Command, 100=Valve Stop Command

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APPENDIX VI – Tag Summary WOH PointLog Field Descriptions The WOH PointLog Listing is a linear database listing of the DYNAC SCADA System. The database has similar fields for each point type in the system. Only active features enabled per point are included in the listing. A Sample Point is illustrated below with typical Field Layouts including descriptions for each field being shown. This illustration contains fields from different point types and is only intended to identify the field definitions. This is not representative of an actual point in the database. Sample Point illustration: TAG_NAME_16_CHAR, RTU, TYPE, UNIT, DESCRIPTIVE CHARACTER FIELD UP TO 80 CHAR INPUT: 501 = Point Number OUTPUT: 550-3 = Digital output REG-BIT OUTPUT: 550-4 = Digital output REG-BIT DEVL: 270.000000,30.000000 = Deviation Alarm Setpoint, Deviation Limit ROCT: 60 = Rate of Change Alarm Time ROCU = Rate of Change UP ROCD = Rate of Change DWN DTYP: VW = Data Type; VW=Variable Word, 517-12=reg517-bit12, VF=Floating Point INST = Instrument Signal Alarm enabled LVL1: 0.100000,3.000000 = Level 1 Alarm Setpoints LVL2: 0.100000,5.000000 = Level 2 Alarm Setpoints LVL3: 0.100000,10.000000 = Level 3 Alarm Setpoints COUNTS: 0,10000 = RANGE: 0.000000,14.000000 = Analog Point Range EXDB: 0.000000 = HSYS: 1 = ADEL: 900 = Alarm Delay in sec. CATE: 2 = Alarm Category Number VIEW: GSBPANALM = Associate HMI View for point. Jumps from Alarm Banner to Display Screen. ALARM = Alarms Enabled ALMR = Alarms Return to Normal Enabled

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WOH Sample PointLog Database Listing: NTONTOFLOWANALOG 2 V MGD [SOP-69] NEVERSINK TUN OUTLET FLOW ANALOG INPUT: 501 DEVL: 270.000000,30.000000 ROCT: 60 ROCU DTYP: VW COUNTS: 0,60000 RANGE: 0.000000,600.000000 EXDB: 0.000000 HSYS: 1, 2 CATE: 2 ALARM ALMR NTOTURBIDANALOG 2 V NTU [SOP-26] NTO TURBIDITY SIGNAL. ALARMS VALID ONLY WHEN TUNNEL = ON !!! INPUT: 502 DTYP: VW INST LVL1: 0.100000,3.000000 LVL2: 0.100000,5.000000 LVL3: 0.100000,10.000000 COUNTS: 0,10000 EXDB: 0.000000 HSYS: 1 ADEL: 900 CATE: 2 ALARM ALMR NTOPHANALOG 2 V PH NEVERSINK TUN OUTLET PH SIGNAL INPUT: 503 DTYP: VW COUNTS: 0,1400 RANGE: 0.000000,14.000000 EXDB: 0.000000 HSYS: 1 CATE: 2 NTOORPANALOG 2 V MV NEVERSINK TUN OUTLET ORP INPUT: 504 DTYP: VW INST COUNTS: 0,30000 RANGE: 0.000000,300.000000 EXDB: 0.000000 HSYS: 1 CATE: 2 NTOCONDUCTANALOG 2 V US/CM [SOP 26] - NEVERSINK TUN OUT CONDUCTIVITY INPUT: 505 DTYP: VW LVL1: 2.000000,147.000000 COUNTS: 0,14700 RANGE: 0.000000,147.000000 EXDB: 0.000000 HSYS: 1 ADEL: 900 CATE: 2 ALARM ALMR

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Wonderware Sample Exported Tag: The East of Hudson SCADA System, Water Quality Monitoring System, and seven (7) West of Hudson Wastewater Treatment Facilities are Wonderware systems. The existing Tags on these systems shall be exported / imported into the upgraded SCADA System furnished under this Contract. Below is a partial listing of a typical exported tag list from one of the Wastewater Treatment facilities.

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APPENDIX VII – Sample HMI Screens

APPENDIX VII – Sample HMI Screens - Part A – West of Hudson (WOH) SCADA Screens

GENERAL INFORMATION A. This Appendix contains a collection of sample SCADA screens utilized by operations personnel for

monitoring and controlling remote water supply facilities in the Western Operations Directorate. These screens display and provide information to the operator as animated text and graphics, allow the operator to interact with these items and obtain advanced status information, and permit operational control functions to be performed on remote processes. Interaction with various objects on the display screens are configured to trigger links to graphs, other display screens, editing functions, control windows, and to bring screen layers into view.

B. A brief description of each screen is provided to outline the purpose of the screen and specific

functions available to operators on the screen. C. This Appendix contains eight (8) sample screens depicting typical complexity of screens. The WOH

SCADA System has a total of 188 screens currently in use. D. DEP will provide the Contractor with access to all WOH SCADA Screens to aid the development of

screens on the upgraded SCADA System.

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APPENDIX VII – Sample HMI Screens - Part A – WOH SCADA Screens (Continued)

SYSTEM OVERVIEW SCREEN The System Overview Screen displays information about the Western Operations Directorate on a single page. Information is displayed in a row and column layout. Note the Standard Link Button at the bottom of the Page, which is standard on almost all screens. Under the SITE NAME Column Heading, each name is a link to the facility main screen. Under the SITE ALARM Column Heading, a red ALARM indicates there is an active alarm at the site; green NORMAL indicates all alarms are clear; each cell is a link to the facility Alarm Screen. Other Column Headings show where applicable, for example: Reservoir Level, Reservoir Storage, Reservoir Spill, Daily Precipitation, Flow Rate Data, and Daily Flow Totals. These headings also link to the graphs of the respective data. Miscellaneous link buttons call up Display Screens of the named system.

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APPENDIX VII – Sample HMI Screens - Part A – WOH SCADA Screens (Continued)

NETWORK OVERVIEW SCREEN The Network Overview Screen shows the status of all communications for the WOH SCADA System. An application running in the background pings the IP of the Router, HUB, and PLC, and displays status where green is normal and red is alarm. The application also interacts with automatic dial backup communications. Hidden links in the left margin bring up Reservoir Location Maps. This screen also has links to a graph showing dial-up communication progress status and dial backup communications status.

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APPENDIX VII – Sample HMI Screens - Part A – WOH SCADA Screens (Continued)

RESERVOIR ELEVATION SCREEN The Reservoir Elevation Screen is a cross sectional representation of the WOH Reservoirs. Information available on this screen includes: animated level, Storage, Spill, Level, Calculated Void, and Diversion Rates. In addition to the standard links, there are links to a Supply Overview Screen, Reservoir Level Calibration Screen, and a Reservoir Level Trend Graph.

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APPENDIX VII – Sample HMI Screens - Part A – WOH SCADA Screens (Continued)

WATER QUALITY OVERVIEW SCREEN The Water Quality Overview Screen shows System Water Quality information to the Control Room Operator. The Valve bow-tie graphic indicates when water is being withdrawn from the location.

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APPENDIX VII – Sample HMI Screens Part A – WOH SCADA Screens (Continued)

RONDOUT EFFLUENT CHAMBER ALARM PANEL SCREEN The Rondout Effluent Chamber Alarm Panel Screen is typical for most Remote Locations. The screen layout mimics the physical PANALARM Annunciator Panels found at the Remote Locations. There are quick links to these display screens from the “SITE ALARM” column on the System Overview Page. The following locations in Western Operations have these alarm panel displays:

1. Ashokan – City Houses, Ben Nesin Lab, Shop Building, Police Precinct.

2. Downsville Office, Shop Building, Annex Building, Police Precinct.

3. East Delaware Tunnel Outlet. 4. East Delaware Intake Chamber. 5. East Delaware Release Chamber. 6. Gilboa Dam. 7. Grahamsville Police, Annex Building. 8. Hudson River Pumping Station.

9. Neversink Intake Chamber. 10. Neversink Tunnel Outlet. 11. Port Jervis Sewage Treatment Plant. 12. Shandaken Tunnel Intake Chamber. 13. Shandaken Tunnel Portal 14. West Delaware Intake Chamber. 15. West Delaware Release Chamber. 16. West Delaware Release Chamber.

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APPENDIX VII – Sample HMI Screens Part A – WOH SCADA Screens (Continued)

RESERVOIR MAP DISPLAY SCREEN The Reservoir Map Display Screen shows the various facilities located on a map of the associated Reservoir. Links to these screens are from the System Overview Page. Information displayed include animated site locator box; Green indicating Normal Status; and Red indicating a live alarm being present. Levels, Storages, Calculated Void, Flow Rates, and Reservoir Trend information are also provided. The Contractor shall configure similar screens for all Reservoirs.

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APPENDIX VII – Sample HMI Screens Part A – WOH SCADA Screens (Continued)

EAST DELAWARE TUNNEL OUTLET VALVE CONTROL SCREEN (Section R) The East Delaware Tunnel Outlet Valve Control Screen displays a graphic of the NYC Bypass Valve Control Panel. The WSCC Operator has the ability to enable remote control operation and OPEN and CLOSE the NYC Bypass Valves. The Modes of Control available are “Single”, “Series”, or “Parallel” modes as defined in the Control Strategies. Controls for the different Modes become visible as they are selected. There is also a link provided to a Diagnostic Screen.

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APPENDIX VII – Sample HMI Screens - Part A – WOH SCADA Screens (Continued)

EAST DELAWARE RELEASE CHAMBER VALVE CONTROL SCREEN (Section U) The East Delaware Release Chamber Valve Control Screen displays a graphic of Valve Position and Valve Controls. The WSCC Operator has the ability to remotely operate the valves to achieve desired Release Flowrates. The Valves can be operated in POSITION or FLOW Control Modes as defined in the Control Strategies.

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APPENDIX VII – Sample HMI Screens - Part B – East of Hudson (EOH) SCADA Screens GENERAL INFORMATION A. This Appendix contains a collection of sample DYNAC SCADA screens and sample Wonderware

SCADA screens utilized by operations personnel for monitoring remote water supply facilities in the Eastern Operations Directorate. These screens display and provide information to the operator as animated text and graphics, allow the operator to interact with these items and obtain advanced status information, and permit operational control functions to be performed on remote processes. Interaction with various objects on the display screens are configured to trigger jumps to graphs, other display screens, and links to editing functions.

B. A brief description of each screen is provided outlining the purpose of the screen and specific

functions available to operators on the screen. C. This Appendix contains seven (7) sample screens depicting typical complexity of screens. The

SCADA System has a total of fifty-six (56) screens currently in use for displaying East of Hudson operations data.

D. DEP will provide the Contractor with access to all EOH SCADA Screens to aid the development of

screens on the upgraded SCADA System.

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APPENDIX VII – Sample HMI Screens - Part B – EOH SCADA Screens (Continued)

DYNAC - EASTERN OPERATIONS OVERVIEW DISPLAY SCREEN This screen is the DYNAC overview page for Eastern Operations which shows a simple block diagram display of major Eastern Operations data.

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APPENDIX VII – Sample HMI Screens - Part B – EOH SCADA Screens (Continued)

DYNAC - WEST BRANCH RESERVOIR DISPLAY SCREEN This is a DYNAC Screen displaying a simple cross sectional display of the West Branch Reservoir. Reservoir Mode is displayed based upon Gate Positions as described in Section N - Control Strategies.

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APPENDIX VII – Sample HMI Screens - Part B – EOH SCADA Screens (Continued)

EOH SCADA -WONDERWARE – SYSTEM OVERVIEW SCREEN This is the main overview screen for monitoring of the East of Hudson Water Supply System. Each box on the display is a link to the subsystem indicated. General Alarm and communications status are indicated by color.

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APPENDIX VII – Sample HMI Screens - Part B – EOH SCADA Screens (Continued)

EOH SCADA -WONDERWARE – CATSKILL CONNECTION CHAMBER SCREEN The display screen shows water quality parameters on a bar graph display. High and Low alarm limits are shown alongside of each bar.

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APPENDIX VII – Sample HMI Screens - Part B – EOH SCADA Screens (Continued)

EOH SCADA -WONDERWARE – CROTON LAKE GATE HOUSE (CLGH) SYSTEM OVERVIEW DISPLAY SCREEN This display shows a one-line diagram of the CLGH. Links at the bottom of the page change views to other details of the facility.

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APPENDIX VII – Sample HMI Screens - Part B – EOH SCADA Screens (Continued)

EOH SCADA -WONDERWARE – CROTON LAKE GATE HOUSE WEST INTAKE CROSS SECTIONAL DISPLAY SCREEN This display shows a cross sectional view of the West Intake. Status of Reservoir Level, Rotating Screens, and Valves are shown with the ability to select control valves to be remotely operated.

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APPENDIX VII – Sample HMI Screens - Part B – EOH SCADA Screens (Continued)

EOH SCADA - WONDERWARE – CROTON LAKE GATE HOUSE GENERATOR AND BOILER STATUS DISPLAY SCREEN. This display shows status of auxiliary systems servicing the CLGH.

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens GENERAL INFORMATION A. This Appendix contains is a collection of sample SCADA screens utilized by wastewater system

operations personnel for monitoring and controlling seven (7) independent Wastewater Treatment Facilities within the Bureau of Water Supply. These screens display and provide information to the operator as animated text and graphics, allow the operator to interact with these items and obtain advanced status information, and permit operational control functions to be performed on remote processes. Interaction with various objects on the display screens are configured to trigger links to graphs, to other display screens, editing functions, control windows, and to bring screen layers into view.

B. A brief description of each sample screen is provided outlining the purpose of the screen and specific

functions available to operators on the screen. C. This Sample Screens presented are arranged as follows:

a. SECTION OO - Mahopac. Two sample Screens shown. The facility currently has 15 screens in use.

b. SECTION PP - Tannersville.

Two sample Screens shown. The facility currently has 41 screens in use.

c. SECTION QQ - Pine Hill. Two sample Screens shown. The facility currently has 27 screens in use.

d. SECTION RR - Margaretville.

One sample Screen shown. The facility currently has 43 screens in use.

e. SECTION SS - Grand Gorge. Two sample Screens shown. The facility currently has 27 screens in use.

f. SECTION TT - Port Jervis.

Two sample Screens shown. The facility currently has 23 screens in use.

g. SECTION UU - Grahamsville. Two sample Screens shown. The facility currently 16 screens in use.

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION OO-Mahopac – MAIN OVERVIEW SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION OO-Mahopac – PRIMARY TREATMENT SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION PP-Tannersville – FACILITY OVERVIEW SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION PP-Tannersville – PROCESS CONTROLS SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION QQ-Pine Hill – PROCESS OVERVIEW SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION QQ-Pine Hill – MICROFILTRATION SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION RR-Margaretville – HEADWORKS OVERVIEW SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION SS-Grand Gorge – ALARMS OVERVIEW SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION SS-Grand Gorge – PROCESS CONTROLS SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION TT-Port Jervis – PROCESS OVERVIEW SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION TT-Port Jervis – NORTH STREET PUMP STATION OVERVIEW SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION UU-Grahamsville – HEADWORKS OVERVIEW SCREEN

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APPENDIX VII – Sample HMI Screens - Part C – Wastewater SCADA Screens (Continued)

SECTION UU-Grahamsville – SLUDGE BUILDING OVERVIEW SCREEN

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APPENDIX VIII – Sample Reports GENERAL INFORMATION A. This Appendix contains a collection of sample SCADA reports, scripts, and graphs utilized by

Operations personnel for monitoring and controlling of remote Water Supply Facilities in the existing Western Operations Directorate.

B. Reports provide information to operators and managers for Operational Status and for analysis. C. Scripts allow collection and distribution of data to and from outside sources. D. Graphs provide visual display of values over times that are routinely generated for analysis and

reporting purposes. These graphs are typically preset in their format and can be generated/produced without requiring configuration of the graphing software.

E. Not all reports illustrated or described in Section N - Control Strategies are being produced

automatically by the current SCADA System due to software and configuration limitations. F. A brief description of each report, script, and graph is provided identifying the general purpose of

each. This Appendix contains 13 sample reports, 2 sample scripts, and 5 sample graphs.

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SYSTEM OVERVIEW REPORT – WATER SUPPLY OPERATIONS The System Overview Screen displays information about the Western Operations Directorate on a single page.

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SYSTEM OVERVIEW REPORT – WATER QUALITY The Water Quality System Overview Report shows Current Water Quality Parameters. The Report shall be generated automatically at 8:00am, with the ability to run the report for current values at any time.

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SYSTEM OVERVIEW REPORT – WASTEWATER OPERATIONS The Wastewater Operations System Overview Report shows the status of all Wastewater Treatment Plants. Data displayed includes Total Influent, Total Effluent, Effluent Turbidity, and Total Daily Plant Rainfall (Precipitation).

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RESERVOIR ACCOUNTING REPORT – SAMPLE- CANNONSVILLE RESERVOIR This is a sample Cannonsville Reservoir Accounting Report for January 1, 2016, as described in Section N-1.3N (CS-014 – CUSTOM REPORTS CONFIGURATION).

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RIVERMASTER ACCOUNTING REPORT – SAMPLE This is a sample Rivermaster Reservoir Accounting Report for January 1, 2016, as described in Section N-1.3N (CS-014 – CUSTOM REPORTS CONFIGURATION).

DELAWARE RIVER TRANSIT TIME GRAPHIC The Delaware River Transit Time Graphic illustrates the travel time used as part of the Rivermaster Reservoir Accounting Report described in Section N-1.3N (CS-014 – CUSTOM REPORTS CONFIGURATION).

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DIVERSION/ STORAGES/ FFMP SAMPLE REPORT This is a sample Diversion/ Storages/ FFMP Accounting Report for January 2016.

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DAILY WATER REPORT (DWR) - SAMPLE REPORT PAGE 1 OF 6. This is a sample Diversion/ Storages/ FFMP Accounting Report.

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DAILY WATER REPORT (DWR) - SAMPLE REPORT PAGE 2 OF 6 This is a sample Diversion/ Storages/ FFMP Accounting Report.

DAILY WATER REPORT (DWR) - SAMPLE REPORT PAGE 3 OF 6 This is a sample Diversion/ Storages/ FFMP Accounting Report.

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DAILY WATER REPORT (DWR) - SAMPLE REPORT PAGE 4 OF 6 This is a sample Diversion/ Storages/ FFMP Accounting Report.

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DAILY WATER REPORT (DWR) - SAMPLE REPORT PAGE 5 OF 6 This is a sample Diversion/ Storages/ FFMP Accounting Report.

DAILY WATER REPORT (DWR) - SAMPLE REPORT PAGE 6 OF 6 This is a sample Diversion/ Storages/ FFMP Accounting Report.

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COMMUNICATIONS REPORT – SAMPLE SCADA NETWORK STATUS REPORT This is a sample Communications Report showing status of the SCADA Server Network.

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COMMUNICATIONS REPORT – SAMPLE SCADA POLLING NETWORK STATUS REPORT This is a sample Communications Report showing status of the SCADA Polling Network.

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NWS_OST_ASH - SAMPLE SCRIPT This is a sample script for transferring hourly Reservoir data to the Ashokan Working Group Website described in Section N-1.3(O) (CS-015 – CUSTOM SCRIPTS CONFIGURATION).

Textbox43,AUGEASTLEVANALOG1,AUGWESTLEVANALOG1,EDIResElevAnalog,NICResElevAnalog,RECResElevAnalog,SIC_USGS_Elev,WDIResElevAnalog,Textbox44,AUGEresvolume2,AUGWresvolume,EDIResVolume,NICResVolume,RECResVolume,SICResVolume,WDIResVolume,Textbox60,AshSpillRate,Ash_WTOE_Spill,EDISpillRate,NICSpillRate,RECSpillRate,SICSpillRate,WDISpillRate,Textbox45,ASH_WC_FLOW,EDRRelRateTotal,NICRelRateTotal,REC4FlowAnalog,WDRTotalFlow,Textbox46,AlgCatFlowAnalog,EDO_FlowRate,NTONTOFlowAnalog,RECDELFlowAnalog,SIC_USGSFLOW_TBL,WDOWDOFlowAnalog,Textbox47,AlgPrecipTotDay,EDIPrecipDay,NCIPrecipAnalog,RECPrecipDay,SICPrecipAnalog,WDRPrecipDay 9/22/2015 3:10 PM,578.47,579.78,1261.47,1423.66,835.88,1121.40,1122.24,9/22/2015 3:10 PM,66.73,37.37,111.74,27.92,47.28,16.57,58.63,9/22/2015 3:10 PM,0.00,0.00,0.00,0.00,0.00,0.00,0.00,9/22/2015 3:10 PM,15.00,65.05,57.76,14.33,710.81,9/22/2015 3:10 PM,468.50,450.50,458.41,604.80,152.00,0.40,9/22/2015 3:10 PM,0.00,0.00,0.00,0.00,0.00,0.00

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NWS_FTP - SAMPLE SCRIPT This is a sample script for transferring 15-minute Reservoir data to the National Weather Service described in Section N-1.3(O) (CS-015 – CUSTOM SCRIPTS CONFIGURATION).

<?xml version="1.0" encoding="utf-8" ?> <Report xsi:schemaLocation="NWS_FTP_1

http://sql01a/ReportServer?%2FReports%2FNWS_FTP_1&rs%3AFormat=XML&rs%3ASnapshot%3Aisnull=True&rc%3ASchema=True" Name="NWS_FTP_1" Point_time="2015-09-22T15:10:00" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns="NWS_FTP_1">

<Tablix3> <Details1_Collection>

<Details1 AUGEASTLEVANALOG1="578.474976" AUGEresvolume="66.733719" AshSpillRate="0" ASH_WC_FLOW="16.949999" DivWeirGateFlow="444" AlgCatFlowAnalog="468.5" AlgPrecipTotDay="0" AUGWESTLEVANALOG1="579.780029" AUGWresvolume="37.370144" Ash_WTOE_Spill="0" ASEN6_release="0" DW_E2W_FLOWRATE="0" ASWN6_divr="0" EDIResElevAnalog="1261.469971" EDIResVolume="111.742958" EDISpillRate="0" EDRRelRateTotal="65.049995" EDO_FLOWRATE="450.5" EDIPrecipDay="0" NICResElevAnalog="1423.660034" NICResVolume="27.918058" NICSpillRate="0" NICRelRateTotal="57.759998" NTONTOFlowAnalog="458.410004" NCIPrecipAnalog="0" RECResElevAnalog="835.880005" RECResVolume="47.281837" RECSpillRate="0" REC4FlowAnalog="14.333124" RECDELFlowAnalog="604.799988" RECPrecipDay="0" SIC_USGS_Elev="1121.400024" SICResVolume="16.569927" SICSpillRate="0" SIC_USGSFLOW_TBL="152" SICPrecipAnalog="0" WDIResElevAnalog="1122.23999" WDIResVolume="58.626026" WDISpillRate="0" WDRTotalFlow="710.8125" WDOWDOFlowAnalog="0.4" WDRPrecipDay="0" />

</Details1_Collection> </Tablix3> </Report>

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DELAWARE RESERVOIR LEVEL TREND GRAPH – SAMPLE GRAPH This is a sample trend graph for displaying reservoir water levels for the Delaware system water quality parameters for the past 14 Days. Graphing requirements are as described in Section N-1.3(P) (CS-016 – CUSTOM GRAPH CONFIGURATION).

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CATSKILL WATER QUALITY TREND - SAMPLE GRAPH This is a sample graph for displaying water quality parameters for the past 24 hours. Example shown is for the Ashokan Catskill Aqueduct monitoring site EARCM. Graphing requirements are as described in Section N-1.3(P) (CS-016 – CUSTOM GRAPH CONFIGURATION).

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SAMPLE – TOTALIZER CHECK GRAPH RONDOUT WEST BRANCH TUNNEL FLOW DELIVERED FROM RONDOUT RESERVOIR This is a sample graph for trend display of Flow information. Example shown is for the delivered flow from Rondout Reservoir to the Rondout West Branch Tunnel at Rondout Effluent Chamber. Flow displayed is during a brief tunnel shutdown. This trend graph shows the flowrate, Hourly Totalizer Valves, and Daily Totalizer Values. Graphing requirements are as described in Section N-1.3(P) (CS-016 – CUSTOM GRAPH CONFIGURATION).

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SAMPLE – DELAWARE SYSTEM USABLE COMBINED STORAGE GRAPH This is a sample trend graph for displaying the six established Drought level Curves for the Delaware River Tributary Reservoirs and the Cannonsville, Pepacton, and Neversink Reservoirs. Graphing requirements are as described in Section N-1.3(P) (CS-016 – CUSTOM GRAPH CONFIGURATION).

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SAMPLE – FFMP STORAGE AVAILABILITY GRAPH This is a sample graph for displaying actual Combined Storage values for the Delaware River Tributary Reservoirs vs Drought Curves. Example trend graph also shows projected levels generated by the Operational Support Tool (OST) system. Graphing requirements are as described in Section N-1.3(P) (CS-016 – CUSTOM GRAPH CONFIGURATION).

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APPENDIX IX – Network Layout Drawings GENERAL INFORMATION A. Facility Location Drawings. These drawings illustrate the general location of all facilities that shall

be monitored by the upgraded SCADA System. B. Conceptual Network Layout Diagram. This drawing illustrates a functional layout for the SCADA

System network architecture. C. Miscellaneous Graphic Drawings. These graphics/drawings are from various resources that

illustrate the level of detail of HMI screens that the Contractor shall configure. DEP will provide copies of the highest resolution available to the Contractor.

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WEST OF HUDSON FACILITY LOCATION DRAWING

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EAST OF HUDSON FACILITY LOCATION DRAWING

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WEST OF HUDSON WASTEWATER TREATMENT FACILITY LOCATION DRAWING

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DISASTER RECOVERY CONTROL CENTER (KINGSTON) LOCATION DRAWING

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CONCEPTUAL NETWORK LAYOUT DIAGRAM

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WATER SUPPLY SYSTEM RESERVOIR LOCATION DRAWING

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DELAWARE SYSTEM DRAWING

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CATSKILL SYSTEM DRAWING

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CROTON SYSTEM DRAWING

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CATSKILL + CROTON + DELAWARE SYSTEMS – EAST OF HUDSON DRAWING

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EAST OF HUDSON USGS STREAM GAUGES

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DELAWARE SYSTEM SCHEMATIC DIAGRAM

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APPENDIX X – Sequence of Work The Contractor shall follow the below sequence of Work. Any changes to this sequence must be approved in writing by the PM.

1. Contract Award.

2. Kickoff Meeting.

3. Configuration & Submittals.

4. Configuration Approval.

5. Order Processing.

6. Factory Testing. Section E

7. Delivery of Equipment to Sites.

8. Installation Work at WSCC. Section O

9. Installation Work at DRCC. Section VV

10. Checkout, Startup, and Field Testing. Section F

11. Remote Location Configuration, Activation and Acceptance. a. Section P – Grahamsville Division Office/Shop (GDO/S) b. Section S – Neversink Intake Chamber (NIC)

12. Remote Location Configuration, Activation, and Acceptance.

a. Section V – West Delaware Intake Chamber (WDIC) b. Section W - West Delaware Release Chamber (WDRC) including:

i. Stilesville USGS Station 01425000. c. Section R - West Delaware Tunnel Outlet (WDTO)

13. Remote Location Configuration, Activation, and Acceptance.

a. Section U - East Delaware Release Chamber (EDRC) including: i. Downsville USGS Station 01417000.

ii. Pepacton Office/ Shop. iii. Downsville Annex.

b. Section T - East Delaware Intake Chamber (EDIC) c. Section R - West Delaware Tunnel Outlet (WDTO)

14. Remote Location Configuration, Activation, and Acceptance.

a. Section Q - Rondout Effluent Chamber (REC) .

15. Remote Location Configuration, Activation, and Acceptance. a. Section Y - Shandaken Tunnel Portal (STP) including:

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i. USGS Station 01362200 at Fox Hollow Road. b. Section Z - Prattsville USGS Station (PRATS) c. Section AA - Shandaken Tunnel Intake Chamber (STIC). d. Section BB – Gilboa Dam Monitoring Site (GILBOA) including:

i. Gilboa PLC. ii. Gilboa Crest Gate Control System.

iii. Gilboa Release Shaft Site. iv. Gilboa Low Level Release Chamber. v. Gilboa USGS Station 01350101.

vi. Dam Safety Instrumentation System.

16. Remote Location Configuration, Activation, and Acceptance. a. Section EE – Delaware Aqueduct – HGL Shaft 1 (HGL-S1) b. Section FF – Delaware Aqueduct – HGL Shaft 2A (HGL-S2A) c. Section GG – Delaware Aqueduct – HGL Shaft 4 (HGL-S4) d. Section HH – Delaware Aqueduct – HGL Shaft 5A (HGL-S5A) e. Section II – Delaware Aqueduct – HGL Shaft 6 (HGL-S6) f. Section JJ – Delaware Aqueduct – HGL Shaft 8 (HGL-S8)

17. Remote Location Configuration, Activation, and Acceptance.

a. Section KK – Carmel Water Tower Site (CARMEL) including: i. Carmel Water Tower.

ii. Kirk Lake. iii. Lake Gilead. iv. Lake Glenida. v. Bog Brook Reservoir.

vi. Boyds Corner Reservoir. vii. Croton Falls Reservoir.

viii. Diverting Reservoir. ix. East Branch Reservoir. x. Middle Branch Reservoir.

xi. West Branch Reservoir. xii. Shaft 9.

xiii. Shaft 10. xiv. Shaft 11.

18. Remote Location Configuration, Activation, and Acceptance.

a. Section LL – Somers Water Tower Site (SOMERS) including: i. Somers Water Tower.

ii. Amawalk Reservoir. iii. Muscoot Reservoir. iv. Titicus Reservoir.

19. Remote Location Configuration, Activation, and Acceptance.

a. Section MM – Katonah Water Tower Site (BEDFORD) including: i. Katonah Water Tower.

ii. Cross River Reservoir. iii. New Croton Reservoir.

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iv. Shaft 13 – Cross River Pumping Station. v. Croton Lake Gate House.

vi. Croton Gatehouse 1. vii. Croton Shaft 9.

viii. Croton Shaft 14. ix. Croton Shaft 18. x. Dunwoodie Fluoride Facility.

xi. Croton Shafts 18-25.

20. Remote Location Configuration, Activation, and Acceptance. a. Section NN – Shaft 18 Valhalla Site (VALHALLA) including:

i. Shaft 18. ii. Hillview Reservoir.

iii. Kensico Reservoir. iv. Delaware Shaft 17. v. Kensico Alum Plant.

vi. Catskill/ Delaware UV Plant.

21. Remote Location Configuration, Activation, and Acceptance. a. Section TT - Port Jervis Wastewater Treatment Plant (PJWWTP)

22. Remote Location Configuration, Activation, and Acceptance.

a. Section OO - Mahopac Wastewater Treatment Plant (MAHOPAC)

23. Remote Location Configuration, Activation, and Acceptance. a. Section UU - Grahamsville Wastewater Treatment Plant (GWWTP).

24. Remote Location Configuration, Activation, and Acceptance.

a. Section PP - Tannersville Wastewater Treatment Plant (TWWTP).

25. Remote Location Configuration, Activation, and Acceptance. a. Section RR - Margaretville Wastewater Treatment Plant (MWWTP)

26. Remote Location Configuration, Activation, and Acceptance.

a. Section QQ - Pine Hill Wastewater Treatment Plant (PHWWTP)

27. Remote Location Configuration, Activation, and Acceptance. a. Section SS - Grand Gorge Wastewater Treatment Plant (GGWWTP)

28. Remote Location Configuration, Activation, and Acceptance.

a. Section X - Ashokan Lower Gate Chamber (ALGC) including: i. Ashokan Upper Gate Chamber.

ii. Ashokan Screen Chamber. iii. Ashokan Ben Nesin Lab Building. iv. Ashokan Shop Building. v. Ashokan City Houses.

vi. Ashokan Dividing Weir Chamber.

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29. Remote Location Configuration, Activation, and Acceptance. a. Section CC - Lomontville USGS Station (LOMONT)

30. Remote Location Configuration, Activation, and Acceptance. a. Section DD - Hudson River Pumping Station (HRPS)

31. Complete Training Requirements. Section G.

32. Complete Allowance Item Work. Section D-1.2

33. Final Delivery and Turnover of All Hardware, Software, Documentation, and Spares including, but not

limited to: a. Portable Laptop Computers b. Smart Devices c. Licensed Software

34. Complete All Punch List Items.

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210

ATTACHMENT A

STANDARD ENVIRONMENTAL, HEALTH AND SAFETY SPECIFICATIONS

To be included in all contracts where applicable

Contractor Selection and Management Policy Rev 3 (2/26/2018)

Attachment A 1

STANDARD ENVIRONMENTAL, HEALTH AND SAFETY SPECIFICATIONS

1. Scope

The goal of the New York City Department of Environmental Protection (DEP) is to run the safest operations and capital program in the country with the best environmental compliance record of any large water and wastewater utility. To achieve that goal, DEP strives to hire safe and environmentally compliant contractors and to systematically manage, monitor and evaluate contractors that are working on DEP projects and at DEP locations. As such, DEP has developed procedures to ensure that contractors’ environmental, health and safety (EHS) records and programs are evaluated when DEP is selecting a contractor or approving a subcontractor. These procedures require that all contractors are properly prepared and trained to safely complete the work and to adhere to all EHS laws, rules, and applicable standards as contractually required. DEP work sites are subject to requirements regarding qualification, supervision and activities of contractors.

These contract requirements (Specifications) set forth the EHS eligibility standards for contract award as well as the applicable EHS training requirements and requirements specific to working on a DEP project. The Contractor must comply with applicable federal, state, and local codes and standards, including environmental and occupational safety and health requirements, as well as any additional special requirements invoked by other sections of the Contract.

Unless otherwise specified, these Specifications do not apply to:

Contractors providing services with little likelihood of affecting DEP employee safety, DEP property, the public, and the environment, such as light janitorial work, laundry, delivery (e.g., food and drink, furniture, filing cabinets), other supply services and shipping, or other products/services as determined by the contracting Bureau.

2. Pre-Award

2.1 Submittals

Within 5 business days of DEP request, the apparent low bidder shall provide the information specified below. Failure to provide the required information may result in a rejection of the bid.

2.1.1 NY Intrastate Experience Modification Rating (EMR) for past 3 years.

Bidder shall provide its NY Intrastate EMR for the past 3 years on its insurance broker’s letterhead. EMR information provided by the New York State Insurance Rating Board is also acceptable. If the bidder does not have a NY Intrastate EMR,

Contractor Selection and Management Policy Rev 3 (2/26/2018)

Attachment A 2

its out-of-state EMRs shall be submitted. DEP may also request a company’s Workers Compensation Loss Runs to verify EMR.

Bidders that do not have an EMR shall provide, for the past 3 years, their: (a) Workers Compensation Loss Runs (this information shall be provided by their insurance broker); (b) OSHA Total Recordable Cases (TRC); and (c) Days Away, Restricted, or Transferred (DART) rates.

Note: if the bidder is not required to maintain such information, it shall provide an explanation for the exemption.

2.1.2 Last 3 years of OSHA 300 Forms (Logs of Work-Related Injuries and Illnesses) and/or 300A redacted summary worksheets (as available, to verify accuracy of information provided).

Note: if the bidder is not required to maintain such information, it shall provide an explanation for the exemption.

2.1.3 List of all federal, state and local regulatory agency (e.g., OSHA, NYSDEC, USEPA, USDOT, DEP, FDNY and NYCDOB, etc.) notices of violation, notices of deficiencies, and fines issued/received in the past 3 years; the letter listing these (or stating that no notices of violation, notices of deficiencies, and no fines have been issued/received in the past 3 years) shall be on company letterhead and certified as complete and accurate by the sworn, notarized statement of a principal or officer of the bidder.

2.1.4 List of reportable releases of chemical or petroleum products associated with the bidder’s operations during, at a minimum, the last 3 years; the letter listing these (or stating that no reportable releases associated with the bidder’s operations have occurred during the past 3 years) shall be on company letterhead and certified as complete and accurate by the sworn, notarized statement of a principal or officer of the bidder.

2.1.5 A written description of the bidder’s EHS programs (and associated training), including any EHS programs and procedures employees will be required to follow while providing labor or services for DEP. Upon request by DEP, the bidder shall also provide a protocol for the EHS evaluation of any subcontractors that could be proposed by it for DEP approval.

2.1.6 A sworn, notarized certification from a principal or officer that, if the bidder is awarded the Contract, its EHS programs shall meet all OSHA, USEPA, NYS and local regulations, and the bidder shall abide by applicable DEP policies and procedures, as appropriate, and as provided by DEP. (Refer to Bidder’s EHS Performance and Program Review Questionnaire/Checklist that is included with the bid submission materials in the Invitation for Bids package).

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Attachment A 3

2.1.7 For bidders that are joint ventures, the above information must be provided and will be reviewed for the joint venture itself and the individual joint venture partners.

2.2 Responsiveness

To be responsive to the requirements of these Specifications, the bidder’s EHS and training program descriptions, as contained in the above submittals, must indicate that:

the bidder understands its regulatory requirements,

has an adequate EHS and training program in place,

has an EMR that is at 1.5 or below or (if it has no EMR) a comparable record, based upon the information provided under Section 2.1.1,

has adequate EHS professionals available for the project,

has demonstrated an acceptable safety record on similar projects over the past 3 years, and

certified that its programs and training comply with all regulatory requirements.

3. Proposed Subcontractors

3.1 The subcontractor approval process requires an information submittal that includes the proposed subcontractor’s EMR, EHS program descriptions and certifications similar to those required for the bidder.

3.2 The responsiveness standards listed in Section 2.2, above, shall also apply to the approval of proposed subcontractors that would be performing a significant volume or aspect of the project.

4. Contractor Orientation

4.1 Prior to commencing any work at any DEP location, the Contractor shall be required to attend an orientation. After attending the initial orientation, the Contractor shall, in turn, provide an orientation to any of the Contractor’s employees assigned to work at the DEP location. This training must also be provided to subcontractors, suppliers1, and Contractor visitors who will be onsite.

4.2 During orientation, DEP will provide the Contractor with the most current:

4.2.1 Work site-specific hazardous conditions and related information (e.g. hazardous

chemicals present at the work site, locations of Safety Data Sheets, and required

1 This requirement does not apply to suppliers providing services or products that are determined by the Bureau administering the Contract to have little likelihood of affecting DEP employee safety, property, the public, or the environment.

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Attachment A 4

safe work practices including minimum Personal Protective Equipment (PPE) requirements);

4.2.2 Facility-specific lockout/tagout requirements;

4.2.3 Applicable sections of the work site’s Emergency Action Plan and, at a minimum, the emergency contact numbers, facility map, notification procedures, evacuation procedures, evacuation routes, assembly areas, and description of alarms;

4.2.4 Access control procedure;

4.2.5 Location of restricted areas accessible from the work area or approaches to the work area (e.g., Process Safety Management/Risk Management Plan-covered processes, permit-required confined spaces and other high-hazard areas) and procedures for working in and around restricted areas;

4.2.6 DEP’s Workplace Violence Prevention Policy;

4.2.7 DEP’s Possession of Firearms in the Workplace Policy;

4.2.8 All other applicable DEP policies and procedures that will, or may, be necessary for the work; and

4.2.9 Information on known constituents of concern in the work area, including areas known to contain, or having historically contained, lead, asbestos, PCBs, and mercury.

4.3 If provided one by DEP, the Contractor shall distribute to all workers who are to attend the orientation a hazardous material and safe work practices information package. If possible, it will be distributed at least two days prior to the orientation. The workers shall sign for the packages and indicate that they have reviewed the contents prior to their attending the orientation.

4.4 Prior to commencing any work, a responsible official of the Contractor shall certify that it understands its obligations to train its employees and that it has been informed of and will abide by applicable DEP policies and procedures while it is working at DEP work sites.

4.5 If the Contractor or a subcontractor needs to add additional or replacement worker(s) to its crews, the new worker(s) must be provided with the same information received by other workers and receive the orientation for the work site(s).

4.6 The Contractor shall use the Contractor Training Certification form provided by DEP (or an equivalent form), as the record of those Contractor and subcontractor employees who have completed the facility orientation.

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Attachment A 5

5. Requirements During Work

5.1 When and where required by the DEP Bureau of Police and Security, the Contractor and its subcontractors, and all of their respective employees shall, at all times when working at the site(s), wear photo-identification badges.

5.2 The Contractor shall develop a work plan that identifies and addresses safety hazards and environmental requirements prior to starting any work.

5.3 PPE must be utilized in accordance with the work plan.

5.4 The Contractor and its subcontractors and all of their respective employees shall, upon request, produce certificates, licenses and other documentation that laws or regulations require them to obtain in order to conduct activities they are performing (e.g., Asbestos Worker Certificate, FDNY Certificate of Fitness in New York City).

5.5 The Contractor’s and its subcontractors’ employees are restricted from entering all high-hazard process areas, unless access is required to perform their work. In coordination with the Contract Supervisor, the Contractor or subcontractor employees entering such process areas must obtain permission from the on-duty operator or supervisor in person or by the telephone before entering these areas. Further, Contractor or subcontractor employees must inform the on-duty operator or supervisor in person or by telephone upon leaving and follow all other facility access control procedures.

5.6 Any worker who fails to abide by the EHS requirements presented in the safety orientation shall, at the sole discretion of the DEP, be denied access to the facilities and shall be replaced by the Contractor, as directed by DEP.

5.7 The Contractor shall immediately inform the DEP Contract Supervisor and the facility’s most senior manager of all incidents and all near misses; and of any notices of violation (NOVs), notices of deficiencies (NODs), and fines issued by and/or received from regulatory agencies resulting from work performed. Initial written reports shall be submitted by the next day. Note that other specification sections in this Contract may include additional investigation and reporting requirements, and must be consulted. The more stringent requirements will apply in the event of any conflict.

5.7.1 The Contractor must close out all NOVs, and all other violations/deficiencies,

and pay the appropriate fines before final or subsequent payments can be made by DEP. The Contractor will not receive final payment if there are open violations or notices of non-compliance.

6. Evaluations of Contractor EHS Performance

6.1 DEP will perform evaluations of the Contractor’s performance to ensure compliance with all EHS laws and regulations and DEP and facility EHS requirements. Such

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Attachment A 6

evaluations will be considered when evaluating the Contractor’s bids for future contracts.

6.2 The Contractor shall be rated on each category shown on the Contractor EHS Evaluation form a copy of which should be provided to the Contractor by the Contract Supervisor. (“NA”s are acceptable where the particular requirement was not applicable). The Contract Supervisor may include other specific EHS categories under “Other” that are of particular importance to the project. The Contract Supervisor shall inform the Contractor prior to commencement of work when this is the case.

6.3 DEP considers compliance with and conformance to EHS requirements to be of the utmost importance, and recognizes that, on particular projects, the importance of compliance with certain requirements may carry more weight than others, as failure to comply may present a greater level of risk. The final rating for the job in such a case may be weighted more heavily on specific categories (one or two) if compliance with that/those program requirement(s) is paramount to worker safety and/or environmental protection. In this case, the Contractor shall be notified prior to the commencement of work or through the development of risk-based safety plans during the course of the project.

6.4 The following rating scale shall be utilized in conducting the Contractor evaluations:

Excellent – Contractor exceeded EHS contractual, policy, and/or regulatory requirements. Work was accomplished with no observed deficiencies and no violations. Contractor proactively and effectively addressed potential risks. Contractor demonstrated EHS leadership and best practices and showed alignment with DEP’s EHS goals.

Good – Contractor met or exceeded most EHS contractual, policy, and/or regulatory requirements. Work was accomplished with limited or minor observed deficiencies or minor violations. Correction and preventative actions taken by the Contractor were timely and effective.

Fair – Contractor met EHS contractual, policy, and/or regulatory requirements. Observed deficiencies or violations were satisfactorily corrected and did not indicate a pattern of repetition. The correction and preventative actions taken by the Contractor were completed in a timely manner.

Poor – Contractor did not meet some EHS contractual, policy, and/or regulatory requirements. EHS deficiencies and/or violations were identified, but the Contractor either did not identify corrective and preventative actions or proposed correction and preventative actions that appeared to be only marginally effective.

Unsatisfactory – Contractor did not meet a significant number of EHS contractual, policy, and/or regulatory requirements. EHS deficiencies and/or violations were identified, but Contractor did not develop a Corrective and Preventative Action Plan, or failed to implement a Corrective and Preventative Action Plan, or implemented an unsuccessful Corrective and Preventative Action Plan. Deficiencies and/or violations indicated a pattern of repetition.

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Attachment A 7

6.5 A Contractor that disagrees with an overall evaluation of “Poor” or “Unsatisfactory” can submit a written request for reconsideration to the DEP Contract Supervisor within 10 business days after receipt of the written evaluation. The request for reconsideration must set forth all of the relevant information and arguments and be accompanied by any documentation relied on in support of the request. The request for reconsideration will be reviewed by the Deputy Commissioner overseeing the Bureau or his or her designee. The Deputy Commissioner or designee will notify the Contractor of the determination of the request in writing. Such determination will be final.

6.6 If its evaluation (other than the final evaluation) is “Poor” or “Unsatisfactory,” the Contractor must prepare a Corrective and Preventive Action Plan to correct and prevent recurrence of the deficiencies identified through the evaluation.

* * * * * *

NYC DEP SUPPLY AND SERVICE CONTRACT INVITATION FOR BIDS

PART D

TERMS OF AGREEMENT

DEP Supply and Service Contract – REVISED May 2017 Part D(1)

DEP STANDARD SUPPLY AND SERVICE

CONTRACT

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-i

TABLE OF CONTENTS

PAGE ARTICLE 1 THE CONTRACT ........................................................................................................ 1 ARTICLE 2 DEFINITIONS ............................................................................................................ 2 ARTICLE 3 CHARACTER OF THE WORK ...................................................................................... 4 ARTICLE 4 COMPLIANCE WITH LAWS ................................................................................................. 4 ARTICLE 5 PROTECTION OF WORK, PERSONS AND PROPERTY ....................................................... 6 ARTICLE 6 COMMENCEMENT AND EXECUTION OF THE WORK .................................................... 7 ARTICLE 7 RENEWAL ...................................................................................................................... 7 ARTICLE 8 LIQUIDATED DAMAGES ............................................................................................ 8 ARTICLE 9 WORK SCHEDULES ................................................................................................... 8 ARTICLE 10 EXTENSION OF TIME FOR PERFORMANCE - SUPPLY OF GOODS AND

NON-CONSTRUCTION RELATED SERVICES ................................................................. 10 ARTICLE 11 SUBCONTRACTS ..................................................................................................... 11 ARTICLE 12 ASSIGNMENTS ........................................................................................................ 13 ARTICLE 13 PERFORMANCE SECURITY DEPOSIT ........................................................................ 14 ARTICLE 14 RETAINED PERCENTAGE ............................................................................................. 14 ARTICLE 15 REQUIRED INSURANCE COVERAGE ......................................................................... 14 ARTICLE 16 MONEY RETAINED AGAINST CLAIMS ...................................................................... 21 ARTICLE 17 WARRANTY OF SUPPLIES ........................................................................................ 21 ARTICLE 18 MAINTENANCE AND GUARANTY ............................................................................. 22 ARTICLE 19 CONTRACT CHANGES ............................................................................................. 23 ARTICLE 20 COST OR PRICING DATA ............................................................................................................ 24 ARTICLE 21 METHODS OF PAYMENT FOR EXTRA WORK ............................................................ 24 ARTICLE 22 PERFORMANCE OF EXTRA OR DISPUTED WORK ...................................................... 27 ARTICLE 23 OMITTED WORK ..................................................................................................... 28 ARTICLE 24 RESOLUTION OF DISPUTES ...................................................................................... 28 ARTICLE 25 CONTRACTOR EVALUATION ............................................................................................ 33 ARTICLE 26 TIME FOR PERFORMANCE OF INDIVIDUAL TASKS .................................................... 33 ARTICLE 27 [INTENTIONALLY LEFT BLANK] .............................................................................. 33 ARTICLE 28 POWERS OF THE COMMISSIONER ............................................................................ 33 ARTICLE 29 [INTENTIONALLY LEFT BLANK] .............................................................................. 34 ARTICLE 30 LABOR; CONTRACTOR EMPLOYEES ........................................................................ 34 ARTICLE 31 LABOR LAW AND LIVING WAGE REQUIREMENTS .................................................... 36 ARTICLE 32 AFFIRMATIVE ACTION AND EQUAL EMPLOYMENT OPPORTUNITY;

LOCALLY-BASED BUSINESS ENTERPRISES .............................................................. 42 ARTICLE 33 BOOKS AND RECORDS ............................................................................................ 42 ARTICLE 34 PAYROLL REPORTS ..................................................................................................... 42 ARTICLE 35 PROMPT PAYMENT ...................................................................................................... 43 ARTICLE 36 INVOICE AND AUDIT ............................................................................................... 44 ARTICLE 37 SUBMISSION OF REQUESTS FOR PARTIAL PAYMENTS ................................................. 44 ARTICLE 38 FINAL PAYMENT ......................................................................................................... 45 ARTICLE 39 ACCEPTANCE OF FINAL PAYMENT .............................................................................. 46 ARTICLE 40 COMMISSIONER'S RIGHT TO DECLARE CONTRACTOR IN

DEFAULT ........................................................................................................................... 46 ARTICLE 41 EXERCISE OF THE RIGHT TO DECLARE DEFAULT .......................................................... 47 ARTICLE 42 PARTIAL DEFAULT ........................................................................................................... 48 ARTICLE 43 TERMINATION ............................................................................................................. 48

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-i

ARTICLE 44 COMPLETION OF THE WORK AFTER CONTRACTOR’S DEFAULT................................... 49 ARTICLE 45 PERFORMANCE OF UNCOMPLETED WORK AFTER CONTRACTOR’S

DEFAULT ................................................................................................................................ 50 ARTICLE 46 OTHER REMEDIES .................................................................................................. 50 ARTICLE 47 CLAIMS OR ACTIONS THEREON; NOTICE AND INFORMATION .................................... 50 ARTICLE 48 [INTENTIONALLY LEFT BLANK] .............................................................................. 51 ARTICLE 49 CONTRACTOR'S REPRESENTATIONS AND WARRANTIES ........................................... 51 ARTICLE 50 INFRINGEMENT; INVENTIONS, PATENTS AND COPYRIGHTS ...................................... 52 ARTICLE 51 NO CLAIMS AGAINST OFFICERS, AGENTS OR EMPLOYEES ...................................... 52 ARTICLE 52 SERVICE OF NOTICES .............................................................................................. 52 ARTICLE 53 UNLAWFUL PROVISIONS DEEMED STRICKEN FROM THE

CONTRACT ............................................................................................................. 53 ARTICLE 54 ALL LEGAL PROVISIONS DEEMED INCLUDED .......................................................... 53 ARTICLE 55 TAX EXEMPTION .................................................................................................... 53 ARTICLE 56 INVESTIGATIONS ..................................................................................................... 55 ARTICLE 57 COVENANTS OF CONTRACTOR ................................................................................ 57 ARTICLE 58 CHOICE OF LAW; CONSENT TO JURISDICTION AND VENUE ...................................... 59 ARTICLE 59 PARTICIPATION IN AN INTERNATIONAL BOYCOTT .................................................... 60 ARTICLE 60 PUBLICITY .............................................................................................................. 60 ARTICLE 61 ASSIGNMENT OF ANTITRUST CLAIMS ..................................................................... 60 ARTICLE 62 NO DAMAGE FOR DELAY ................................................................................................ 60 ARTICLE 63 CLEAN AIR ACT; DUST HAZARDS .......................................................................... 61 ARTICLE 64 NO DISCRIMINATION .................................................................................................. 61 ARTICLE 65 DAMAGES .............................................................................................................. 64 ARTICLE 66 PROPERTY OF THE CITY .......................................................................................... 64 ARTICLE 67 PROHIBITION OF TROPICAL HARDWOODS ............................................................... 64 ARTICLE 68 EXECUTORY CONTRACT ......................................................................................... 64 ARTICLE 69 ENTIRE CONTRACT – MERGER CLAUSE .................................................................. 64 ARTICLE 70 COMPENSATION TO BE PAID TO THE CONTRACTOR ................................................. 64 ARTICLE 71 MACBRIDE PROVISIONS .......................................................................................... 65 ARTICLE 72 NO BLASTING ........................................................................................................ 67 ARTICLE 73 [INTENTIONALLY LEFT BLANK] .............................................................................. 67 ARTICLE 74 INSPECTION AT SITE ................................................................................................ 67 ARTICLE 75 NO ESTOPPEL ......................................................................................................... 67 ARTICLE 76 ELECTRONIC FUNDS TRANSFER .............................................................................. 68

• SIGNATURES AND ACKNOWLEDGMENTS ........................................................... 69 • COMMISSIONER'S CERTIFICATION AND APPROPRIATION ..................................... 72 • COMPTROLLER’S CERTIFICATE ............................................................................. 72

RIDER: PAYMENT GUARANTEE PROVISION

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-1

THE CITY OF NEW YORK

DEPARTMENT OF ENVIRONMENTAL PROTECTION

SUPPLY AND SERVICE CONTRACT THIS AGREEMENT is made and entered into as of the day of , 20 by and between the City of New York, acting by and through the Commissioner of the Department of Environmental Protection, located at 59-17 Junction Blvd, Flushing, New York 11373 and (the “Contractor”) located at .

The parties hereto, in consideration of the mutual agreements contained herein, agree as follows: ARTICLE 1 THE CONTRACT

A. Except for titles, subtitles, headings, running headlines, tables of contents and indices (all of which are printed herein merely for convenience), the following, except for such portions thereof that may be specifically excluded, shall be deemed to be part of this Contract:

(1) The Advertisement for Bids;

(2) The Invitation for Bids (including, without limitation, the Information for Bidders);

(3) The Bid;

(4) The Agreement (this document);

(5) The Procurement Policy Board Rules;

(6) The Specifications and Scope of Work (including Schedule A, summarizing

Contract-specific requirements);

(7) The Contract Drawings;

(8) All Addenda issued by the Department prior to the receipt of Bids;

(9) All provisions required by Law to be inserted in this Contract, whether actually inserted or not;

(10) The Notice of Award;

(11) The Contractor’s Insurance Documents;

(12) The Contractor’s Payment and Performance Bonds (if required); and

(13) The Notice to Proceed with the Work (also known as the Commence Work Letter).

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-2

ARTICLE 2 DEFINITI ONS

A. The following words and expressions, or pronouns used in their stead, shall, wherever they appear as capitalized defined terms in this Contract, be construed as follows, unless a different meaning is clear from the context:

(1) “ADDENDUM” or “ADDENDA” shall mean the additional Contract provisions

and/or technical clarifications issued in writing by the Commissioner prior to the receipt of bids.

(2) “AGENCY” shall mean the New York City Department of Environmental

Protection, the City agency that has entered into this Contract.

(3) “AGENCY CHIEF CONTRACTING OFFICER” or “ACCO” shall mean the position delegated authority by the Commissioner to organize and supervise the procurement activity of subordinate Agency staff in conjunction with the CCPO.

(4) “CITY” shall mean the City of New York.

(5) “CITY CHIEF PROCUREMENT OFFICER” or “CCPO” shall mean the position delegated authority by the Mayor to coordinate and oversee the procurement activity of Mayoral agency staff, including the ACCO.

(6) “COMMISSIONER” shall mean the head of the Department of Environmental

Protection, or his/her duly authorized representative. The term “duly authorized representative” shall include any person or persons acting within the limits of his or her authority.

(7) “COMPTROLLER” shall mean the Comptroller of the City of New York.

(8) “CONTRACT” or “CONTRACT DOCUMENTS” shall mean each of the various parts of the Contract referred to in Article 1 hereof, both as a whole and severally.

(9) “CONTRACT DRAWINGS” shall mean those drawings specifically entitled as

such and listed in the Specifications or in any Addendum, or any drawings furnished by the Commissioner, pertaining or supplemental thereto.

(10) “CONTRACT WORK” shall mean everything required to be furnished and done

by the Contractor by any one or more of the parts of the Contract referred to in Article 1, except Extra Work as defined below.

(11) CONTRACTOR ” shall mean the entity signing this Contract, whether a

corporation, firm, partnership, joint venture, individual, or any combination thereof, and its, their, his/her successors, personal representatives, executors, administrators and assigns, and any person, firm, partnership, joint venture, individual, or corporation which shall at any time be substituted in the place of the Contractor under this Contract.

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-3

(12) “DAYS” shall mean calendar days, except where otherwise specified.

(13) “DEPARTMENT” or “DEP ” shall mean the Department of Environmental Protection of the City of New York, acting by or through the Commissioner thereof, or his/her duly authorized representative.

(14) “EXTRA WORK” shall mean Work other than that required by the Contract at the

time of award, which is authorized by the Commissioner pursuant to the Extra Work provisions of this Contract.

(15) “FEDERAL-AID CONTRACT” shall mean a contract for which the United States

(federal) government provides funding as so designated in the Invitation for Bids.

(16) “FINAL ACCEPTANCE” shall mean final written acceptance of all the Work by the Commissioner, a copy of which shall be sent to the Contractor.

(17) “LAW (S)” shall mean the Constitutions of the United States and the State of New

York, the New York City Charter (“Charter”), the New York City Administrative Code (“Admin. Code”), a statute of the United States or of the State of New York, and any ordinance, rule or regulation having the force of law and adopted pursuant thereto, as amended, and common law.

(18) “MATERIALMAN” shall mean any corporation, firm partnership, joint venture, or

individual, other than employees of the Contractor, who or which contracts with the Contractor or any Subcontractor to fabricate or deliver, or who actually fabricates or delivers, plant, materials, or equipment to be incorporated in the Work.

(19) “OTHER CONTRACTOR(S)” shall mean any contractor (other than the entity

which executed this Contract or its Subcontractors) which has a contract with the City for work on or adjacent to the Site.

(20) “PROCUREMENT POLICY BOARD” or “PPB” shall mean the board established

pursuant to Charter §311 whose function it is to establish comprehensive and consistent procurement policies and rules which shall have broad application throughout the City. The PPB Rules are set forth in Title 9 of the Rules of the City of New York (“RCNY”), §1-01 et seq.

(21) “PROJECT MANAGER” shall mean the person duly designated by the

Commissioner to act as his/her representative in relation to this Contract.

(22) “REQUIRED QUANTITY” shall mean the actual quantity of any item of work or materials that is required to be performed or furnished in order to comply with a unit price Contract.

(23) “SITE” shall mean the area upon or in which the Contractor's operations under the

Contract are carried out and such other areas adjacent thereto as are necessary to complete the Work.

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(24) “SMALLTOOLS” shall mean items ordinarily required for a worker’s job function, including but not limited to, equipment that ordinarily has no licensing, insurance or substantive storage costs associated with it; such as circular and chain saws, impact drills, threaders, benders, wrenches, socket tools, etc.

(25) “SPECIFICATIONS” shall mean all of the directions, requirements and standards

of performance applying to the Work, whether denominated as “General Conditions,” “Detailed Specifications,” “Scope of Services,” or otherwise.

(26) “SUBCONTRACTOR” shall mean any person, firm or corporation, other than

employees of the Contractor, who or which contracts with the Contractor or its Subcontractor to furnish, or actually furnishes labor, or labor and materials, or labor and equipment, at the Site. Whenever the word Subcontractor is used, it shall also mean sub-Subcontractors.

(27) “SUPPLIER” shall mean an actual or potential supplier to the Contractor.

(28) “WORK” shall mean everything required to be furnished and done by the Contractor under the Contract, and shall include both Contract Work and Extra Work, if applicable.

ARTICLE 3 CHARACTER O F THE WORK

Unless otherwise expressly provided in the Contract Documents, the Work shall be performed in accordance with the best modern practice, utilizing, unless otherwise specified in writing, new and unused materials of standard first grade quality and workmanship of the highest quality, to the satisfaction of the Commissioner.

ARTICLE 4 COMPLIA NCE WITH LAWS

A. The Contractor shall comply with all Laws applicable to this Contract and to the Work. B. Without limiting the generality of the foregoing, the following Laws shall be complied with

by the Contractor.

(1) Right To Know: Where applicable, in accordance with the New York State "Right to Know" law and the federal OSHA Hazard Communication standard set forth in 29 CFR 1200, the Contractor shall submit appropriate Manufacturer Safety Data Sheets (“MSDS”) when using chemically based substances on DEP premises. Failure to provide the relevant MSDS, if required prior to award of this Contract, may cause the Contractor’s bid to be rejected as non-responsive or, if required at a time when Work is already in progress, may result in the termination of the Contract (with applicable penalties). For any questions regarding this regulation, contact the Bureau of Toxic Substance Assessment, New York State Health Department, Flanigan Square, 547 River Street, Troy, New York 12180-2216; (518) 402-7800.

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(2) Noise Control Code Pr ovisions : In accordance with the Noise Abatement Contract Compliance provisions of the Admin. Code, devices and activities that will be operated, conducted, constructed or manufactured pursuant to this Contract and which are subject to the provisions of the City Noise Control Code shall be operated, conducted, constructed, or manufactured without causing a violation of the Admin. Code. Such devices and activities shall incorporate advances in the art of noise control development for the kind and level of noise emitted or produced by such devices and activities, in accordance with regulations issued by the Commissioner.

The Contractor agrees to comply with Section 24-219 of the Admin. Code and the implementing rules codified at 15 Rules of the City of New York (“RCNY”) Section 28-100 et seq. In accordance with such provisions, the Contractor, if the Contractor is the responsible party thereunder, shall prepare and post a Construction Noise Mitigation Plan at each Site, in which the Contractor shall certify that all construction tools and equipment have been maintained so that they operate at normal manufacturer’s operating specifications. If the Contractor cannot make this certification, it must have in place an Alternative Noise Mitigation Plan approved by the Department. In addition, the Contractor’s certified Construction Noise Mitigation Plan is subject to inspection by the Department in accordance with 15 RCNY §28-101. No Work may take place at a Site unless there is a Construction Noise Mitigation Plan or approved Alternative Noise Mitigation Plan in place. In addition, the Contractor shall create and implement a noise mitigation training program. Failure to comply with these requirements may result in fines and other penalties pursuant to the applicable provisions of the Admin. Code and RCNY.

(3) Pesticides: In accordance with Section 17-1209 of the Admin. Code, to the extent

that the Contractor or any Subcontractor applies pesticides to any property owned or leased by the City, the Contractor and any Subcontractor shall comply with Chapter 12 of the Admin. Code.

(4) Waste Treatment, Storage, and Disposal Fa cilities and Tr ansporters : In

connection with the Work, the Contractor and any Subcontractor shall use only waste treatment, storage, and disposal facilities and waste transporters that possess the requisite license, permit or other governmental approval necessary to treat, store, dispose, or transport the waste, materials or hazardous substances.

(5) Environmentall y Pr eferable Purchasin g: The Contractor shall ensure that

products purchased or leased by the Contractor or any Subcontractor for the Work that are not specified by the City or are submitted as equivalents to a product specified by the City comply with the requirements of the New York City Environmentally Preferable Purchasing Program contained in Chapter 11 of Title 43 of the RCNY, pursuant to Chapter 3 of Title 6 of the Admin. Code.

C. Procurement Polic y Boar d Rules : This Contract is subject to the PPB Rules in effect at

the time of the bid opening for this Contract. In the event of a conflict between the PPB Rules and a provision of this Contract, the PPB Rules shall take precedence.

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ARTICLE 5 PROTECTION O F W ORK, PERSONS AND PRO PE RTY

A. During the performance of the Work and up to the date of Final Acceptance, the Contractor shall be under an absolute obligation to protect the finished and unfinished Work against any damage, loss or injury, theft and/or vandalism, and in the event of any such damage, loss or injury, theft and/or vandalism the Contractor shall promptly replace or repair such Work at its own expense, whichever the Project Manager shall determine to be preferable.

B. During the performance of the Work and up to the date of Final Acceptance, the Contractor

shall take all reasonable precautions to protect all persons and the property of the City and of others from damage, loss or injury resulting from the Contractor's and its Subcontractors’ operations under this Contract.

C. Within three (3) days after notice to the Contractor of the occurrence of any such loss,

damage or injury to Work, persons or property, or of any accidents, the Contractor shall make a full and complete report thereof in writing to the Project Manager. The Contractor shall notify the City, in writing, of any loss, damage, or injury to Work, persons or property or any accidents on the Site within twenty-four (24) hours of the occurrence.

D. To the fullest extent permitted by Law, the Contractor shall defend, indemnify, and hold

the City, its employees, and officials (the “Indemnitees”) harmless against any and all claims (including but not limited to claims asserted by any employee of the Contractor and/or its Subcontractors) and costs and expenses of whatever kind (including but not limited to payment or reimbursement of attorneys’ fees and disbursements) allegedly arising out of or in any way related to the operations of the Contractor and/or its Subcontractors in the performance of this Contract or from the Contractor’s and/or its Subcontractors’ failure to comply with any of the provisions of this Contract or of the Law. Such costs and expenses shall include, without limitation, all those incurred in defending the underlying claim and those incurred in connection with the enforcement of this Article 5(D) by way of cross-claim, third-party claim, declaratory judgment action or otherwise. The parties expressly agree that the indemnification obligation hereunder contemplates (1) full indemnity in the event of liability imposed against the Indemnitees without negligence and solely by reason of statute, operation of Law or otherwise; and (2) partial indemnity in the event of any actual negligence on the part of the Indemnitees either causing or contributing to the underlying claim (in which case, indemnification will be limited to any liability imposed over and above that percentage attributable to actual fault whether by statute, by operation of Law, or otherwise). Where partial indemnity is provided hereunder, all costs and expenses shall be indemnified on a pro rata basis.

E. In the event any claim is made or any action brought in any way relating to this Contract,

other than an action between the City and the Contractor, the Contractor shall diligently render to the City without additional compensation all assistance which the City may reasonably require of the Contractor. The Contractor shall report to the Department in writing within five (5) business days of the initiation by or against the Contractor of any legal action or proceeding in connection with or relating to this Contract.

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F. The provisions of this Article shall not be deemed to create any new right of action in favor of third parties against the Contractor or the City.

G. The indemnification obligations set forth in this Article shall not be limited in any way by

the Contractor’s obligations to obtain and maintain insurance as provided in this Contract. H. Withholding of Pa yment s :

(1) In the event that any claim is made or any action is brought against the City for which the Contractor may be required to indemnify the City pursuant to this Contract, the City shall have the right to withhold further payments under this Contract for the purpose of setoff in sufficient sums to cover the said claim or action.

(2) In the event that any City property is lost or damaged, except for normal wear and

tear, the City shall have the right to withhold further payments under this Contract for the purpose of setoff in sufficient sums to cover such loss or damage.

(3) The City shall not, however, impose a setoff in the event that an insurance company

that provided liability insurance pursuant to Article 15 has accepted the City's tender of the claim or action without a reservation of rights.

(4) The Department may, at its option, withhold for purposes of setoff any monies due

to the Contractor under this Contract up to the amount of any disallowances or questioned costs resulting from any audits of the Contractor or to the amount of any overpayment to the Contractor with regard to this Contract.

(5) The rights and remedies of the City provided for in this Article shall not be

exclusive and are in addition to any other rights and remedies provided by Law or this Contract.

ARTICLE 6 COMMENCEMENT A ND EXECUTION OF THE WORK

The period of performance of this Contract shall be as shown in Schedule A (see Part A(4) of the IFB), and Contractor shall commence Work on the date specified in the Department’s Notice to Proceed with Work. The time for performance of the Work under the Contract shall be computed from the date specified in such written notice. Time being of the essence of this Contract, the Contractor shall thereafter prosecute the Work diligently as well as assure its completion not later than the date specified in the Contract (see Schedule A, in Part A) or on the date to which time for completion may be extended.

ARTICLE 7 RENEWAL

The Commissioner reserves the right in his/her sole discretion to renew this Contract for additional year(s), as set forth in Schedule A (see Part A(4)), at the same terms, conditions and prices as stated herein, provided the Contractor is given thirty (30) days prior written notice of such renewal.

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ARTICLE 8 LIQUIDATED DAMAGES

A. In the event the Contractor shall fail to complete the Work within the time frame fixed for such completion in Schedule A (see Part A) of this Contract, plus authorized time extensions, or if the Contractor, in the sole discretion of the Commissioner, has abandoned the Work, then the Contractor must pay to the City the sum listed in Schedule A (see Part A) for each and every Day that the time consumed in completing the Work exceeds the time allowed therefor; which said sum, in view of the difficulty of accurately ascertaining the loss which the City will suffer by reason of delay in the completion of the Work, is fixed and agreed to as liquidated damages that the City will suffer by reason of such delay, and not as a penalty. Neither the failure to assess liquidated damages nor the granting of any time extension shall operate as a waiver or release of any claim the City may have against the Contractor for either actual or liquidated damages.

B. Liquidated damages received hereunder are not intended to be nor shall they be treated as

either a partial or full waiver or discharge of the City's right to indemnification or of the Contractor's obligation to indemnify the City, or of any other remedy provided for by the Contract or by Law.

C. The Commissioner may deduct and retain out of the monies which may become due

hereunder, the amount of such liquidated damages; and in case the amount that may become due under this Contract shall be less than the amount of liquidated damages suffered by the City, then the Contractor shall be liable to pay the difference upon demand by the Commissioner.

ARTICLE 9 WORK SCHEDULES

A. To enable the Work to be performed in an orderly and expeditious manner, the Contractor, within ten (10) Days after the award of this Contract, unless otherwise directed by the Project Manager, shall submit to the Project Manager a proposed progress schedule if required by the Specifications, including without limitation any information requested by the Project Manager, and the following information, as appropriate for the Contract:

(1) the anticipated time of commencement and completion of each of the various

operations to be performed under this Contract; and

(2) the sequence and interrelationship of each of these operations with the others and with those of any related contracts to be performed by Other Contractors; and

(3) the estimated time required for fabrication or delivery, or both, of all materials and

equipment required for the Work. B. The proposed progress schedule shall be revised as directed by the Project Manager until

finally approved by the Project Manager and after such approval, shall, subject to the provisions of this Article, be strictly adhered to by the Contractor.

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C. If the Contractor shall fail to adhere to the approved progress schedule, or to the schedule as revised in accordance with this Article, it must promptly adopt such other or additional means and methods of performance as will make up for the time lost and will assure completion in accordance with such schedule.

D. Requests for Information or Approval. From time to time as the Work progresses, and in

the sequence indicated by the approved progress schedule, the Contractor must submit to the Project Manager a specific request in writing for each item of information or approval required by the Contractor. These requests must state the latest date upon which the information or approval is actually required by the Contractor and must be submitted sufficiently in advance thereof to allow the Project Manager a reasonable time to act upon such submissions or any necessary re-submissions thereof.

The Contractor shall not have any right to an extension of time on account of delays due to its failure to submit these requests for the required information or the required approval in accordance with the above requirements.

E. Notice of Conditions Causing Dela y: Within five (5) Days after the commencement of any condition which is causing or may cause delay in completion of the Work, the Contractor must notify the Project Manager in writing of the effect, if any, of such condition upon the previously approved progress schedule and must state why and in what respects if any, the condition is causing or may cause such delay.

Failure of the Contractor to strictly comply with this requirement may, in the discretion of the ACCO, be deemed sufficient cause to deny any extension of time on account of delay in completion arising out of or resulting from such change, or other condition. Such failure shall also constitute a waiver by the Contractor of any and all claims for damages for delay arising therefrom and no right to recover on such claims shall exist.

F. If and when appropriate, the progress schedule shall be revised by the Contractor and when

approved by the Project Manager the revised schedule must be strictly adhered to by the Contractor.

G. Coordination With Other Contractors : During the progress of the Work, Other

Contractors may be engaged in performing other work in the area of the Site. In that event, the Contractor shall coordinate the Work with the work of such Other Contractors in such manner as the Project Manager may direct.

(1) If the Project Manager shall determine that the Contractor is failing to coordinate its Work with the work of Other Contractors as the Project Manager has directed:

a. the Commissioner shall have the right to withhold any payments otherwise due hereunder until the Project Manager's directions are complied with by the Contractor, and

b. the Contractor shall indemnify and hold the City harmless from any and all claims or judgments for damages and from costs and expenses to which the City may be subjected or which it may suffer or incur by reason of the Contractor's failure to comply with the Project Manager's directions promptly, in accordance with the provisions of Article 5.

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(2) The Contractor shall notify the Project Manager in writing if any Other Contractor on the Site is failing to coordinate its work with the Work of this Contract. If the Project Manager finds such complaint to be true, the Project Manager shall promptly issue such directions to the Other Contractor as the situation may require. The City shall not, however, be liable for any damages suffered because of any Other Contractor's failure to coordinate its work with the Work of this Contract or by reason of the Other Contractor's failure to promptly comply with the directions so issued by the Project Manager, or by reason of any Other Contractor's default in performance, it being understood that the City does not guarantee the responsibility or continued efficiency of any contractor. The Contractor agrees to make no claim against the City for any damages relating to or arising out of any directions issued by the Project Manager pursuant to this Article 9 (including but not limited to the failure of any Other Contractor to comply or promptly comply with such directions), or the failure of the Project Manager to issue any directions, or the failure of any Other Contractor to coordinate its work, or the default in performance by any Other Contractor.

(3) The Contractor shall indemnify and hold the City harmless from any and all claims

or judgments for damages and from costs and expenses to which the City may be subjected or which it may suffer or incur by reason of the Contractor's failure to comply with the Project Manager's directions promptly; and the Comptroller shall have the right to exercise the powers reserved in Article 5 with respect to any claims which may be made for damages due to the Contractor's failure to comply with the Project Manager's directions promptly. Insofar as the facts and Law relating to any claim would preclude the City from being completely indemnified by the Contractor, the City shall be partially indemnified by the Contractor to the fullest extent provided by Law.

(4) Should the Contractor sustain any damage through any act or omission of any Other

Contractor or through any act of omission of a subcontractor of such Other Contractor, the Contractor shall have no claim against the City for such damage.

(5) The City's right to indemnification hereunder shall in no way be diminished, waived

or discharged by its recourse to assessment of liquidated damages as provided in Article 8, or by the exercise of any other remedy provided for by contract or by Law.

ARTICLE 10 EXTENS ION OF TIME FOR PER FOR MAN CE - SU PPLY O F GO ODS

AND NON-CONSTRU CTION RELATED SERVICES

A. If performance by the Contractor is delayed for a reason set forth in this Article, the Contractor may be allowed a reasonable extension of time to complete the Work in conformance with this Contract and the PPB Rules. This Article applies, where appropriate, to an extension of the time to complete the Work under a particular Work Order issued under Article 26 as well as to an extension of the time to complete all of the Work required under this Contract.

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B. Upon written application by the Contractor, the ACCO may grant an extension of time for performance of the Contract Work. Said application must state, at a minimum, in detail, each cause for delay, the date the cause of the alleged delay occurred and the total delay in days attributed to such cause.

C. Grounds for Extension. If such application is made by the Contractor, the Contractor shall

be entitled to an extension of time for delay in completion of the Work caused solely:

(1) by the acts or omissions of the City, its officers, agents or employees;

(2) by the acts or omissions of Other Contractors; or

(3) by supervening conditions entirely beyond the control of either party hereto (such as, but not limited to, acts of God or the public enemy, excessive inclement weather, war or other national emergency making performance temporarily impossible or illegal, or strikes or labor disputes not brought about by any act or omission of the Contractor).

D. The ACCO, acting entirely within his or her discretion, may grant an application for an

extension of time for causes of delay other than those mentioned above. E. The ruling of the ACCO shall be final and binding as to the allowance of an extension and

the number of days allowed. F. Permitting the Contractor to continue to perform Work after the time for completion has

expired, or after the time to which such time for completion may have been extended has expired, or the making of any payment to the Contractor after such time, shall in no way operate as a waiver on the part of the City of any of its rights under this Contract.

ARTICLE 11 SUBCONTRACTS

A. The Contractor shall not make subcontracts totaling in amount more than the percentage of the total Contract price fixed in Schedule A (see Part A), without prior written permission from the Commissioner. No Subcontractor shall be permitted on the Site unless approved as set forth below.

B. The Contractor shall not enter into any subcontracts in an amount greater than five

thousand dollars ($5,000) for the performance of its obligations, in whole or part, under this Contract, without the prior written approval by the Department of the proposed Subcontractor. The Department hereby grants approval for all subcontracts for an amount that does not exceed five thousand dollars ($5,000). The Contractor must submit monthly reports to the Department indicating all such subcontractors. All subcontracts must be in writing. Before entering into any subcontracts for an amount greater than five thousand dollars ($5,000), the Contractor must submit a written request for the approval of the proposed Subcontractor to the Department giving the name and address of the proposed Subcontractor, the portion of the work and materials which it is to perform and/or furnish, and the cost of the Subcontract. (The City’s standard Subcontractor Approval Form is included in Part F of this IFB, with instructions.) At the request of the Department, a copy

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of the proposed subcontract shall be submitted to the Department. The proposed Subcontractor’s VENDEX Questionnaire must be submitted, if required, within thirty (30) Days after the ACCO has granted preliminary approval of the proposed subcontractor. Upon the request of the Department, the Contractor shall provide any other information tending to prove that the proposed Subcontractor has the necessary facilities, skill, integrity, past experience and financial resources to perform the Work in accordance with the terms and conditions of this Contract. The Agency shall make a final determination in writing approving or disapproving the proposed Subcontractor after receiving all requested information. For proposed subcontracts that do not exceed twenty-five thousand dollars ($25,000), the Department’s approval shall be deemed granted if the Department does not issue a written approval or disapproval within forth- five (45) Days of the Department’s receipt of the written request for approval or, if applicable, within forty-five Days of the Department’s acknowledged receipt of fully completed VENDEX Questionnaires for the Subcontractor.

C. If an approved Subcontractor wishes to subcontract any portion of its subcontract, the

proposed sub-subcontract shall be submitted in the same manner as directed above. D. Before entering into any subcontract hereunder, the Contractor shall inform the

Subcontractor fully and completely of all provisions and requirements of this Contract relating either directly or indirectly to the Work to be performed and the materials to be furnished under such Subcontract, and every such Subcontract shall expressly stipulate that all the labor performed and materials furnished thereunder shall strictly comply with the requirements of this Contract. Without limiting the generality of the foregoing, all subcontracts shall contain provisions specifying that:

(1) the Work performed by the Subcontractor must be in accordance with the terms of

the Contract between the Department and the Contractor;

(2) nothing contained in such subcontract shall impair the rights of the Department;

(3) nothing contained therein, or under the Contract between the Department and the Contractor, shall create any contractual relationship between the Subcontractor and the Department, and

(4) the Subcontractor specifically agrees to be bound by Article 64 (“No

Discrimination”), Article 33 (“Books and Records”), Article 36 (“Invoice and Audit”), and Article 56 (“Investigations”) and the confidentiality provision set forth in Article 57(C) of this Contract between the Department and the Contractor.

E. The Department's approval of a Subcontractor shall not relieve the Contractor of any of its

responsibilities, duties and liabilities hereunder. The Contractor agrees that it is as fully responsible to the Department for the acts and omissions of its Subcontractors an of persons either directly or indirectly employed by such Subcontractors as it is for the acts and omissions of any person directly employed by it.

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F. The Contractor shall be responsible for ensuring that all Subcontractors performing Work at the Site have either their own insurance coverage or are covered by the Contractor’s insurance as required by Article 15 and Schedule A (in Part A of this Invitation for Bids).

G. For determining the value of a subcontract, all subcontracts with the same Subcontractor

shall be aggregated. H. The Department may revoke the approval of a Subcontractor granted or deemed granted

pursuant to Section B of this Article if revocation is deemed to be in the interest of the City in writing on no less than ten (10) Days’ notice unless a shorter period is warranted by considerations of health, safety, integrity issues or other similar factors. Upon the effective date of such revocation, the Contractor shall cause the Subcontractor to cease all Work under the Contract. The City shall not incur any further obligation for Work performed by such Subcontractor pursuant to this Contract beyond the effective date of the revocation. The City shall pay for Work provided by the Subcontractor in accordance with this Contract prior to the effective date of revocation.

I. Individual employer-employee contracts are not subcontracts subject to the requirements

of this Article. ARTICLE 12 ASS IGNMENTS

A. The Contractor shall not assign, transfer, convey or otherwise dispose of this Contract, or the right to execute it, or the right, title, or interest, in or to it or any part of it, or assign, by power of attorney or otherwise, any of the monies due or to become due under this Contract, without the prior written consent of the Commissioner. The giving of any such consent to a particular assignment shall not dispense with the necessity of such consent to any further or other assignments. When used in Article 12, the phrases “otherwise dispose of this Contract” and “other disposition” shall be broadly construed, and shall be deemed to include, without limitation, sale or transfer of all or a majority of the shares of the Contractor, if the Contractor be a corporation, or any change in controlling ownership of the Contractor, if the Contractor be a partnership, limited partnership or any other form of business entity.

B. Such assignment, transfer, or conveyance shall not be valid until filed in the office of the

Commissioner and the Commissioner of the City’s Department of Finance, with the written consent of the Commissioner endorsed thereon or attached thereto.

C. Before entering into any such assignment, transfer, conveyance or other disposal of this

Contract, the Contractor shall submit a written request for approval to the Department giving the name and address of the proposed assignee. The proposed assignee’s VENDEX questionnaire must be submitted within thirty (30) Days after the ACCO has granted preliminary written approval of the proposed assignee, if required. Upon the request of the Department, the Contractor shall provide any other information demonstrating that the proposed assignee has the necessary facilities, skill, integrity, past experience and financial resources to perform the specified services in accordance with the terms and conditions of this Agreement. The Agency shall make a final determination in writing approving or disapproving the assignee after receiving all requested information.

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D. Failure to obtain the prior written consent of the Commissioner to such an assignment, transfer or conveyance, or other disposition may result in the revocation and annulment of this Contract. The City shall thereupon be relieved and discharged from any further liability and obligation to the Contractor, its assignees, or transferees, who shall forfeit all monies earned under the Contract, except so much as may be required to pay the Contractor’s employees.

E. The provisions of this Article shall not hinder, prevent or affect an assignment by the

Contractor for the benefit of its creditors made pursuant to the Laws of the State of New York.

F. This Contract may be assigned, in whole or in part, by the City to any corporation, agency

or instrumentality having authority to accept such assignment. The City shall provide the Contractor with written notice of any such assignment.

ARTICLE 13 PER FOR MANCE SECURITY D E POS IT

A. The bid security, if required, shall be retained by the Comptroller as security for the Contractor's faithful performance of the Contract and will be returned to the Contractor only after the sum retained under Article 14 equals the amount of the bid security, subject to the other provisions of this Contract. If performance and payment bonds are required, any bid security posted shall be returned within a reasonable time of the posting of such bonds and execution of this Contract by the City.

B. If the Contractor is declared in default under Article 40 prior to the return of the deposit,

or if any claim is made such as referred to in Article 5, the amount of such deposit, or so much thereof as the Comptroller may deem necessary, may be retained and then applied by the Comptroller:

(1) to compensate the City for any expense, loss or damage suffered or incurred by

reason of or resulting from such default, including the cost of reletting and liquidated damages; or

(2) to indemnify the City against any and all claims.

ARTICLE 14 RETAINED PERCENTAGE

As security for the faithful performance of this Contract, the Commissioner shall deduct, and retain until the Final Acceptance of the Work, a percentage of the value of Work certified for payment in each partial payment voucher, as set forth in Schedule A (see Part A).

ARTICLE 15 REQUIRED INSURAN CE COVERAGE

A. Typ es of Insuran ce: The Contractor shall procure and maintain the following types of insurance if and as indicated in Schedule A (with the minimum limits and special conditions specified in Schedule A, see Part A). Such insurance shall be maintained from the date the Contractor is required to provide Proof of Insurance pursuant to Article 15(C)(1) through

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the date of completion of all required Work. All insurance shall meet the requirements set forth in this Article 15. Wherever this Article requires that insurance coverage be “at least as broad” as a specified form (including all ISO forms), there is no obligation that the form itself be used, provided that the Contractor can demonstrate that the alternative form or endorsement contained in its policy provides coverage at least as broad as the specified form.

(1) Commercial Gen eral Li abilit y Insur ance : The Contractor shall provide

Commercial General Liability Insurance covering claims for property damage and/or bodily injury, including death, which may arise from any of the operations under this Contract. Coverage under this insurance shall be at least as broad as that provided by the latest edition of Insurance Services Office (“ISO”) Form CG 0001. Such insurance shall be "occurrence" based rather than "claims-made" and include, without limitation, the following types of coverage: premises operations; products and completed operations; contractual liability (including the tort liability of another assumed in a contract); broad form property damage; independent contractors; explosion, collapse and underground (XCU) (unless irrelevant to the Work); and incidental malpractice.

a. Such Commercial General Liability Insurance shall name the City as an Additional Insured. Coverage for the City shall specifically include the City’s officials and employees, be at least as broad as the latest edition of ISO Form CG 20 10, and provide completed operations coverage at least as broad as the latest edition of ISO Form CG 20 37.

b. If any of the Work includes repair of a waterborne vessel owned by or to be delivered to the City, such Commercial General Liability Insurance shall include, or be endorsed to include, Ship Repairer’s Legal Liability Coverage to protect against, without limitation, liability arising from navigation of such vessels prior to delivery to and acceptance by the City.

(2) Workers’ Compensation Insu ranc e , Emplo ye rs’ Liabilit y Insuran ce, and Di sabilit y

Bene fits Insuran ce: The Contractor shall provide, and shall cause its Subcontractors to provide, Workers Compensation Insurance, Employers’ Liability Insurance, and Disability Benefits Insurance in accordance with the Laws of the State of New York on behalf of all employees providing services under this Contract (except for those employees, if any, for which the Laws require insurance only pursuant to Article 15(A)(3)).

(3) United States Lon gsho remen ’s and Harbor Workers A ct and/or J ones A ct

Insu ranc e: If specified in Schedule A (see Part A) or if required by Law, the Contractor shall provide insurance in accordance with the United States Longshoremen’s and Harbor Workers Act and/or the Jones Act, on behalf of all qualifying employees providing services under this Contract.

(4) Commercial Automobile Li abilit y Insur anc e : The Contractor shall provide

Commercial Automobile Liability Insurance for liability arising out of ownership, maintenance or use of any owned (if any), non-owned and hired vehicles to be used in connection with this Contract. Coverage shall be at least as broad as the latest

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edition of ISO Form CA 00 01. If vehicles are used for transporting hazardous materials, the Automobile Liability Insurance shall be endorsed to provide pollution liability broadened coverage for covered vehicles (endorsement CA 99 48) as well as proof of MCS 90.

(5) Contractors Pollution Li abilit y Insuran ce: If specified in Schedule A, the Contractor shall maintain, or cause the Subcontractor doing such Work to maintain, Contractors Pollution Liability Insurance covering bodily injury and property damage. Such insurance shall provide coverage for actual, alleged or threatened emission, discharge, dispersal, seepage, release or escape of pollutants (including asbestos), including any loss, cost or expense incurred as a result of any cleanup of pollutants (including asbestos) or in the investigation, settlement or defense of any claim, suit, or proceedings arising from the operations under this Contract. Such insurance shall be in the Contractor's name and list the City as an Additional Insured. Coverage shall include, without limitation, (a) loss of use of damaged property or of property that has not been physically injured, (b) transportation, and (c) non-owned disposal sites.

a. Coverage for the City as Additional Insured shall specifically include the City’s officials and employees and be at least as broad as provided to the Contractor for this Contract.

b. If such insurance is written on a claims-made policy, such policy shall have a retroactive date on or before the effective date of this Contract, and continuous coverage shall be maintained, or an extended discovery period exercised, for a period of not less than three (3) years from the time the Work under this Contract is completed.

(6) Marine Insur ance:

a. Marine Protection and In demnit y Insuran ce : If specified in Schedule A or if the Contractor engages in marine operations in the execution of any part of the Work, the Contractor shall maintain, or cause the Subcontractor doing such Work to maintain, Marine Protection and Indemnity Insurance with coverage at least as broad as Form SP-23. The insurance shall provide coverage for the Contractor or Subcontractor (whichever is doing this Work) and for the City (together with its officials and employees) as Additional Insured for bodily injury and property damage arising from marine operations under this Contract. Coverage shall include, without limitation, injury or death of crew members (if not fully provided through other insurance), removal of wreck, damage to piers, wharves and other fixed or floating objects and loss of or damage to any other vessel or craft, or to property on such other vessel or craft.

b. Hull and Machine r y Ins urance: If specified in Schedule A or if the Contractor engages in marine operations in the execution of any part of the Work, the Contractor shall maintain, or cause the Subcontractor doing such Work to maintain, Hull and Machinery Insurance with coverage for the Contractor or Subcontractor (whichever is doing this Work) and for the City (together with its officials and employees) as Additional Insured at least as

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broad as the latest edition of American Institute Tug Form for all tugs used under this Contract and Collision Liability at least as broad as the latest edition of American Institute Hull Clauses.

c. Marine Pollution Liability Insur ance : If specified in Schedule A or if the

Contractor engages in marine operations in the execution of any part of the Work, the Contractor shall maintain, or cause the Subcontractor doing such Work to maintain, Marine Pollution Liability Insurance covering itself (or the Subcontractor doing such Work) as Named Insured and the City (together with its officials and employees) as Additional Insured. Coverage shall be at least as broad as that provided by the latest edition of Water Quality Insurance Syndicate Form and include, without limitation, liability arising from the discharge or substantial threat of a discharge of oil, or from the release or threatened release of a hazardous substance including injury to, or economic losses resulting from, the destruction of or damage to real property, personal property or natural resources.

(7) Professional Liabilit y In surance : If specified on Schedule A or if professional

services are provided pursuant to this Contract, the Contractor shall maintain Professional Liability Insurance appropriate to the type(s) of such services to be provided under this Agreement. Such insurance shall include an endorsement to cover the liability assumed by the Contractor under this Contract arising out of the negligent performance of professional services or caused by an error, omission or negligent act of the Contractor or anyone employed by the Contractor or by any Subcontractor providing professional services under this Contract.

a. Claims-made policies will be accepted for Professional Liability Insurance. All such policies shall have an extended reporting period option or automatic coverage of not less than two (2) years. If available as an option, the Contractor shall purchase extended reporting period coverage effective on cancellation or termination of such insurance unless a new policy is secured with a retroactive date, including at least the last policy year.

(8) Personal Propert y: If specified in Schedule A, the Contractor shall maintain an

all risk policy covering the City’s materials and equipment used in the Contract against loss, damage or destruction from any cause while such property is in the custody of the Contractor or any of its Subcontractors. Insurance shall name the City of New York as Additional Insured and loss payee.

(9) Other Insurance: If specified in Schedule A, the Contractor shall provide such other

types of insurance, at such minimum limits and with such conditions as specified. B. General Requirements for Insurance Coverage and Policies:

(1) All required insurance policies shall be maintained with companies that may

lawfully issue the required policy and have an A.M. Best rating of at least A-/VII or a Standard and Poor’s rating of at least A, unless prior written approval is obtained from the New York City Office of the Corporation Counsel.

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(2) The Contractor shall be solely responsible for the payment of all premiums for all required policies and all deductibles and self-insured retentions to which such policies are subject, whether or not the City is an insured under the policy.

(3) No policy shall have a self-insured retention above $50,000 unless expressly

authorized by the Commissioner.

(4) In his/her sole discretion, the Commissioner may, subject to the approval of the Comptroller and the Corporation Counsel, accept Letters of Credit and/or custodial accounts in lieu of required insurance.

(5) The City’s limits of coverage for all types of insurance required pursuant to

Schedule A shall be the greater of (i) the minimum limits set forth in Schedule A or (ii) the limits provided to the Contractor as Named Insured under all primary, excess and umbrella policies of that type of coverage.

(6) The Contractor may satisfy its insurance obligations under this Article through

primary policies or a combination of primary and excess/umbrella policies, so long as all policies provide the scope of coverage required herein.

(7) Policies of insurance provided pursuant to this Article shall be primary and non-

contributing to any insurance or self-insurance maintained by the City. C. Proof of Insuran ce:

(1) For Workers’ Compensation Insurance, Employers’ Liability Insurance, and Disability Benefits Insurance, the Contractor shall submit proof of insurance within ten (10) days of award of this Contract as follows. ACORD forms are not acceptable. For Workers’ Compensation Insurance: C-105.2 Certificate of Workers’ Compensation Insurance; U-26.3 State Insurance Fund Certificate of Workers’ Compensation Insurance; Request for WC/DB Exemption (Form CE- 200); equivalent or successor forms used by the New York State Workers’ Compensation Board; or other proof of insurance in a form acceptable to the Commissioner. For Disability Benefits Insurance: DB-120.1 Certificate of Insurance Coverage Under the NYS Disability Benefits Law; Request for WC/DB Exemption (Form CE-200); equivalent or successor forms used by the New York State Workers’ Compensation Board; or other proof of insurance in a form acceptable to the Commissioner.

(2) For all types of insurance required by this Article and Schedule A other than

Workers’ Compensation Insurance, Employers’ Liability Insurance, and Disability Benefits Insurance, the Contractor shall file proof of insurance on Certificate(s) of Insurance acceptable to the Commissioner. This shall be done within ten (10) Days of award, except that for Marine Insurance under Section (A)(6), above, proof shall be filed by a date specified by the Commissioner or ten (10) Days prior to the commencement of the portion of the Work covered by such policy, whichever is earlier.

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a. All such Certificates of Insurance shall be in a form acceptable to the Commissioner and certify (a) the issuance and effectiveness of such policies of insurance, each with the specified minimum limits; (b) for Commercial General Liability Insurance, that the City and any other entity specified in Schedule A is an Additional Insured thereunder; (c) for Contractors Pollution Liability Insurance and/or Marine Insurance, that the City is an Additional Insured thereunder; and (d) the company code issued to the insurance company by the National Association of Insurance Commissioners (the NAIC number). All such Certificates of Insurance shall be accompanied by the required additional insured endorsements and either a duly executed “Certification by Insurance Broker or Agent” in the form contained in Part III of Schedule A (also included in Part E(6) of this IFB) or copies of all policies referenced in such Certificate of Insurance as certified by an authorized representative of the issuing insurance carrier. If any policy is not available at the time of submission, certified binders may be submitted until such time as the policy is available, at which time a certified copy of the policy shall be submitted.

b. Proof of insurance confirming renewals of insurance policies (or new

policies) shall be submitted to the Commissioner before the expiration date of coverage of policies required under this Contract. Such proofs of insurance shall comply with the requirements of this Section 15(C). Failure to provide such proofs of insurance shall be grounds to suspend payments to the Contractor.

D. Operations of the Contractor :

(1) The Contractor shall not commence the Work unless and until all required certificates have been submitted to and accepted by the Commissioner. Acceptance by the Commissioner of a certificate does not excuse the Contractor from securing insurance consistent with all provisions of this Article or of any liability arising from its failure to do so.

(2) The Contractor shall be responsible for providing continuous insurance coverage

in the manner, form, and limits required by this Contract and shall be authorized to perform Work only during the effective period of all required coverage.

(3) In the event that any of the required insurance policies lapse, are revoked,

suspended or otherwise terminated, for whatever cause, the Contractor shall immediately stop all Work, and shall not recommence Work until authorized in writing to do so by the Commissioner. Upon quitting the Site, except as otherwise directed by the Commissioner, the Contractor shall leave all plant, materials, equipment, tools, and supplies on the Site. Contract time shall continue to run during such periods and no extensions of time will be granted. The Commissioner may also declare the Contractor in default for failure to maintain required insurance.

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(4) In the event the Contractor receives notice, from an insurance company or other person, that any insurance policy required under this Article shall be cancelled or terminated (or has been cancelled or terminated) for any reason, the Contractor shall immediately forward a copy of such notice to both the Commissioner and the New York City Comptroller, Attn: Office of Contract Administration, Municipal Building, One Centre Street, Room 1005, New York, New York 10007. Notwithstanding the foregoing, the Contractor shall ensure that there is no interruption in any of the insurance coverage required under this Article.

(5) Whenever notice of loss, damage, occurrence, accident, claim or suit to an

insurance company is required under a policy maintained in accordance with this Article, the Contractor shall notify in writing all insurance carriers that issued potentially responsive policies of any such event relating to any operations under this Contract (including notice to Commercial General Liability insurance carriers for events relating to the Contractor’s own employees) no later than twenty (20) Days after such event. For any policy on which the City is an Additional Insured, such notice shall expressly specify that “this notice is being given on behalf of the City of New York as Additional Insured, as well as the Named Insured.” Such notices shall set forth the number of the insurance policy, the name of the Named Insured, the date and location of the damage, occurrence, or accident, and the identity of the persons or things injured, damaged or lost. The Contractor shall simultaneously send a copy of such notice to the City of New York c/o Insurance Claims Specialist, Affirmative Litigation Division, New York City Law Department, 100 Church Street, New York, New York 10007.

E. Subcontractor Insur anc e: In the event the Contractor requires any Subcontractor to procure insurance with regard to any operations under this Contract and requires such Subcontractor to name the Contractor as an additional insured under such insurance, the Contractor shall ensure that such Subcontractor also name the City, including its officials and employees, as an Additional Insured with coverage at least as broad as the most recent edition of ISO Form CG 20 26.

F. Commissioner ’s Address : Wherever reference is made in this Article 15 to documents

to be sent to the Commissioner (e.g., notices, filings, or submissions), such documents shall be sent to the address set forth in Schedule A (see Part A). In the event no address is set forth in Schedule A, such documents are to be sent to the Commissioner’s address as provided elsewhere in this Contract.

G. Materialit y/Non -Waiver: The Contractor's failure to secure and maintain policies in complete conformity with this Article or to do anything else required by this Article shall constitute a material breach of this Contract. Such breach shall not be waived or otherwise excused by any action or inaction by the City at any time.

H. Other Remedies : Insurance coverage provided pursuant to this Article 15 or otherwise

shall not relieve the Contractor of any liability under this Contract, nor shall it preclude the City from exercising any rights or taking such other actions available to it under any other provisions of this Contract or Law.

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ARTICLE 16 MONEY RETAINED A GAINST CLAIMS

A. If any claim shall be made by any person or entity (including Other Contractors with the City) against the City or against the Contractor and the City for any of the following:

(1) An alleged loss, damage, injury, theft or vandalism of the kind referred to in Article

5 hereof, plus the reasonable costs of defending the City, which in the opinion of the Comptroller may not be paid by an insurance company (for any reason whatsoever); or

(2) An infringement of patents or copyright or use of patented articles, tools, etc., as

referred to in Article 50 hereof; or

(3) Damage claimed to have been caused directly or indirectly by the failure of the Contractor to perform the Work in strict accordance with this Contract; then the amount of such claim, or so much thereof as the Comptroller may deem necessary, may be withheld by the Comptroller as security against such claim, from any money due hereunder. The Comptroller in his/her discretion, may permit the Contractor to substitute other satisfactory security in lieu of the monies so withheld.

B. If an action on such claim is timely commenced and the liability of the City, or the

Contractor, or both, shall have been established therein by a final judgment of a court of competent jurisdiction, or if such claim shall have been admitted by the Contractor to be valid, the Comptroller shall pay such judgment or admitted claim out of the monies retained by the Comptroller under the provisions of this Article, and return the balance, if any, without interest, to the Contractor.

C. If no action is commenced upon such claim within the time limited therefor by Law, the

Comptroller, upon written demand by the Contractor, shall return the amount so held, without interest.

D. Liens: If at any time before or within thirty (30) days after the whole Work is completed and accepted by the City, any persons claiming to have performed any labor or furnished any material toward the performance or completion of this Contract shall file with the Department and with the Commissioner of the City’s Department of Finance any notice as is described in the New York State Lien Law, or any act of the Legislature of the State of New York, upon such filing, the City shall retain, from the monies due or to become due under this Contract, so much of such monies as shall be sufficient to pay the amount claimed in said notice, together with the reasonable costs of any action or actions brought or that may be brought to enforce such lien. The monies so retained shall be held by the City until the lien thereon created by the said act and the filing of the said notice shall be discharged pursuant to Law.

ARTICLE 17 WARRANTY O F SU PPLIES

A. Notwithstanding inspection and acceptance by the City of supplies furnished under the Contract or any provision concerning the conclusiveness thereof, and subject to the provisions of Article 18, the Contractor warrants that:

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-22

(1) The parts and equipment incorporated into any equipment being serviced are standard new equipment and current model(s) of regular stock product(s) with all parts regularly used with the type of equipment serviced; also that no attachment or part has been substituted or applied contrary to the manufacturer’s recommendations and standard practice; and

(2) The preservation, packaging, packing and marking, and the preparation for a method of shipment of supplies will conform with the requirements of this Contract.

B. The Commissioner shall give written notice to the Contractor of any breach of the

warranties in Section A of this Article. ARTICLE 18 MAINTENANCE A ND GUAR ANTY

A. The Contractor shall promptly repair, replace, restore or rebuild, as the Commissioner may deem necessary, any finished Work in which defects of materials or workmanship may appear or to which damage may occur because of such defects, during the one (1) year period subsequent to the date of Final Acceptance, except where other periods of maintenance and guaranty are provided for.

B. As security for the faithful performance by the Contractor of its obligations hereunder, the

Comptroller shall retain from the final payment hereunder a sum equal to one percent (1%) of the Contract price or the amount fixed in Schedule A (see Part A). If the Contractor has faithfully performed all its obligations hereunder the Commissioner shall so certify to the Comptroller within five (5) Days after the expiration of one (1) year from the date of Final Acceptance or within (5) Days after the expiration of the guaranty period. The security payment shall be repaid to the Contractor without interest within thirty (30) Days after certification by the Commissioner to the Comptroller that the Contractor has faithfully performed all of its obligations hereunder.

C. Notice by the Commissioner to the Contractor to repair, replace, rebuild, or restore such

defective or damaged Work shall be timely if given no later than ten (10) Days subsequent to the expiration of the one (1) year period or other periods provided for herein.

D. If the Contractor shall fail to repair, replace, rebuild or restore such defective or damaged

Work promptly after receiving such notice, the Commissioner shall have the right to have the Work done by others in the same manner as is provided for the completion of a defaulted contract, under Article 44 and to deduct the cost thereof from the amount retained hereunder. The balance, if any, shall be returned to the Contractor without interest.

E. If the amount so retained is insufficient to cover the cost of such Work, the Contractor shall

be liable to pay such deficiency on demand by the Commissioner. F. The Project Manager’s certificate setting forth the fair and reasonable cost of repairing,

replacing, rebuilding or restoring any damaged or defective Work when performed by one other than the Contractor shall be binding and conclusive as to the amount thereof upon the Contractor.

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G. The Contractor shall obtain all manufacturers’ warranties and guaranties of all equipment and materials required by this Contract in the name of the City of New York and shall deliver same to the City.

ARTICLE 19 CONTRACT CHAN GES

A. Changes may be made to this Contract only as duly authorized in writing by the ACCO or his/her designee, and in accordance with Law and this Contract, and shall be reflected in a change order. All such changes, modifications and amendments will become a part of the Contract. Any additional Work so ordered shall be referred to as Extra Work and shall be performed by the Contractor. Contractors deviating from the requirements of the Contract without a duly approved change order document, or written Contract modification or amendment, do so at their own risk.

B. Contract changes will be made only for Extra Work necessary to complete the Work

included in the original scope of the Contract, and/or for non-material changes to the scope of the Contract. Changes are not permitted for any material alteration in the scope of Work.

C. The Contractor may be entitled to a price adjustment for Extra Work performed pursuant

to a written change order. If any part of the Contract Work is necessarily delayed by a change order, the Contractor may be entitled to an extension of time for performance. Adjustments to price shall be computed in one or more of the following ways:

(1) By agreement of a fixed price;

(2) By applicable unit prices specified in the Contract;

(3) By time and material records; and/or

(4) In any other manner approved by the CCPO.

D. Where the cost of the change order has been negotiated in the absence of established cost

history, the costs are subject to verification by post-audit. If the audits reveal that the Contractor's costs for the change order Work were inaccurately stated during negotiations, the Department may recoup the amount by which the costs were inaccurately stated by proportionately reducing the price of the change order. This remedy is not exclusive and is in addition to all other rights and remedies of the City.

E. All payments for change orders are subject to pre-audit by the Engineering Audit Office

and may be post-audited by the Comptroller and/or the Department. F. Except in the case of exclusive requirements contracts in which the Agency has agreed to

order from the Contractor all services and supplies of the specified type that may be needed during the term of the Contract, any Contract increases which cumulatively exceed the greater of ten percent (10%) of the Contract cost or one hundred thousand dollars ($100,000) must be approved in writing by the CCPO. Any change order which amends a unit price, cancels required units, or adds a new type of unit item to the Contract must be approved in writing by the ACCO.

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G. The ACCO may include in any solicitation a provision for determining the cost of changes that may become necessary, so that these costs can be competitively determined before award.

ARTICLE 20 COST OR PRICIN G D ATA

A. Contract: The Contractor shall, whenever required by the Commissioner during the Contract, including but not limited to the time of bidding, submit costs or pricing data and formally certify that, to the best of its knowledge and belief, the cost or pricing data submitted was accurate, complete, and current as of a specified date. The Contractor shall be required to keep its submission of cost and pricing data current until the Contract has been completed.

B. Change Ord er or Contract Modification : The price of any change order or Contract

modification subject to the conditions of Section A above, shall be adjusted to exclude any significant sums by which the City finds that such price was based on costs or price data furnished by the Contractor which was inaccurate, incomplete, or not current as of the date agreed upon between the parties.

C. Time For Certific ation : The Contractor must certify that the cost or pricing submitted is

accurate, complete, and current as of a mutually determined date. D. Refusal to Submit Data : If the Contractor refuses to submit the required data to support

a price, the ACCO shall not allow the price. E. Certification of Cur rent Cost or Pricing Data; For m of Certification : In those cases when

cost or pricing data is required, certification shall be made using a certificate substantially similar to the one contained in the PPB Rules, and such certification shall be retained in the Agency Contract file.

ARTICLE 21 METHODS OF PAY M ENT FOR EXTRA WORK

A. Extra Work for which there are applicable Contract unit prices will be paid for at such unit prices. Where there are no applicable Contract unit prices, subject to audit by the Engineering Audit Office, the price to be paid for Extra Work ordered pursuant to Article 19 or other provision of this Contract, and performed by the Contractor with its own forces, shall be the actual and reasonable cost of:

(1) Necessary materials (including transportation to the Site); plus

(2) Necessary direct labor, including payroll taxes (subject to statutory wage caps) and supplemental benefits; plus

(3) Sales and personal property taxes, if any, required to be paid on materials not

incorporated into such Extra Work; plus

(4) Reasonable rental value of Contractor-owned (or Subcontractor-owned, as applicable), necessary plant and equipment other than Small Tools, plus fuel/energy costs. Except for fuel costs for pick-up trucks, which shall be reimbursed based on a consumption of five (5) gallons per shift, fuel costs shall be reimbursed based on

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actual costs or, in the absence of auditable documentation, the following fuel consumption formula per operating hour: (.035) x (HP rating) x (fuel cost/gallon). Reasonable rental value is defined as the lower of either seventy-five (75%) percent of the monthly prorated rental rates established in “The AED Green Book, Rental Rates and Specifications for Construction Equipment” published by Equipment Watch (the “Green Book”), or seventy-five (75%) percent of the monthly prorated rental rates established in the “Rental Rate Blue Book for Construction Equipment” published by Equipment Watch (the “Blue Book”) (the applicable Blue Book rate being for rental only without the addition of any operational costs listed in the Blue Book). The reasonable rental value is deemed to be inclusive of all operating costs except for fuel/energy consumption and equipment operator’s wages/costs. For multiple shift utilization, reimbursement shall be calculated as follows: first shift shall be seventy-five (75%) percent of such rental rates; second shift shall be sixty (60%) percent of the first shift rate; and third shift shall be forty (40%) percent of the first shift rate. Equipment on standby shall be reimbursed at one-third (1/3) the prorated monthly rental rate. Contractor-owned (or Subcontractor-owned, as applicable) equipment includes equipment from rental companies affiliated with or controlled by the Contractor (or Subcontractor, as applicable), as determined by the Commissioner. In establishing cost reimbursement for non-operating Contractor- owned (or Subcontractor-owned, as applicable) equipment (scaffolding, sheeting systems, road plates, etc.), the City may restrict reimbursement to a purchase- salvage/life cycle basis if less than the computed rental costs; plus

(5) Necessary installation and dismantling of such plant and equipment, including transportation to and from the Site, if any, provided that, in the case of non- Contractor-owned (or non-Subcontractor-owned, as applicable) equipment rented from a third party, the cost of installation and dismantling are not allowable if such costs are included in the rental rate; plus

(6) Necessary fees charged by governmental entities; plus

(7) Necessary Work-related service fees charged by non-governmental entities, such as landfill tipping fees; plus

(8) Reasonable rental costs of non-Contractor-owned (or non-Subcontractor-owned, as applicable) necessary plant and equipment other than Small Tools, plus fuel/energy costs. Except for fuel costs for pick-up trucks, which shall be reimbursed based on a consumption of five (5) gallons per shift, fuel costs shall be reimbursed based on actual costs or, in the absence of auditable documentation, the following fuel consumption formula per hour of operation: (.035) x (HP rating) x (fuel cost/gallon). In lieu of renting, the City reserves the right to direct the purchase of non-operating equipment (scaffolding, sheeting systems, road plates, etc.), with payment on a purchase-salvage/life cycle basis, if less than the projected rental costs; plus

(9) Workers’ Compensation Insurance, and any insurance coverage expressly required by the City for the performance of the Extra Work that is different than the types of insurance required by Article 15 and Schedule A (Part A(4) of the IFB). The cost of Workers’ Compensation Insurance is subject to applicable payroll limitation caps and shall be based upon the carrier’s Manual Rate for such insurance derived from

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the applicable class Loss Cost (“LC”) and carrier’s Lost Cost Multiplier (“LCM”) approved by the New York State Department of Financial Services, and with the exception of experience rating, rate modifiers as promulgated by the New York Compensation Insurance Rating Board (“NYCIRB”); plus

(10) Additional costs incurred as a result of the Extra Work for performance and payment bonds (if required); plus

(11) Ten percent (10%) of the total of items in subsections (1) through (5), above, as compensation for all overhead including, but not limited to, administration, management superintendence, insurance (other than Workers’ Compensation), and Small Tools; except that no percentage for overhead will be allowed on payroll taxes (i.e., State or Federal Unemployment Insurance and FICA payments), or on the premium portion of overtime pay or on sales and personal property taxes; plus

(12) Ten percent (10%) of the total of items in subsections (1) through (5), above, plus the amount of subsection (11), above, as compensation for profit, except that no percentage for profit will be allowed on payroll taxes or on the premium portion of overtime pay or on sales and personal property taxes; plus

(13) Five (5%) of the total of items in subsections (6) through (10), above, as compensation for overhead and profit.

B. Where there are no applicable unit prices for Extra Work ordered pursuant to Article 19

and performed in whole or in part by other than the Contractor’s own forces, the Contractor shall be paid, subject to audit by the Engineering Audit Office (“EAO”), only the actual and reasonable cost of such subcontracted Work computed as outlined above, plus an additional allowance of five percent (5%) to cover the Contractor’s overhead and profit.

C. Where a change is ordered, involving both Extra Work and omitted or reduced Work, the

Contract price shall be adjusted, subject to audit by the EAO, in an amount based on the difference between the value of such Extra Work and of the Work omitted or reduced. The cost of such Extra Work and of such omitted or reduced Work shall be computed based upon applicable Contract unit prices. Where there are no applicable Contract unit prices, the cost of such Extra Work and of such omitted or reduced Work shall be computed in accordance with Section A (1) through (10) of this Article. If the cost of such Extra Work exceeds the costs of such omitted or reduced Contract Work, the Contract price shall be increased by the difference, plus percentages for overhead and profit as provided in Section A (11) and (12) of this Article. If the cost of such Extra Work exceeds the cost of the Work omitted or reduced, the Contract price shall be increased by the difference, plus ten percent (10%) thereof, as compensation for all other items of cost or expense including administration, overhead, superintendent and small tools, plus an additional ten percent (10%) on the total thereof as compensation for profit. If the cost of the omitted or reduced Work exceeds the cost of the Extra Work, then the Contract price shall be reduced by such difference.

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D. Where the Contractor and the Commissioner can agree upon another method of payment for Extra Work ordered in connection with omitted or reduced Work, such method, subject to audit by the Department's EAO, may, at the option of the Commissioner, be substituted for the cost plus a percentage method; provided however, that if the Work is performed by a Subcontractor, the Contractor shall not be entitled to receive more than an additional allowance of five percent (5%) over and above the actual and reasonable cost of such Subcontractor's Work.

ARTICLE 22 PER FOR MANCE O F EXTRA OR DISPUTED WORK

A. While the Contractor or any of its Subcontractors is performing Extra Work on a time and material basis ordered by the Commissioner (unless payment therefor is to be made by lump sum or at unit prices previously agreed upon), or is performing disputed Work, or complying with a determination or order under protest in accordance with Article 24, in each such case the Contractor shall furnish the Project Manager daily with three (3) copies of written statements signed by the Contractor's representative at the Site showing:

(1) The name and number of each worker employed on such Work or engaged in

complying with such determination or order, the number of hours employed, and the character of the Work each is doing; and

(2) The nature and quality of any materials, plant and equipment furnished or used in

connection with the performance of such Work or compliance with such determination or order, and from whom purchased or rented.

B. A copy of such statement will be countersigned by the Project Manager, noting thereon any

items not agreed to or questioned, and will be returned to the Contractor within two (2) Days after submission.

C. The Contractor and its Subcontractors, when required by the Commissioner, or the

Comptroller, shall also produce for inspection, at the office of the Contractor or Subcontractor, any and all of its books, bid documents, financial statements, vouchers, records, daily job diaries and reports, canceled checks and any other related documents showing the nature and quantity of the labor, materials, plant and equipment actually used in the performance of such Work, or in complying with such determination or order, and the amounts expended therefor. The Contractor and Subcontractors shall permit the Commissioner and the Comptroller to make extracts therefrom, or copies thereof, as they or either of them may desire.

D. In connection with the examination provided for herein, the Commissioner, upon demand

therefor, will produce for inspection by the Contractor such records as the Department may have with respect to such Extra Work or disputed Work performed under protest pursuant to order of the Commissioner, except those records and reports which may have been prepared for the purpose of determining the accuracy and validity of the Contractor's claim.

E. Failure to comply strictly with these requirements shall constitute a waiver of any claim

for extra compensation or damages on account of the performance of such Work or compliance with such determination or order.

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ARTICLE 23 OMITTED WORK

If any Contract Work in a lump sum Contract, or if any part of a lump sum item in a unit price or percentage-bid Contract is omitted by the Commissioner pursuant to Article 28, the Contract price, subject to audit by the EAO, shall be reduced by an amount equal to the estimated cost of such omitted Work, computed in accordance with Article 21, Section A (1) through (7), unless the Contractor and the Commissioner can agree upon another method of fixing the value of such Work omitted. If any Contract Work in a unit price or percentage-bid Contract, whether the whole of a lump sum item or units of any other item, is so omitted by the Commissioner, no payment will be made therefor. Notwithstanding anything to the contrary in this Article, if the Work is reduced or omitted, the Contractor shall not be entitled to overhead and profit for omitted Work, except for any costs actually or necessarily incurred by the Contractor prior to the receipt by the Contractor of the notification of omission or reduction of the Work.

ARTICLE 24 RESOLUTION OF DISPUTES

A. Except as provided in Sections (A)(1) and (2) below, all disputes between the City and the Contractor that arise under, or by virtue of, this Contract shall be finally resolved in accordance with the provisions of this Article and Section 4-09 of the PPB Rules. This procedure shall be the exclusive means of resolving any such disputes.

(1) This Article shall not apply to disputes concerning matters dealt with in other sections of the PPB Rules or to disputes involving patents, copyrights, trademarks, or trade secrets (as interpreted by the courts of New York State) relating to proprietary rights in computer software.

(2) For construction and construction-related services, this Article shall apply only to disputes about the scope of work delineated by the Contract, the interpretation of Contract Documents, the amount to be paid for Extra Work or disputed Work performed in connection with the Contract, the conformity of the Contractor’s work to the Contract, and the acceptability and quality of the Contractor’s work; such disputes arise when the Engineer, Resident Engineer, Engineering Audit Officer, or other designee of the Commissioner makes a determination with which the Contractor disagrees.

B. All determinations required by this Article shall be clearly stated, with a reasoned

explanation for the determination based on the information and evidence presented to the party making the determination. Failure to make such determination within the time required by this Article shall be deemed a non-determination without prejudice that will allow application to the next level.

C. During such time as any dispute is being presented, heard, and considered pursuant to this

Article, the Contract terms shall remain in full force and effect and the Contractor shall continue to perform Work in accordance with the Contract and as directed by the ACCO or Engineer, Resident Engineer, Engineering Audit Officer, or other designee of the Commissioner. Failure of the Contractor to continue the Work as directed shall constitute a waiver by the Contractor of any and all claims being presented pursuant to this Article and a material breach of Contract.

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D. Presentation of Dispute t o Commissioner :

(1) Notice of Dispute and A genc y Response : The Contractor shall present its dispute in writing (“Notice of Dispute”) to the Commissioner within the time specified herein, or, if no time is specified, within thirty (30) days of receiving written notice of the determination or action that is the subject of the dispute. This notice requirement shall not be read to replace any other notice requirements contained in the Contract. The Notice of Dispute shall include all the facts, evidence, documents, or other basis upon which the Contractor relies in support of its position, as well as a detailed computation demonstrating how any amount of money claimed by the Contractor in the dispute was arrived at. Within thirty (30) days after receipt of the complete Notice of Dispute, the ACCO or, in the case of construction or construction-related services, the Engineer, Resident Engineer Engineering Audit Officer, or other designee of the Commissioner, shall submit to the Commissioner all materials he or she deems pertinent to the dispute. Following initial submissions to the Commissioner, either party may demand of the other the production of any document or other material the demanding party believes may be relevant to the dispute. The requested party shall produce all relevant materials that are not otherwise protected by a legal privilege recognized by the courts of New York State. Any question of relevancy shall be determined by the Commissioner whose decision shall be final. Willful failure of the Contractor to produce any requested material whose relevancy the Contractor has not disputed, or whose relevancy has been affirmatively determined, shall constitute a waiver by the Contractor of its claim.

(2) Commissioner Inquir y: The Commissioner shall examine the material and may, in his or her discretion, convene an informal conference with the Contractor and the ACCO and, in the case of construction or construction-related services, the Engineer, Resident Engineer, Engineering Audit Officer, or other designee of the Commissioner, to resolve the issue by mutual consent prior to reaching a determination. The Commissioner may seek such technical or other expertise as he or she shall deem appropriate, including the use of neutral mediators, and require any such additional material from either or both parties as he or she deems fit. The Commissioner’s ability to render, and the effect of, a decision hereunder shall not be impaired by any negotiations in connection with the dispute presented, whether or not the Commissioner participated therein. The Commissioner may or, at the request of any party to the dispute, shall compel the participation of any Other Contractor with a contract related to the Work of this Contract and that contractor shall be bound by the decision of the Commissioner. Any Other Contractor thus brought into the dispute resolution proceeding shall have the same rights and obligations under this Article as the Contractor initiating the dispute.

(3) Commissioner Determin ation : Within thirty (30) days after the receipt of all materials and information, or such longer time as may be agreed to by the parties, the Commissioner shall make his or her determination and shall deliver or send a copy of such determination to the Contractor and ACCO and, in the case of construction or construction-related services, the Engineer, Resident Engineer, Engineering Audit Officer, or other designee of the Commissioner, together with a statement concerning how the decision may be appealed.

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(4) Finalit y of Commissioner Decision : The Commissioner’s decision shall be final and binding on all parties, unless presented to the Contract Dispute Resolution Board (“CDRB”) pursuant to this Article. The City may not take a petition to the CDRB. However, should the Contractor take such a petition, the City may seek, and the CDRB may render, a determination less favorable to the Contractor and more favorable to the City than the decision of the Commissioner.

E. Presentation of Dispute to the Comptroller : Before any dispute may be brought by the

Contractor to the CDRB, the Contractor must first present its claim to the Comptroller for his or her review, investigation, and possible adjustment.

(1) Time, Fo rm, and Conte nt of Notice : Within thirty (30) days of receipt of a

decision by the Commissioner, the Contractor shall submit to the Comptroller and to the Commissioner a Notice of Claim regarding its dispute with the Agency. The Notice of Claim shall consist of (i) a brief statement of the substance of the dispute, the amount of money, if any, claimed and the reason(s) the Contractor contends the dispute was wrongly decided by the Commissioner; (ii) a copy of the decision of the Commissioner, and (iii) a copy of all materials submitted by the Contractor to the Agency, including the Notice of Dispute. The Contractor may not present to the Comptroller any material not presented to the Commissioner, except at the request of the Comptroller.

(2) Agenc y Response: Within thirty (30) days of receipt of the Notice of Claim, the

Agency shall make available to the Comptroller a copy of all material submitted by the Agency to the Commissioner in connection with the dispute. The Agency may not present to the Comptroller any material not presented to the Commissioner, except at the request of the Comptroller.

(3) Comptroller Inv estigation : The Comptroller may investigate the claim in dispute

and, in the course of such investigation, may exercise all powers provided in Sections 7-201 and 7-203 of the Admin. Code. In addition, the Comptroller may demand of either party, and such party shall provide, whatever additional material the Comptroller deems pertinent to the claim, including original business records of the Contractor. Willful failure of the Contractor to produce within fifteen (15) days any material requested by the Comptroller shall constitute a waiver by the Contractor of its claim. The Comptroller may also schedule an informal conference to be attended by the Contractor, Agency representatives, and any other personnel desired by the Comptroller.

(4) Opportunit y o f Comptroller to Compromise or Adjust Claim : The Comptroller

shall have forty-five (45) days from his or her receipt of all materials referred to in Section E(3) to investigate the disputed claim. The period for investigation and compromise may be further extended by agreement between the Contractor and the Comptroller, to a maximum of ninety (90) days from the Comptroller’s receipt of all the materials. The Contractor may not present its petition to the CDRB until the period for investigation and compromise delineated in this paragraph (4) has expired. In compromising or adjusting any claim hereunder, the Comptroller may not revise or disregard the terms of the Contract between the parties.

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F. Contract Dispute Resolution Board : There shall be a Contract Dispute Resolution Board composed of:

(1) the chief administrative law judge of the Office of Administrative Trials and

Hearings (“OATH”) or his/her designated OATH administrative law judge, who shall act as chairperson, and may adopt operational procedures and issue such orders consistent with this section as may be necessary in the execution of the CDRB’s functions, including, but not limited to, granting extensions of time to present or respond to submissions;

(2) the CCPO or his/her designee; any designee shall have the requisite background to consider and resolve the merits of the dispute and shall not have participated personally and substantially in the particular matter that is the subject of the dispute or report to anyone who so participated, and

(3) a person with appropriate expertise who is not an employee of the City. This person shall be selected by the presiding administrative law judge from a prequalified panel of individuals, established and administered by OATH, with appropriate background to act as decision-makers in a dispute. Such individuals may not have a contract or dispute with the City or be an officer or employee of any company or organization that does, or regularly represent persons, companies, or organizations having disputes with the City.

G. Petition to CDRB: In the event the claim has not been settled or adjusted by the

Comptroller within the period provided in this Article, the Contractor, within thirty (30) Days thereafter, may petition the CDRB to review the Commissioner’s determination.

(1) Form and Content o f Pe tition b y Contractor : The Contractor shall present its

dispute to the CDRB in the form of a petition, which shall include (i) a brief statement of the substance of the dispute, the amount of money, if any, claimed, and the reason(s) the Contractor contends that the dispute was wrongly decided by the Commissioner; (ii) a copy of the decision of the Commissioner; (iii) copies of all materials submitted by the Contractor to the Agency; (iv) a copy of the decision of the Comptroller, if any, and (v) copies of all correspondence with, and material submitted by the Contractor to, the Comptroller’s Office. The Contractor shall concurrently submit four complete sets of the petition: one to the Corporation Counsel (Attn: Commercial and Real Estate Litigation Division), and three to the CDRB at OATH’s offices, with proof of service on the Corporation Counsel. In addition, the Contractor shall submit a copy of the statement of the substance of the dispute, cited in (i) above, to both the Commissioner and the Comptroller.

(2) Agenc y Response: Within thirty (30) days of receipt of the petition by the Corporation Counsel, the Agency shall respond to the statement of the Contractor and make available to the CDRB all material it submitted to the Commissioner and Comptroller. Three complete copies of the Agency response shall be submitted to the CDRB at OATH’s offices and one to the Contractor. Extensions of time for submittal of the Agency response shall be given as necessary upon a showing of good cause or, upon the consent of the parties, for an initial period of up to thirty (30) Days.

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(3) Further Proceedin gs : The Board shall permit the Contractor to present its case by submission of memoranda, briefs, and oral argument. The Board shall also permit the Department to present its case in response to the Contractor by submission of memoranda, briefs, and oral argument. If requested by the Corporation Counsel, the Comptroller shall provide reasonable assistance in the preparation of the Agency’s case. Neither the Contractor nor the Department may support its case with any documentation or other material that was not considered by the Comptroller, unless requested by the CDRB. The CDRB, in its discretion, may seek such technical or other expert advice as it shall deem appropriate and may seek, on its own or upon application of a party, any such additional material from any party as it deems fit. The CDRB, in its discretion, may combine more than one dispute between the parties for concurrent resolution.

(4) CDRB Determination: Within forty-five (45) Days of the conclusion of all

submissions and oral arguments, the CDRB shall render a decision resolving the dispute. In an unusually complex case, the CDRB may render its decision in a longer period of time, not to exceed ninety (90) days, and shall so advise the parties at the commencement of this period. The CDRB’s decision must be consistent with the terms of the Contract. Decisions of the CDRB shall only resolve matters before the CDRB and shall not have precedential effect with respect to matters not before the CDRB.

(5) Notification of CDRB D ecision : The CDRB shall send a copy of its decision to

the Contractor, the Commissioner, the ACCO, the Corporation Counsel, the Comptroller, the CCPO, and the PPB. A decision in favor of the Contractor shall be subject to the prompt payment provisions of the PPB Rules. The Required Payment Date shall be thirty (30) Days after the date the parties are formally notified of the CDRB’s decision.

(6) Finalit y of CDR B D ecision : The CDRB’s decision shall be final and binding on

all parties. Any party may seek review of the CDRB’s decision solely in the form of a challenge, filed within four (4) months of the date of the CDRB’s decision, in a court of competent jurisdiction of the State of New York, County of New York pursuant to Article 78 of the Civil Practice Law and Rules. Such review by the court shall be limited to the question of whether or not the CDRB’s decision was made in violation of lawful procedure, was affected by an error of law, or was arbitrary and capricious or an abuse of discretion. No evidence or information shall be introduced or relied upon in such proceeding that was not presented to the CDRB in accordance with this Article.

H. Any termination, cancellation, or alleged breach of the Contract prior to or during the

pendency of any proceedings pursuant to this Article shall not affect or impair the ability of the Commissioner or CDRB to make a binding and final decision pursuant to this Article.

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ARTICLE 25 CONTRACTOR EVALUATION

The Contractor's performance shall be evaluated by the City upon the occurrence of Final Acceptance. A copy of the evaluation will be sent to the Contractor not later than fifteen (15) Days after the occurrence of this event and the Contractor may respond in writing to the performance report. Such responses shall be submitted to the Project Manager not later than fifteen (15) Days after a copy of the evaluation is sent to the Contractor. The response will be affixed to the evaluation. Failure to respond may result in review of Contractor's performance when a bid is evaluated without the benefit of Contractor's response to the report.

ARTICLE 26 TIME FOR PER FOR MANCE O F INDIVI D UAL TASKS

A. If appropriate to the Work of this Contract, DEP will initiate tasks with a written directive to perform specified Contract Work (a “Work Order”), which will give the period for performance of the particular item of assigned Work. A Work Order may extend beyond the expiration date of the Contract itself.

B. The Work Order may contain details such as payment amount and terms, liquidated

damages, etc., that are applicable to the specific task.

(1) All terms and conditions of the Contract applicable to a Work Order shall remain in effect until the Work Order ends.

(2) Work Orders shall continue until:

a. the Work covered by the Work Order is completed;

b. the Work Order expires by its own terms; or

c. DEP terminates the Work Order.

(3) The period for performance of the Work Order may be extended, where appropriate, in accordance with the provisions of Article 10, above.

C. No new Work Orders may be issued after the termination date of the Contract.

ARTICLE 27 [Intentionally Left Blank]

ARTICLE 28 POWERS O F THE COMMISSIONER

A. The Commissioner, in addition to those matters elsewhere herein expressly made subject to his or her determination, direction or approval, shall have the power:

(1) To review and determine any and all questions in relation to this Contract and its

performance; and

(2) To modify or change this Contract so as to require:

a. The performance of Extra Work (subject, however to the limitations specified in Article 19); or

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b. The omission of Contract Work; and

(3) To suspend the whole or any part of the Work whenever in his/her judgment such suspension is required in the interest of the City.

ARTICLE 29 [Intentionally Left Blank]

ARTICLE 30 LABOR; CONTRACTOR EMPLOYEES

The Contractor and its Subcontractors shall not employ on the Work: A. Anyone who is not competent, faithful and skilled in the Work for which he/she shall be

employed; and whenever the Commissioner shall inform the Contractor, in writing, that any employee is, in his/her opinion, incompetent, unfaithful or disobedient, he/she shall be discharged from the Work forthwith, and shall not again be employed upon it; or

B. Any labor, materials, or means whose employment or utilization during the course of this

Contract may tend to or in any way cause or result in strikes, work stoppages, delays, suspension of Work or similar troubles by workers employed by the Contractor or its Subcontractors or by any of the trades working in or about the buildings and premises where Work is being performed under this Contract, or by Other Contractors or their subcontractors pursuant to other contracts, or on any other building or premises owned or operated by the City, its agencies, departments, boards or authorities. Any violation by the Contractor of this requirements may, upon certification of the Commissioner, be considered as proper and sufficient cause for declaring the Contractor to be in default, and for the City to take action against the Contractor as set forth in Article 44, or such other article of this Contract as the Commissioner may deem proper; or

C. In accordance with Section 220.3-e of the Labor Law, if applicable, the Contractor and its

Subcontractors shall not employ on the Work any apprentice, unless he/she is a registered individual, under a bona fide program registered with the New York State Department of Labor. The allowable ratio of apprentices to journey-level workers in any craft classification shall not be greater than the ratio permitted to the Contractor as to its work force on any job under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not registered as above, shall be paid the wage rate determined by the Comptroller of the City for the classification of Work actually performed. The Contractor or Subcontractor will be required to furnish written evidence of the registration of its program and apprentices as well as all the appropriate ratios and wage rates, for the area of the Work prior to using any apprentices on the Contract Work.

D. As required by Labor Law Section 220-h, if applicable, and if the total cost of the Work

under this Contract is at least two hundred fifty thousand dollars ($250,000), all laborers, workers, and mechanics employed in the performance of the Contract on the public work site, either by the Contractor, Subcontractor or other person doing or contracting to do the whole or a part of the Work contemplated by the Contract, shall be certified prior to performing any Work as having successfully completed a course in construction safety and health approved by the United States Department of Labor's Occupational Safety and Health Administration that is at least ten (10) hours in duration.

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E. Whenever the Contractor has knowledge that any actual or potential labor dispute is delaying or threatens to delay the timely performance of this Contract, the Contractor shall immediately give notice to the Department, including all relevant information with respect thereto.

F. In accordance with Local Law Nos. 30 and 33 of 2012, codified at Sections 6-132 and 12-

113 of the Admin. Code, respectively:

(1) The Contractor shall not take an adverse personnel action with respect to an officer or employee in retaliation for such officer or employee making a report of information concerning conduct which such officer or employee knows or reasonably believes to involve corruption, criminal activity, conflict of interest, gross mismanagement or abuse of authority by any officer or employee relating to this Contract to (i) the Commissioner of the City Department of Investigation, (ii) a member of the New York City Council, the Public Advocate, or the Comptroller, or (iii) the CCPO, ACCO, or Commissioner.

(2) If any of Contractor’s officers or employees believes that he or she has been the

subject of an adverse personnel action in violation of Section F(1) of this Article, he or she shall be entitled to bring a cause of action against Contractor to recover all relief necessary to make him or her whole. Such relief may include but is not limited to: (i) an injunction to restrain continued retaliation, (ii) reinstatement to the position such employee would have had but for the retaliation or to an equivalent position, (iii) reinstatement of full fringe benefits and seniority rights, (iv) payment of two (2) times back pay, plus interest, and (v) compensation for any special damages sustained as a result of the retaliation, including litigation costs and reasonable attorney’s fees.

(3) The Contractor shall post a notice provided by the City in a prominent and

accessible place on any Site where Work pursuant to the Contract is performed that contains information about:

a. how its employees can report to the New York City Department of

Investigation allegations of fraud, false claims, criminality or corruption arising out of or in connection with the Contract; and

b. the rights and remedies afforded to its employees under Admin. Code

Sections 7-805 (the New York City False Claims Act) and 12-113 (the Whistleblower Protection Expansion Act) for lawful acts taken in connection with the reporting of allegations of fraud, false claims, criminality or corruption in connection with the Contract.

(4) For the purposes of this Article, “adverse personnel action” includes dismissal,

demotion, suspension, disciplinary action, negative performance evaluation, any action resulting in loss of staff, office space, equipment or other benefit, failure to appoint, failure to promote, or any transfer or assignment or failure to transfer or assign against the wishes of the affected officer or employee.

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(5) This Article is applicable to all of Contractor’s Subcontractors having subcontracts with a value in excess of one hundred thousand dollars ($100,000); accordingly, the Contractor shall include the language of this Article in all subcontracts with a value in excess of one hundred thousand dollars ($100,000).

G. Section F, above, is not applicable to this Contract if it is valued at one hundred thousand

dollars ($100,000) or less. Paragraphs (1), (2), (3), and (4) of Section F are not applicable to this Contract if it was solicited pursuant to a finding of an emergency.

ARTICLE 31 LABOR LAW AND LIVING WA GE REQUIR EMENTS

A. The Contractor shall strictly comply with all applicable federal, State and local laws, including but not limited to the payment of prevailing or other governing wages in accordance with all requirements of New York State Labor Law Sections 220 and 230, Admin. Code Section 6-109, and City Executive Order No. 102 (2007). Such compliance is a material term of this Contract.

B. The Contractor specifically agrees, as required by Labor Law Sections 220 and 220-d, or

230, 231, or 232, or Admin. Code Section 6-109, as amended, as applicable, that:

(1) Hours of Work: Pursuant to Labor Law Section 220, no laborer, worker, or mechanic in the employ of the Contractor, Subcontractor or other person doing or contracting to do the whole or a part of the Work contemplated by this Contract shall be permitted or required to work more than eight (8) hours in any one (1) Day, or more than five (5) Days in any one (1) week, except as provided in the Labor Law and in cases of extraordinary emergency including fire, flood, or danger to life or property, or in the case of national emergency when so proclaimed by the President of the United States of America.

(2) In situations in which there are not sufficient laborers, workers and mechanics who

may be employed to carry on expeditiously the Work contemplated by this Contract as a result of such restrictions upon the number of hours and Days of labor, and the immediate commencement or prosecution or completion without undue delay of the Work is necessary for the preservation of the Site and/or for the protection of the life and limb of the persons using the same, such laborers, workers, and mechanics shall be permitted or required to work more than eight (8) hours in any one (1) Day; or five (5) Days in any one (1) week; provided, however, that upon application of any Contractor, the Commissioner shall have first certified to the Commissioner of Labor of the State of New York (hereinafter, "Commissioner of Labor") that such public Work is of an important nature and that a delay in carrying it to completion would result in serious disadvantage to the public; and provided, further, that such Commissioner of Labor shall have determined that such an emergency does in fact exist as provided in Labor Law Section 220.2.

(3) Failure of the Commissioner to make such a certification to the Commissioner of

Labor shall not entitle the Contractor to damages for delay or for any cause whatsoever.

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(4) Governing Rate of Wages: The wages to be paid for a legal Day’s Work to laborers, workers, mechanics, or building service employees employed upon the Work contemplated by this Contract or upon any materials to be used thereon shall not be less than the “prevailing rate of wage” or the “living wage” as required by Labor Law Section 220, or 230, 231, and 232, or by Admin. Code Section 6-109, and as fixed by the Comptroller in the attached Schedule of Wage Rates (see Part C) and in updated schedules thereof. The governing wage rates and supplemental benefits to be paid are those in effect at the time the Work is being performed.

(5) The obligation to make requests for interpretation or correction as discussed in the

Information for Bidders includes requests for clarification of the classification of trades to be employed in the performance of the Work under this Contract. In the event that a trade not listed in the Contract is in fact employed during the performance of this Contract, the Contractor shall be required to obtain from DEP the prevailing wage rates and supplementary benefits for the trades used and to complete the performance of this Contract at the price at which the Contract was awarded.

C. Minimum Wages : Except for employees whose wage is required to be fixed pursuant to

Labor Law Sections 220 or 230 or Admin. Code Section 6-109, all persons employed by the Contractor and any Subcontractor in the manufacture or furnishing of the supplies, materials, or equipment, or the furnishing of Work, labor, or services, used in the performance of this Contract, shall be paid, without subsequent deduction or rebate unless expressly authorized by Law, not less than the sum mandated by Law.

D. Working Conditions : No part of the Work, labor or services shall be performed or

rendered by the Contractor in any plants, factories, buildings or surroundings or under working conditions which are unsanitary or hazardous or dangerous to the health and safety of employees engaged in the performance of this Contract. Compliance with the safety, sanitary and factory inspection Laws of the state in which the Work is to be performed shall be prima facie evidence of compliance with this Section D.

E. Wage Enfor cement : The Contractor agrees to pay for all costs incurred by the City in

enforcing prevailing or other governing wage requirements, including the cost of any investigation conducted by or on behalf of DEP or the Comptroller, where the City discovers a failure to comply with any of the requirements of this Article 31 by the Contractor or its Subcontractor(s). The Contractor also agrees that should it fail or refuse to pay for any such investigation, DEP is hereby authorized to deduct from a Contractor’s account an amount equal to the cost of such investigation.

(1) Labor Law Section 220 and Section 220-d, as amended, provide that this Contract

shall be forfeited and no sum paid for any Work done hereunder on a second conviction for willfully paying less than: (i) the stipulated wage scale as provided in Labor Law Section 220, as amended, or (ii) the stipulated minimum hourly wage scale as provided in Labor Law Section 220-d, as amended.

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(2) In addition, Labor Law Section 238 provides that this Contract shall be forfeited and no sum paid for any Work done hereunder on a second conviction for failing to pay the stipulated wage scale as provided in Labor Law Section 231.

F. For any breach or violation of either working conditions (Article 31(D)) or minimum wages

(Article 31(C)), the party responsible therefor shall be liable to the City for liquidated damages, which may be withheld from any amounts due on any contracts with the City of such party responsible, or may be recovered in suits brought by the Corporation Counsel in the name of the City, in addition to damage for any other breach of this Contract, for a sum equal to the amount of any underpayment of wages due to any employee engaged in the performance of this Contract. In addition, the Commissioner shall have the right to cancel contracts and enter into other contracts for the completion of the original contract, with or without public letting, and the original Contractor shall be liable for any additional cost. All sums withheld or recovered as deductions, rebates, refunds, or underpayment of wages hereunder, shall be held in a special deposit account and shall be paid without interest, on order of the Comptroller, directly to the employees who have been paid less than minimum rates of pay as set forth herein and on whose account such sums were withheld or recovered, provided that no claims by employees for such payments shall be entertained unless made within two (2) years from the date of actual notice to the Contractor of the withholding or recovery of such sums by the City.

G. A determination by the Comptroller that a Contractor and/or its Subcontractor willfully

violated Labor Law Section 220 or 230 will be forwarded to the City's five District Attorneys for review.

H. The Contractor's or Subcontractor's noncompliance with this Article and Labor Law

Section 220 or 230 or Admin. Code Section 6-109, as applicable, may result in an unsatisfactory performance evaluation and the Comptroller may also find and determine that the Contractor or Subcontractor willfully violated the New York Labor Law or Admin. Code.

(1) An unsatisfactory performance evaluation for noncompliance with this Article may

result in a determination that the Contractor is a non-responsible bidder on subsequent procurements with the City and thus a rejection of a future award of a contract with the City, as well as any other sanctions provided for by Law.

(2) Labor Law Sections 220-b and 235, as amended, provide that when two (2) final

determinations have been rendered against a Contractor or Subcontractor within any consecutive six (6) year period determining that such Contractor or Subcontractor has willfully failed to pay the prevailing rate of wages or to provide supplements in accordance with the Labor Law and this Article, whether such failures were concurrent or consecutive and whether or not such final determinations concerning separate public works or public building service projects are rendered simultaneously, such Contractor or Subcontractor shall be ineligible to submit a bid on or be awarded any public works or public building service contract with the City for a period of five (5) years from the second final determination. Likewise, Admin. Code Section 6-109(e)(1)(e) provides that when two (2) final dispositions have been entered against a Contractor or Subcontractor

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within any consecutive six (6) year period determining that such Contractor or Subcontractor has failed to comply with the wage, benefits, anti-retaliation, record- keeping, or reporting requirements of Section 6-109, such Contractor or Subcontractor, and any of its principals or officers who knowingly participated in such failure, shall be ineligible to submit a bid on or be awarded any City services contract for a period of five (5) years from the date of the second disposition. Pursuant to Labor Law Sections 220-b and 235, if the final determination involves the falsification of payroll records or the kickback of wages or supplements, the Contractor or Subcontractor shall be ineligible to submit a bid on or be awarded any public works contract with the City for a period of five (5) years from the first final determination.

(3) Labor Law Sections 220-b and 235 and Admin. Code Section 6-109, as amended,

provide that the Contractor or Subcontractor found to have violated this Article may be directed to make payment of wages or supplements including interest found to be due, and the Contractor or Subcontractor may be directed to make payment of a further sum as a civil penalty in an amount not exceeding twenty- five (25%) percent of the total amount found to be due.

I. The Contractor and its Subcontractors shall within ten (10) Days after mailing of a Notice

of Award or written order, post in prominent and conspicuous places in each and every plant, factory, building, and structure where employees of the Contractor and its Subcontractors engaged in the performance of this Contract are employed, notices furnished by the City, in relation to prevailing wages and supplements, living wages, minimum wages and other stipulations contained in Sections 220, 220-h, or 231 of the Labor Law, or Section 6-109 of the Admin. Code, as applicable, and the Contractor and its Subcontractors shall continue to keep such notices posted in such prominent and conspicuous places until Final Acceptance of the supplies, materials, equipment, or Work, labor, or services required to be furnished or rendered under this Contract.

J. The Contractor shall strictly comply with all of the provisions of Article 31(J)(1) through

(5), and provide for all workers, laborers or mechanics in its employ, the following:

(1) Notices Posted At Site: Post, in a location designated by the City, schedules of prevailing or other governing wages and supplements for the Work, a copy of all re-determinations of such schedules for the Work, the Workers' Compensation Law Section 51 notice, all other notices required by Law to be posted at the Site, the City notice that this Contract is a public works project or building service work, as applicable, on which each worker is entitled to receive the prevailing or other governing wages and supplements for the occupation at which he or she is working, and all other notices which the City directs the Contractor to post. The Contractor shall provide a surface for such notices which is satisfactory to the City. The Contractor shall maintain and keep current such notices in a legible manner and shall replace any notice or schedule which is damaged, defaced, illegible or removed for any reason. The Contractor shall post such notices before commencing any Work on the Site and shall maintain such notices until all Work on the Site is complete; and

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(2) Dail y Site Si gn -in Sheet s: Maintain daily Site sign-in sheets, and require that Subcontractors maintain daily Site sign-in sheets for its employees, which include blank spaces for an employee's name to be both printed and signed, job title, date started and Social Security number, the time the employee began Work and the time the employee left Work, until Final Acceptance of the supplies, materials, equipment, or Work, labor, or services to be furnished or rendered under this Contract unless exception is granted by the Comptroller upon application by the Agency. In the alternative, subject to the approval of the CCPO, the Contractor and Subcontractor may maintain an electronic or biometric sign-in system, which provides the information required by this Paragraph; and

(3) Individual Emplo ye e In f ormation Notices: Pursuant to Labor Law 220 or Admin.

Code 6-109, as applicable, distribute a notice to each worker, laborer, mechanic or covered employee employed under this Contract, in a form provided by DEP, that this Contract is a public works or building services project on which each worker, laborer, mechanic, or covered employee is entitled to receive the prevailing or governing rate of wages and supplements or benefits for the occupation at which he or she is working. Pursuant to Labor Law 220-h, if applicable, if the total cost of the Work under this Contract is at least two hundred fifty thousand dollars ($250,000), such notice shall also include a statement that each worker, laborer or mechanic be certified prior to performing any Work as having successfully completed a course in construction safety and health approved by the United States Department of Labor's Occupational Safety and Health Administration that is at least ten (10) hours in duration. Such notice shall be distributed to each worker before he or she starts performing any Work of this Contract and with the first paycheck after July first of each year. “Worker, laborer, mechanic or covered employee” includes employees of the Contractor and all Subcontractors and all employees of suppliers entering the Site. At the time of distribution, the Contractor shall have each worker, laborer, mechanic, or covered employee sign a statement, in a form provided by DEP, certifying that the worker has received the notice required by this Paragraph, which signed statement shall be maintained with the payroll records required by this Contract; and

a. As required by Labor Law 220, if applicable, the Contractor and each

Subcontractor shall notify each worker, laborer or mechanic employed under this Contract in writing of the prevailing rate of wages for their particular job classification. Such notification shall be given to every worker, laborer and mechanic on their first pay stub and with every pay stub thereafter; and

(4) Site Laminated Id entification Bad ges : Provide laminated identification badges

which include a photograph of the worker's, laborer's or mechanic's face and indicate the worker's, laborer's or mechanic's name, trade, employer's name and employment starting date (month/day/year). Further, require as a condition of employment on the Site, that each and every worker, laborer or mechanic wear the laminated identification badge at all times and that it may be seen by any representative of the City. The Commissioner may grant a written waiver from the

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requirement that the laminated identification badge include a photograph if the Contractor demonstrates that the identity of an individual wearing a laminated identification badge can be easily verified by another method; and

(5) Lan gu a ge Other Than En glish Use d On Site: Provide the ACCO notice when at least three (3), or ten percent (10%) or more of the employees (worker and/or laborer and/or mechanic) on the Site, at any time, speak a language other than English. The ACCO will then provide the Contractor the notices described in Section (J)(1) in that language or languages as may be required. The Contractor is responsible for all distributions under this Article; and

(6) Provision of Records: The Contractor and Subcontractor(s) shall produce within

five (5) Days on the Site of the Work and upon a written order of the Project Manager, the Commissioner, the ACCO, the EAO, or the Comptroller, such records as are required to be kept by this Section (J); and

(7) The Contractor and Subcontractor(s) shall pay employees by check or direct

deposit. If this Contract is for an amount greater than one million dollars ($1,000,000), checks issued by the Contractor to covered employees shall be generated by a payroll service or automated payroll system (an in-house system may be used if approved by DEP). For any subcontract for an amount greater than seven hundred fifty thousand dollars ($750,000), checks issued by a Subcontractor to covered employees shall be generated by a payroll service or automated payroll system (an in-house system may be used if approved by DEP); and

(8) The failure of the Contractor or Subcontractor(s) to comply with the provisions of

Sections (J)(1) through (7) may result in the Commissioner declaring the Contractor in default and/or the withholding of payments otherwise due under the Contract.

K. The Contractor and its Subcontractors shall keep such employment and payroll records as

are required by Section 220 or 233 of the Labor Law or Admin. Code Section 6-109, as applicable. The failure of the Contractor or Subcontractor(s) to comply with the provisions of this Section (K) may result in the Commissioner declaring the Contractor in default and/or the withholding of payments otherwise due under the Contract.

L. At the time the Contractor makes application for each partial payment and for final

payment, the Contractor shall submit to the Commissioner a written payroll certification, in the form provided by DEP, of compliance with the prevailing wage, minimum wage and other provisions and stipulations required by Labor Law Section 220, 230, or Admin. Code 6-109, as applicable, and of compliance with the training requirements of Labor Law Section 220-h set forth in Article 30, if applicable. This certification of compliance shall be a condition precedent to payment and no payment shall be made to the Contractor unless and until each such certification shall have been submitted to and received by the Commissioner.

M. This Contract is executed by the Contractor with the express warranty and representation

that the Contractor is not disqualified under the applicable provisions of the Labor Law or Admin. Code from the award of the Contract.

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N. Any breach or violation of any of the foregoing shall be deemed a breach or violation of a material provision of this Contract, and grounds for cancellation thereof by the City.

ARTICLE 32 AFFIRMATIVE ACTION AND EQUAL EMPLOYMENT

OPPORTU NITY; LOCALLY-BASED BUSINESS ENTERPRISE S

A. If applicable, the Contract is subject to Section 6-129 of the Admin. Code (“Minority- Owned and Women-Owned Business Enterprise Program and Emerging Business Enterprise Program”), as well as to provisions of federal, State, and other local laws and executive orders requiring affirmative action and equal employment opportunity.

B. If the Contract is not subject to Section 6-129 of the Admin. Code, or to New York State or

to federal minority-owned and women-owned business enterprise (“M/WBE”) requirements, and the Contract involves construction, reconstruction, rehabilitation, alteration, conversion, extension, improvement, repair or demolition of real property, the award of this Contract is subject to the provisions of Section 6-108.1 of the Admin. Code relating to the Locally-Based Business Enterprise (“LBE”) program and its implementing rules.

ARTICLE 33 BOOKS AND RECOR DS

A. Maint enance: The Contractor agrees to maintain separate and accurate books, records, documents and other evidence, and to utilize accounting procedures and practices, which sufficiently and properly reflect all direct and indirect costs of any nature expended in the performance of this Contract.

B. Retention of Records : The Contractor agrees to retain all books, records, and other

documents relevant to this Contract, including those required pursuant to Section A, for six (6) years after the final payment or termination of this Contract, whichever is later. In addition, if any litigation, claim, or audit concerning this Contract has commenced before the expiration of the six (6) year period, the records must be retained until the completion of such litigation, claim, or audit. City, State and Federal auditors or any other persons duly authorized by the Department shall have full access to and the right to examine and copy any of said materials at any time during the Contract or during said retention period.

C. No Removal of Records from Premises : Where performance of this Contract involves

use by the Contractor of Department books, papers, files, data or records at Departmental facilities or offices, the Contractor shall not remove any such books, papers, files, data or records therefrom without the prior written approval of the Commissioner.

ARTICLE 34 PAYROLL RE PORTS

A. The Contractor shall maintain on the Site during performance of the Work the original payrolls or transcripts thereof which the Contractor and its Subcontractor(s) are required to maintain pursuant to Labor Law Sections 220, 233, or Admin. Code Section 6-109, as applicable. In the event that those provisions do not apply to this Contract, the Contractor is nonetheless required to keep records of the hours worked and the amounts paid, for each of the employees working under this Contract. The Contractor and Subcontractor(s) shall

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submit original payrolls or transcripts, subscribed and affirmed by it as true, with each and every payment requisition. The Contractor and Subcontractor(s) shall produce within five (5) Days on the Site of the Work and upon a written order of the Project Manager, the Commissioner, the ACCO, the EAO, or the Comptroller, such original payrolls or transcripts thereof, subscribed and affirmed by it as true, and the statements signed by each worker pursuant to this Contract. In addition, the Contractor and Subcontractor(s) shall furnish to the Project Manager upon written demand any other information to satisfy the Project Manager that the requirements of the Labor Law or Admin. Code, as applicable, and any other relevant section of this Contract, as to the hours of employment and rates of wages, are being observed. The Contractor shall maintain the payrolls or transcripts thereof for six (6) years from the date of completion of the Work on this Contract.

B. When directed by the Project Manager, the Contractor or Subcontractor shall provide the

Project Manager with an attendance sheet for each Day on which Work is performed on the Site. Such attendance sheet shall be in a form acceptable to DEP and shall provide information for employees of the Contractor and Subcontractor(s).

ARTICLE 35 PROM PT PAY MENT

A. The Prompt Payment provisions set forth in the PPB Rules in effect at the time of the execution of the Contract will be applicable to payments made under this Contract. The provisions require the payment to contractors of interest on payments made after the required payment date, except as set forth in the PPB Rules.

B. Awarded Price. For the Contractor's complete performance of the Work, the City will pay,

and the Contractor agrees to accept, subject to the terms and conditions hereof, the lump sum price or unit prices at which this Contract was awarded, plus the amount required to be paid for any Extra Work ordered by the Commissioner under Article 19 hereof, less credit for any Work omitted pursuant to the Contract.

C. The Contractor must submit a proper invoice to receive payment, except where the

Contract provides that the Contractor will be paid at pre-determined intervals without having to submit an invoice for each scheduled payment.

D. Determinations of interest due will be made in accordance with the provisions of the PPB

Rules. E. If the Contractor is paid interest, the proportionate share(s) of that interest shall be

forwarded by the Contractor to its Subcontractor(s). F. The Contractor shall pay each Subcontractor or Materialman not later than seven (7) Days

after receipt of payment out of amounts paid to the Contractor by the City for Work performed by the Subcontractor or supplier under this Contract.

G. The Contractor shall include in each of its subcontracts a provision requiring each

Subcontractor to make payment to each of its lower-tier Subcontractors or suppliers for Work performed under this Contract in the same manner and within the same time period set forth above.

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ARTICLE 36 INVOICE AND AUDIT

A. All vouchers or invoices presented for payment to be made hereunder and the books, records, and accounts upon which said vouchers or invoices are based (e.g., reports, cancelled checks, accounts, and all other similar material) are subject to periodic inspection, review and audit by the Department, the Department’s Office of the Inspector General, and the Comptroller, pursuant to the powers and responsibilities conferred by the Charter and Admin. Code, and the orders, rules and regulations promulgated pursuant thereto, as well as by the State, the federal government and other persons duly authorized by the City. Such audit may include the examination and review of the source and application of all funds whether from the City, the State, the federal government or any other source.

B. The Contractor shall submit any and all documentation and justification in support of

expenditures or fees under this Contract as may be required by the Department and the Comptroller so that they may evaluate the reasonableness of the charges. The Contractor shall make its records available to the Department and to the Comptroller as deemed necessary by the Comptroller in the exercise of his/her powers under Law.

C. For Work completed under “Cost-Plus-a-Percentage” Contracts, and/or for Work

completed pursuant to the issuance by the Department of valid time and materials change orders, the Contractor shall submit records to the EAO showing charges in a format to enable the EAO to expedite audit. Such records include but are not limited to: (a) a summary of labor for each billing cycle showing employee names, trades, rates, hours, and amounts for each weekly period; (b) material analysis showing vendor, material description, and payment amount; (c) equipment analysis showing item quantity, weekly or monthly rates, rates source, payment amount, and (d) summary of labor, materials, and equipment for the entire job.

D. The Contractor shall not be entitled to final payment until all preceding requirements have

been satisfactorily met. ARTICLE 37 SUBMISSION OF REQUESTS FOR PARTI AL PAY MENTS

A. If this Contract allows for partial payments for lump sum Work or unit price payments, the Contractor shall submit a maximum of one (1) request for payment each month (30- day period). Requests for payments in excess of one per month will be returned to the Contractor; such invoices will not be subject to the Prompt Payment provisions of Article 35.

B. The Contractor shall submit numbered invoices for payment in accordance with the

payment schedule established in the Specifications of this Contract (Part C). Such invoices shall set forth the Work for which payment is requested, and approval thereof by the Department shall be a prerequisite to payment. All payments shall be subject to such provisions for set-off as may be set forth in this Agreement and in the Specifications included in Part C of the IFB, or in Law.

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C. Payments shall be made out of such moneys as may be reserved by the Comptroller for the purpose herein provided.

ARTICLE 38 FINA L PAYMENT

A. After completion and Final Acceptance of the Work, the Contractor shall submit all required certificates and documents, together with an invoice for the balance claimed to be due under the Contract.

B. Verified Statement o f Cla ims : The Contractor must submit with the final invoice a final

verified statement of any pending dispute resolution proceedings in accordance with the PPB Rules and this Contract and any and all alleged claims against the City, in any way connected with or arising out of this Contract (including those as to which details may have been furnished pursuant to other provisions of this Contract), setting forth with respect to each such claim the total amount thereof, the various items of labor and materials included therein, and the alleged value of each such item. If the alleged claim be one for delay, the statement shall include the alleged cause of each such delay, the period or periods of time, giving the dates, when the Contractor claims the performance of the Work, or a particular part thereof, was delayed, and an itemized statement and breakdown of the amount claimed for each such delay. With reference to each such claim, the Commissioner and the Comptroller shall have the same right to inspect and to make extracts or copies of the Contractor's books, vouchers, records, etc., as is referred to in other parts this Contract. Nothing contained in this Article is intended to or shall relieve the Contractor from the obligation of giving timely notice of claims pursuant to this Contract. The Contractor is warned that unless such claims are completely set forth as herein required, the Contractor, upon acceptance of the final payment, will have waived any such claims pursuant to Article 39.

C. Preparation o f Fin al Vou cher : Upon determining the balance due hereunder other than

on account of claims, the Project Manager will prepare and certify, for the Commissioner’s approval, a voucher for final payment in that amount, less any and all deductions authorized to be made by the Commissioner under this Contract or by Law. Such voucher shall thereupon be filed with the Comptroller, and a copy delivered to the Contractor. In the case of a lump sum Contract, the Commissioner shall certify the voucher for final payment within thirty (30) days from the date of Final Acceptance of the Work, provided all requests for extensions of time have been acted upon.

(1) All prior certificates and vouchers upon which partial payments were made, being

merely estimates made to enable the Contractor to prosecute the Work more advantageously, shall be subject to correction in the final voucher, and the certification of the Project Manager thereon and the approval of the Commissioner thereof shall be a condition precedent to the right of the Contractor to receive any money hereunder. Such final voucher shall be binding and conclusive upon the Contractor.

(2) Payment pursuant to such final voucher, less any deductions authorized to be made

by the Comptroller under this Contract or by Law, shall constitute the final payment.

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ARTICLE 39 ACCEPTANCE O F FI NAL PAYMENT

A. The acceptance by the Contractor, or by anyone claiming by or through it, of the final payment, whether such payment be made pursuant to any judgment of any court, or otherwise, shall constitute and operate as a release to the City from any and all claims of and liability to, the Contractor for anything heretofore done or furnished by the Contractor or relating to or arising out of this Contract and the Work done hereunder, and for any prior act, neglect or default on the part of the City or any of its officers, agents or employees, excepting only a claim against the City for the amounts deducted or retained in accordance with the terms and provisions of this Contract or by Law, and excepting a claim not otherwise waived, or any pending dispute resolution proceedings which are contained in the verified statement filed with the Contractor's final invoice.

B. The Contractor is warned that the execution by it of a release, in connection with the

acceptance of the final payment, containing language purporting to reserve claims other than those herein specifically excepted from the operation of this Article, or those for amounts deducted by the Commissioner from the final invoice or from the final payment as certified by the Project Manager and approved by the Commissioner, shall not be effective to reserve such claims, anything stated to the Contractor orally or in writing by any officer, agent or employee of the City to the contrary notwithstanding.

C. Should the Contractor refuse to accept the final payment as tendered by the Comptroller, it

shall constitute a waiver of any right to interest thereon. D. The Contractor, however, shall not be barred by this Article from commencing an action

for breach of Contract to the extent permitted by Law and by the terms of the Contract for any claims that are contained with the verified statement filed with the Contractor’s final invoice or that arose after submission of the final invoice, provided that a detailed and verified statement of claim is served upon the Department and Comptroller not later than forty (40) Days after the making of such final payment by electronic funds transfer (“EFT”) or the mailing of such final payment. The statement shall specify the items upon which the claim will be based, and any such claim shall be limited to such items.

ARTICLE 40 COMMISSIONER'S RIGHT TO DECLARE CONTRACTOR IN

DEFAULT

A. In addition to those instances specifically referred to in other Articles herein, the Commissioner shall have the right to declare the Contractor in default of the whole or any part of the Work if:

(1) The Contractor makes an assignment for the benefit of creditors pursuant to the statutes of the State of New York; or if

(2) The Contractor fails to commence Work when notified to do so by the Commissioner; or if

(3) The Contractor abandons the Work; or if

(4) The Contractor refuses to proceed with the Work when and as directed by the Commissioner; or if

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(5) The Contractor, without just cause, reduces its working force to a number which, if maintained, would be insufficient, in the opinion of the Commissioner, to complete the Work in accordance with the Contract terms, and shall fail or refuse sufficiently to increase such working force when ordered to do so by the Commissioner; or if

(6) The Contractor sublets, assigns, transfers, conveys or otherwise disposes of this Contract other than as herein specified, or sells or assigns a majority interest in the Contractor; or if

(7) The Contractor fails to secure and maintain all required insurance; or if

(8) A receiver or receivers are appointed to take charge of the Contractor’s property or affairs; or if

(9) The Commissioner is of the opinion that the Contractor is or has been unnecessarily, unreasonably or willfully delaying the performance and completion of the Work, the award of necessary subcontracts or the placing of necessary material and equipment orders; or if

(10) The Commissioner is of the opinion that the Contractor is or has been willfully or in bad faith violating any of the provisions of this Contract; or if

(11) The Commissioner is of the opinion that the Contractor is or has not been executing the Contract in good faith and in accordance with its terms; or if

(12) The Commissioner is of the opinion that the Work cannot be completed within the time herein provided therefor or within the time to which such completion may have been extended; provided, however, that the impossibility of timely completion is, in the Commissioner's opinion, attributable to conditions within the Contractor's control; or if

(13) The Work is not completed within the time herein provided therefor or within the time to which the Contractor may be entitled to have such completion extended; or if

(14) Any statement or representation of the Contractor in the Contract or in any document submitted by the Contractor with respect to the Work or the Contract (or for purposes of securing the Contract) was untrue or incorrect when made; or if

(15) The Contractor or any of its officers, directors, partners, five percent (5%) or greater shareholders, principals or any other person substantially involved in its contracting activities commits any of the acts or omissions specified as the grounds for debarment in the PPB Rules.

B. Before the Commissioner shall exercise his/her right to declare the Contractor in default,

the Commissioner shall give the Contractor an opportunity to be heard, upon not less than two (2) Days’ notice.

ARTICLE 41 EXERCISE OF THE RIGHT TO DECLARE DEFAULT

A. The right to declare the Contractor in default for any of the grounds specified or referred to in Article 40 hereof shall be exercised by sending the Contractor a notice, signed by the Commissioner, setting forth the ground or grounds upon which such default is declared.

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B. The Commissioner's determination that the Contractor is in default shall be conclusive, final, and binding on the parties and such a finding shall preclude the Contractor from commencing a plenary action for any damages relating to the Contract. If the Contractor protests the determination of the Commissioner, the Contractor may commence a lawsuit in a court of competent jurisdiction of the State of New York under Article 78 of the New York Civil Practice Law and Rules.

ARTICLE 42 PA RTIAL DEFA ULT

A. In case the Commissioner shall declare the Contractor in default as to a part of the Work only, the Contractor shall discontinue such part, but shall continue performing the remainder of the Work in strict conformity with the terms of the Contract, and shall in no way hinder or interfere with any Other Contractors or persons whom the Commissioner may engage to complete the Work as to which the Contractor was declared in default.

B. The provision of this Contract relating to declaring the Contractor in default as to the entire

Work shall be equally applicable to the declaration of partial default. ARTICLE 43 TERMINATION

A. In addition to termination pursuant to any other provision of this Contract, the Commissioner may, at any time, terminate this Contract upon ten (10) Days’ written notice to the Contractor. In such event the Contractor shall be paid whatever sum has become due to it for Work performed prior to the effective date of the cancellation, without further liability by the City.

B. The Contractor shall be entitled to apply to the Department to have this Contract terminated

by the City by reason of any failure in the performance of this Contract (including any failure by the prosecution of Work hereunder which endangers such performance), if such failure arises out of causes beyond the control and without the fault or negligence of the Contractor. Such causes may include, but are not limited to: acts of God or the public enemy; acts of the government in either its sovereign or contractual capacity; fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes, or any other cause beyond the control of the Contractor. The determination that such failure arises out of causes beyond the control and without the fault or negligence of the Contractor shall be made by the Commissioner, who agrees to exercise reasonable judgment therein.

C. If such a determination is made and the Contract is terminated by the Department pursuant

to such application by the Contractor under Section B, such termination shall be deemed to be without cause.

D. The City may deduct or set off against any sums due and payable pursuant to this Article,

any claims it may have against the Contractor. E. All payments pursuant to this Article shall be accepted by the Contractor in full satisfaction

of all claims against the City arising out of termination.

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F. Upon termination of this Contract, the Contractor shall comply with the Department or City close-out procedures, including but not limited to:

(1) Accounting for and refunding to the Department, within thirty (30) Days, any

unexpended funds which have been paid to the Contractor pursuant to this Contract.

(2) Furnishing to the Department, within thirty (30) Days, an inventory of all equipment, appurtenances and property purchased through or provided under this Contract, and carrying out any Department directive concerning the disposition thereof.

(3) Not incurring any further obligations pursuant to this Contract. Any obligation

necessarily incurred by the Contractor on account of this Contract prior to the receipt of the written termination notice and falling due after such date shall be paid for by the Department in accordance with the terms of this Contract. In no event shall the word "obligation", as used herein, be construed as including any lease agreement, oral or written, entered into between the Contractor and its landlord.

(4) Turning over to the Department all books, records, documents and material

specifically relating to this Contract.

(5) Submitting, within ninety (90) Days, a final statement and report relating to this Contract. This report shall be made by a certified public accountant or a licensed public accountant.

G. In the event the Department shall terminate this Contract as provided in this Article, then

the Department may procure, upon such terms and in such manner as deemed appropriate, services similar to those so terminated hereby.

H. Notwithstanding any other provisions of this Contract, the Contractor shall not be relieved

of liability to the City for damages sustained by the City by virtue of the Contractor's breach of the Contract, and the City may withhold payments to the Contractor for the purpose of set-off until such time as the exact amount of damages due to the City from the Contractor is determined.

I. The rights and remedies of the City provided in this Article shall not be exclusive and are

in addition to all other rights and remedies provided by Law or under this Contract. ARTICLE 44 COMPLETION O F THE WORK A FTER CON TRACTOR’S DEFAULT

A. The Commissioner, after declaring the Contractor in default, may then have the Work completed by such means and in such manner (by Contract, with or without public letting, or otherwise) as he/she may deem advisable.

B. After such completion, the Commissioner shall issue a certificate stating the expense

incurred in such completion, which shall include the cost of re-letting the Contract and also the total amount of liquidated damages (at the rate provided for in the Contract) from the date when the Work should have been completed by the Contractor in accordance with the

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terms hereof to the date of actual completion of the Work. Such certificate shall be binding and conclusive upon the Contractor, its sureties, and any person claiming under the Contractor, as to the amount thereof.

C. The expense of such completion, including any and all related and incidental costs, as so

certified by the Commissioner, and any liquidated damages assessed against the Contractor, shall be charged against and be deducted out of monies earned by the Contractor prior to the date of default; the balance of said monies, if any, subject to the other provisions of this Contract, to be paid to the Contractor without interest after such completion. Should the expense of such completion, as certified by the Commissioner, exceed the total sum which would have been payable under this Contract if the Contract Work had been completed by the Contractor, then, upon demand by the Commissioner, the Contractor shall pay to the City such excess amount.

ARTICLE 45 PERFORMANCE OF UNCOMPLETED WORK AFTER

CONTRACTOR’S DEFA ULT

In completing the whole or any part of the Work under the provisions of this Contract, the Commissioner shall have the power to depart from or change or vary the terms and provisions of this Contract, provided, however, that such departure, change or variation is made for the purpose of reducing the time or expense of such completion. Such departure, change or variation, even to the extent of accepting a lesser or different performance, shall not affect the conclusiveness of the Commissioner's certificate of the cost of completion referred to in Article 44, nor shall it constitute a defense to an action to recover the amount by which such certificate exceeds the amount which would have been payable to the Contractor hereunder but for its default.

ARTICLE 46 OTHER REMEDIES

A. The rights and remedies of the City provided in Articles 40 - 45 shall not be exclusive and are in addition to any and all other rights and remedies provided by Law or under this Contract.

B. The exercise by the City of any remedy set forth in Articles 40 - 45 shall not be deemed a

waiver by the City of any other legal or equitable remedy contained in this Contract or provided under Law.

ARTICLE 47 CLAIMS OR ACTION S THEREON; NOTICE AND IN FORMATIO N

A. No action at Law or proceeding in equity against the City or Department shall lie or be maintained upon any claim based upon this Contract or arising out of this Contract or in any way connected with this Contract unless the Contractor shall have strictly complied with all requirements relating to the giving of notice and of information with respect to such claims, as provided above.

B. No action at Law or proceeding in equity shall lie or be maintained against the Department

or the City upon any claim based upon this Contract or arising out of this Contract unless such action shall be commenced within six (6) months after the date of final payment

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hereunder, or within six (6) months of termination or conclusion this Contract, or within six (6) months of accrual of the cause of action, whichever is earliest.

C. In the event any claim is made or any action brought by any third party in any way relating

to the Contract, the Contractor shall diligently render to the Department and/or the City without additional compensation any and all assistance which the Department and/or the City may require of the Contractor.

D. The Contractor shall report to the Department in writing within three (3) business days of

the initiation by or against the Contractor of any legal action or proceeding in connection with or relating to this Contract.

ARTICLE 48 [Intentionally Left Blank]

ARTICLE 49 CONTRACTOR'S REPRESENTATIONS AND WARRANTIES

A. In consideration of, and to induce, the award of this Contract to the Contractor, the Contractor represents and warrants as follows, and the City relies upon such representations and warranties in the execution hereof:

(1) That it is financially solvent, and sufficiently experienced and competent to perform the Work; and

(2) That the facts stated in its bid and the information given by it pursuant to the Invitation for Bids and the Information for Bidders are true and correct in all respects; and

(3) That it has read and complied with all the requirements set forth in the Contract and the Invitation for Bids

B. Conflict of Interest : The Contractor represents and warrants that neither it nor any of its

directors, officers, members, partners or employees, has any interest nor shall they acquire any interest, directly or indirectly which would or may conflict in any manner or degree with the performance or rendering of the Work. The Contractor further represents and warrants that in the performance of this Contract no person having such interest or possible interest shall be employed by it. No elected official or other officer or employee of the City or Department, nor any person whose salary is payable, in whole or part, from the City Treasury, shall participate in any decision relating to this Contract which affects his/her personal interest or the interest of any corporation, partnership or association in which he/she is, directly or indirectly, interested nor shall any such person have any interest, direct or indirect, in this Contract or in the proceeds thereof.

C. For a breach of violation of the above representations or warranties, Commissioner shall

have the right to annul this Contract without liability, entitling the City the recover all moneys paid hereunder and the Contractor shall not make claim for, or the entitled to recover, any sum or sums, due under this Contract. This remedy, effected, shall not constitute the sole remedy afforded the City the falsity or breach, nor shall it constitute a waiver of the City's right to claim damages or refuse payment or to make any other action provided for by Law or pursuant to this Contract.

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ARTICLE 50 INFRI NGEMENT; IN VENTIONS, PATENTS AND CO PY RIGHTS

A. The Contractor shall be solely responsible for and shall defend, indemnify, and hold the City harmless from any and all claims (even if the allegations of the lawsuit are without merit) and judgments for damages and from costs and expenses to which the City may be subject or which it may suffer or incur allegedly arising out of or in connection with any infringement by the Contractor of any copyright, trade secrets, trademark or patent rights, or any other property or personal right of any third party by the Contractor and/or its Subcontractors in the performance or completion of the Work. Insofar as the facts or Law relating to any claim would preclude the City from being completely indemnified by the Contractor, the City shall be partially indemnified by the Contractor to the fullest extent permitted by Law.

B. Any discovery or invention arising out of or developed in the course of performance of this

Contract shall be promptly and fully reported to the Department, and if this Work is supported by a federal grant of funds, it shall be promptly and fully reported to the federal government for determination as to whether patent protection on such invention shall be sought and how the rights in the invention or discovery, including rights under any patent issued thereon, shall be disposed of and administered in order to protect the public interest.

C. No report, document or other data produced in whole or in part with Contract funds shall

be copyrighted by the Contractor, nor shall any notice of copyright be registered by the Contractor in connection with any report, document or other data developed for the Contract.

D. If any copyrightable material is developed under or in the course of performing this

Contract, any federal agency providing funding for the Contract shall have a royalty-free, non-exclusive and irrevocable right to reproduce, publish or otherwise use, and to authorize others to use the work for governmental purposes.

E. In no event shall Sections B, C, and D of this Article be deemed to apply to any report,

document or other data, or any invention of the Contractor which existed prior to, or was developed or discovered independently from, its activities related to or funded by this Contract.

ARTICLE 51 NO CLAIMS A GAINS T OFFICERS, A GENT S OR EMPLOYEES

No claim whatsoever shall be made by the Contractor against any officer, agent or employee of the City for, or on account of, anything done or omitted to be done in connection with this Contract.

ARTICLE 52 SERVICE OF NOTICE S

A. The Contractor hereby designates the business address, fax number, and email address specified in its bid as the place where all notices, directions or other communications to the Contractor may be delivered, or to which they may be mailed. Any notice, direction, or communication from either party to the other shall be in writing and shall be deemed to have been given when (i) delivered personally; (ii) three (3) business day after having been

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sent by certified mail, return receipt requested in a properly addressed, postage pre- paid envelope; (iii) delivered by overnight or same day courier service in a properly addressed envelope with confirmation; or (iv) sent by fax or email and, unless receipt of the fax or email is acknowledged by the recipient by fax or email, deposited in a post office box regularly maintained by the United States Postal Service in a properly addressed, postage pre-paid envelope.

B. The Contractor’s notice address, email address, or fax number may be changed at any time

by an instrument in writing executed and acknowledged by the Contractor and delivered to the Commissioner.

C. Nothing herein contained shall, however, be deemed to preclude or render inoperative the

service of any notice, direction or other communication upon the Contractor personally, or if the Contractor is a corporation, upon any officer thereof.

D. Any notice to the Department shall be in writing, and sent by first class mail or personally

delivered to the Agency Chief Contracting Officer, 59-17 Junction Boulevard, 17th Floor, Flushing, N.Y. 11373.

ARTICLE 53 UNLAWFUL PROVI SIONS DEEMED STRICKEN FROM THE

CONTRACT

If this Contract contains any unlawful provision not an essential part of the Contract and which shall not appear to have been a controlling or material inducement to the making thereof, the same shall be deemed of no effect and shall, upon notice by either party, be deemed stricken from the Contract without affecting the binding force of the remainder.

ARTICLE 54 ALL LEGAL PROVISI ONS DEEMED INCLUDED

It is the intent and understanding of the parties to this Contract that each and every provision of Law required to be inserted in this Contract shall be and is inserted herein. Furthermore, it is hereby stipulated that every such provision is to be deemed to be inserted herein, and if, through mistake or otherwise, any such provision is not inserted, or is not inserted in correct form, then this Contract shall forthwith, upon the application of either party, be amended by such insertion so as to comply strictly with the Law and without prejudice to the rights of either party hereunder.

ARTICLE 55 TAX EXEMPTION

A. The City is exempt from payment of federal, state, and local taxes, including sales and compensating use taxes of the State of New York and its cities and counties on all tangible personal property sold to the City pursuant to the provisions of this Contract. These taxes are not to be included in bids. However, this exemption does not apply to tools, machinery, equipment or other property leased by or to the Contractor, Subcontractor or a Materialman, or to tangible personal property which, even though it is consumed during the course of the Work, is not incorporated as an integral component of a City-owned building, structure or real property. The tax exemption does apply to materials and supplies that the Contractor sells to DEP so that the City itself can later incorporate them into its property (e.g., extra

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matching switches that the Contractor sells to DEP so that DEP can easily replace a switch that wears out). The Contractor and its Subcontractors shall be responsible for and pay any and all applicable taxes, including sales and compensating use taxes, on such leased tools, machinery, equipment or other property and upon all such consumable supplies and tangible personal property that the Contractor is required to remove from the Site during or upon completion of the Work.

B. The Contractor agrees to sell and the City agrees to purchase all tangible personal property,

other than consumable supplies and other tangible personal property that the Contractor is required to remove from the Site during or upon completion of the Work, that is required, necessary or proper for or incidental to the Work covered by this Contract and will be incorporated as an integral component of the City building, structure or real property. The sum paid under this Contract for such tangible personal property shall be in full payment and consideration for the sale of such tangible personal property.

(1) The Contractor agrees to perform all Work, labor and services required, necessary,

proper or incidental to the performance of this Contract for the sum shown in the bid for the performance of such Work, labor and services, and the sum so paid pursuant to this Contract for such Work, labor, and services, shall be in full consideration for the performance by the Contractor of all its duties and obligations under this Contract in connection with said Work, labor and services.

C. 20 NYCRR Section 541.3(d) provides that a Contractor’s purchases of tangible personal

property that is either incorporated into real property owned by a governmental entity or purchased for and sold to a governmental entity are exempt from sales and use tax. The City shall not pay sales tax for any such tangible personal property that it purchases from the Contractor pursuant to the Contract. With respect to such tangible personal property, the Contractor, at the request of the City, shall furnish to the City such bills of sale and other instruments as may be required by the City, properly executed, acknowledged and delivered assuring to the City title to such tangible personal property, free of liens and/or encumbrances, and the Contractor shall mark or otherwise identify all such tangible personal property as the property of the City.

D. Title to all tangible personal property to be sold by the Contractor to the City pursuant to

provisions of this Contract shall immediately vest in and become the sole property of the City upon delivery of such tangible personal property to the Site. Notwithstanding such transfer of title, the Contractor shall have the full and continuing responsibility to install such tangible personal property in accordance with the provisions of this Contract, and protect it and maintain it in a proper condition and forthwith repair, replace and make good any damage thereto, theft or disappearance thereof, and furnish additional tangible personal property in place of any that may be lost, stolen or rendered unusable, without cost to the City, until Final Acceptance of the Work covered by this Contract. Such transfer of title shall in no way affect any of the Contractor's obligations hereunder. In the event that, after title has passed to the City, any of the tangible personal property is rejected as being defective or otherwise unsatisfactory, title to all such tangible personal property shall be deemed to have been transferred back to the Contractor.

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E. The purchase by Subcontractors or Materialmen of tangible personal property to be sold hereunder shall be a purchase or procurement for resale to the Contractor (either directly or through other Subcontractors) and therefore not subject to the aforesaid sales and compensating use taxes, provided that the subcontracts and purchase agreements provide for the resale of such tangible personal property and that such subcontracts and purchase agreements are in a form similar to this Contract with respect to the separation of the sale of consumable supplies and tangible personal property that the Contractor is required to remove from the Site during or upon completion of the Work from the Work and labor, services, and any other matters to be provided, and provided further that the subcontracts and purchase agreements provide separate prices for tangible personal property and all other services and matters. Such separation shall actually be followed in practice, including the separation of payments for tangible personal property from the payments for other Work and labor and other things to be provided.

F. The Contractor and its Subcontractors and Materialmen shall furnish a Contractor Exempt Purchase Certificate to all persons, firms or corporations from which they purchase tangible personal property for the performance of the Work covered by this Contract.

G. In the event any of the provisions of this Article shall be deemed to be in conflict with any other provisions of this Contract or create any ambiguity, the provisions of this Article shall control.

ARTICLE 56 INVESTIGATIONS

A. The parties to this Contract agree to cooperate fully and faithfully with any investigation, audit or inquiry conducted by a United States, a State of New York (“State”) or a City governmental agency or authority that is empowered directly or by designation to compel the attendance of witnesses and to examine witnesses under oath, or conducted by the Inspector General of a governmental agency that is a party in interest to the transaction, submitted bid, submitted proposal, contract, lease, permit or license that is the subject of the investigation, audit or inquiry.

B. If any person who has been advised that his or her statement, and any information from such statement, will not be used against him or her in any subsequent criminal proceeding refuses to testify before a grand jury or other governmental agency or authority empowered directly or by designation to compel the attendance of witnesses and to examine witnesses under oath concerning the award of or performance under any transaction, agreement, lease, permit, contract or license entered into with the City, the State or any political subdivision or public authority thereof, the Port Authority of New York and New Jersey, any local development corporation within the City or any public benefit corporation organized under the laws of the State of New York, or;

C. If any person refuses to testify for a reason other than the assertion of his or her privilege

against self-incrimination in an investigation, audit or inquiry conducted by a City or State governmental agency or authority empowered directly or by designation to compel the attendance of witnesses and to take testimony under oath, or by the Inspector General of the governmental agency that is a party in interest in and is seeking testimony concerning the award of or performance under any transaction, agreement, lease, permit, contract or license entered into with the City, the State, any political subdivision thereof or any local development corporation within the City, then;

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D. The Commissioner whose agency is a party in interest to the transaction, submitted bid, submitted proposal, contract, lease, permit or license shall convene a hearing, upon not less than five (5) Days’ written notice to the parties involved, to determine if any penalties shall attach for the failure of a person to testify.

E. If any non-governmental party to the hearing requests an adjournment, the Commissioner

who convened the hearing may, upon granting the adjournment, suspend any contract, lease, permit or license pending the final determination pursuant to Section 56(G), below, without the City incurring any penalty of damages for delay or otherwise.

F. The penalties which may attach after a final determination by the Commissioner may

include but shall not exceed:

(1) The disqualification for a period not to exceed five (5) years from the date of an adverse determination for any person or any entity of which such person was a member at the time the testimony was sought, from submitting bids for, or transacting business with, or entering into or obtaining any contract, lease, permit or license with or from the City; and/or

(2) The cancellation or termination of any and all such existing City contracts, leases,

permits or licenses that the refusal to testify concerns and that have not been assigned as permitted under this Contract, nor the proceeds of which pledged to an unaffiliated and unrelated institutional lender for fair value prior to the issuance of the notice scheduling the hearing, without the City incurring any penalty or damages on account of such cancellation or termination; monies lawfully due for goods delivered, work done, rentals or fees accrued prior to the cancellation or termination shall be paid by the City.

G. The Commissioner shall consider and address in reaching his/her determination and in

assessing an appropriate penalty the factors in Paragraphs (1) and (2), below. The Commissioner may also consider, if relevant and appropriate, the criteria established in Paragraphs (3) and (4) below, in addition to any other information which may be relevant and appropriate:

(1) The party's good faith endeavors or lack thereof to cooperate fully and faithfully

with any governmental investigation or audit, including but not limited to the discipline, discharge, or disassociation of any person failing to testify, the production of accurate and complete books and records, and the forthcoming testimony of all other members, agents, assignees or fiduciaries whose testimony is sought.

(2) The relationship of the person who refused to testify to any entity that is a party to

the hearing, including, but not limited to, whether the person whose testimony is sought has an ownership interest in the entity and/or the degree of authority and responsibility the person has within the entity.

(3) The nexus of the testimony sought to the subject entity and its contracts, leases,

permits or licenses with the City.

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(4) The effect a penalty may have on an unaffiliated and unrelated party or entity that has a significant interest in an entity subject to penalties under Section (F), above, provided that the party or entity has given actual notice to the Commissioner upon the acquisition of the interest, or at the hearing called for in Section (D), above, gives notice and proves that such interest was previously acquired. Under either circumstance the party or entity must present evidence at the hearing demonstrating the potential adverse impact a penalty will have on such person or entity.

H. Definitions for this Articl e:

(1) The term “license” or “permit” as used in this Article shall be defined as a license, permit, franchise or concession not granted as a matter of right.

(2) The term “person” as used in this Article shall be defined as any natural person doing business alone or associated with another person or entity as partner, director, officer, principal or employee.

(3) The term “entity” as used in this Article shall be defined as any firm, partnership, corporation, association, or person that receives monies, benefits, licenses, leases or permits from or through the City or otherwise transacts business with the City.

(4) The term “member” as used in this Article shall be defined as any person associated with another person or entity as a partner, director, officer, principal or employee.

I. In addition to and notwithstanding any other provision of this Contract, the Commissioner

may, in his/her sole discretion, terminate this Contract upon not less than three (3) Days’ written notice in the event the Contractor fails to promptly report in writing, to the Commissioner of the Department of Investigations of the City, any solicitation of money, goods, requests for future employment or other benefit or thing of value, by or on behalf of any employee of the City or other person, firm, corporation or entity for any purpose which may be related to the procurement or obtaining of this Contract by the Contractor, or affecting the performance of this Contract.

ARTICLE 57 COVENANTS OF CO NTRACTOR

A. Employees. All persons who are employed by the Contractor to perform Work under this Contract and all consultants or independent contractors who are retained by the Contractor to perform Work under this Contract are neither employees of the City nor under contract to the City. The Contractor, and not the City, is responsible for their work, direction, compensation and personal conduct while engaged under this Contract. Nothing in this Contract shall impose any liability or duty on the City for the acts, omissions, liabilities or obligations of the Contractor, or any officer, employee, or agent of the Contractor (including, without limitation, any person, firm, company, agency, association, corporation or organization engaged by the Contractor as expert, consultant, independent contractor, specialist, or trainee), or for taxes of any nature, or for any right or benefit applicable to an officer or employee of the City, including, but not limited to, Unemployment Insurance benefits, Workers’ Compensation coverage, Disability Benefits coverage, Social Security coverage or employee retirement membership or credit. Except as specifically stated in this Contract, nothing in this Contract shall impose any liability or duty on the City to any person or entity.

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B. Independent Contractor Status. The Contractor and the Department agree that the Contractor is an independent contractor, and not an employee of the Department or the City. Accordingly, neither the Contractor nor its employees or agents will hold themselves out as, or claim to be, officers or employees of the City, or of any department, agency or unit of the City, by reason of this Contract, and they will not, by reason of this Contract, make any claim, demand or application to or for any right or privilege applicable to an officer of or employee of the City, including, but not limited to, Workers’ Compensation coverage, Disability Benefits coverage, Unemployment Insurance benefits, Social Security coverage or employee retirement membership or credit.

C. Confidentiality. The Contractor agrees to hold confidential, both during and after the

completion or termination of this Contract, all of the reports, information or data, furnished to or prepared, assembled or used by the Contractor under this Contract. The Contractor agrees that the same shall not be made available to any individual or organization without the prior written approval of the Department. The Contractor agrees to maintain the confidentiality of such reports, information, or data by using a reasonable degree of care, and using at least the same degree of care that the Contractor uses to preserve the confidentiality of its own confidential information. In the event that the data contains social security numbers or other Personal Identifying Information, as such term is defined in Paragraph (1) of this Section, the Contractor shall utilize best practice methods (e.g., encryption of electronic records) to protect the confidentiality of such data. The obligation under this Section to hold reports, information or data confidential shall not apply where the City would be required to disclose such reports, information or data pursuant to the State Freedom of Information Law (“FOIL”), provided that the Contractor provides advance notice to the City, in writing or by e-mail, that it intends to disclose such reports, information or data and the City does not inform the Contractor, in writing or by e-mail, that such reports, information, or data are not subject to disclosure under FOIL.

(1) The Contractor shall provide notice to the Department within three (3) Days of the

discovery by the Contractor of any breach of security, as defined in Admin. Code § 10-501(b), of any data, encrypted or otherwise, in use by the Contractor that contains social security numbers or other personal identifying information as defined in Admin. Code § 10-501 (“Personal Identifying Information”), where such breach of security arises out of the acts or omissions of the Contractor or its employees, Subcontractors, or agents. Upon the discovery of such security breach, the Contractor shall take reasonable steps to remediate the cause or causes of such breach, and shall provide notice to the Department of such steps. In the event of such breach of security, without limiting any other right of the City, the City shall have the right to withhold further payments under this Contract for the purpose of set-off in sufficient sums to cover the costs of notifications and/or other actions mandated by any Law, or administrative or judicial order, to address the breach, and including any fines or disallowances imposed by the State or federal government as a result of the disclosure. The City shall also have the right to withhold further payments hereunder for the purpose of set-off in sufficient sums to cover the costs of credit monitoring services for the victims of such a breach of security by a national credit reporting agency, and/or any other commercially reasonable preventive measure. The Department shall provide the Contractor with

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written notice and an opportunity to comment on such measures prior to implementation. Alternatively, at the City’s discretion, or if monies remaining to be earned or paid under this Contract are insufficient to cover the costs detailed above, the Contractor shall pay directly for the costs, detailed above, if any.

(2) The provisions of this Section (C) shall remain in full force and effect following

termination of, or cessation of the Work required by this Contract. ARTICLE 58 CHOICE OF LAW; CONSENT TO JURISDICTION AND VENUE

A. The Contract shall be deemed to be executed in the City and State of New York, regardless of the domicile of the Contractor, and shall be governed by and construed in accordance with the Laws of the State of New York (notwithstanding New York choice of law or conflict of law principles) and the Laws of the United States, where applicable.

B. The parties agree that any and all claims asserted by or against the City arising under or

related to this Contract shall be heard and determined either in the courts of the United States located in the City (“Federal Courts”) or in the courts of the State of New York (“New York State Courts”) located in the City and County of New York. To effect this Contract and intent, the Contractor agrees:

(1) If the City initiates any action against the Contractor in Federal Court or in New

York State Court, service of process may be made on the Contractor either in person, wherever such Contractor may be found, or by Registered Mail addressed to the Contractor at its address as set forth in this Contract, or to such other addresses as the Contractor may provide to the City in writing; and

(2) With respect to any action between the City and the Contractor in New York State

Court, the Contractor hereby expressly waives and relinquishes any rights it might otherwise have to (a) move to dismiss on grounds of forum non conveniens; (b) remove to Federal Court; and (c) move for a change of venue to a New York State Court outside New York County.

(3) With respect to any action between the City and the Contractor in Federal Court

located in New York City, the Contractor expressly waives and relinquishes any right it might otherwise have to move to transfer the action to a United States Court outside the City.

(4) If the Contractor commences any action against the City in a court located outside

of the City and State of New York, upon request of the City, the Contractor shall either consent to a transfer of the action to a court of competent jurisdiction located in the City and State of New York or, if the court where the action is initially brought will not or cannot transfer the action, the Contractor shall consent to dismiss such action without prejudice and may thereafter reinstate the action in a court of competent jurisdiction in the City.

C. If any provision(s) of this Article is held unenforceable for any reason, each and all other provision(s) shall nevertheless remain in full force and effect.

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ARTICLE 59 PA RTICIPATION IN A N INTERNATIONAL BOYCOTT

A. The Contractor agrees that neither the Contractor nor any substantially owned affiliated company is participating or shall participate in an international boycott in violation of the provisions of the Export Administration Act of 1979, as amended, or the regulations of the United States Department of Commerce promulgated thereunder.

B. Upon the final determination by the Commerce Department or any other agency of the United States as to, or conviction of the Contractor or a substantially-owned affiliated company thereof, participated in an international boycott in violation of the provisions of the Export Administration Act of 1979, as amended, or regulations promulgated thereunder, the Comptroller may, at his/her option, render forfeit and void this Contract.

C. The Contractor shall comply in all respects with the provisions of Section 6-114 of the Admin. Code and the rules and regulations issued by the Comptroller thereunder.

ARTICLE 60 PUBL ICITY

A. The Contractor, or any of its employees, agents, servants, or independent contractors, shall notify the Department, at any time either during or after completion or termination of this Contract, of any intended statement to the press or any intended issuing of any material for publication in any media of communication (print, news, television, radio, Internet, etc.) regarding the Work under or any data collected pursuant to this Contract at least twenty- four (24) hours prior to any statement to the press or at least five (5) business days prior to the submission of the material for publication, or such shorter periods as are reasonable under the circumstances. The Contractor may not issue any statement or submit any material for publication that includes confidential information as prohibited by Article 57(C).

B. If the Contractor publishes any work dealing with any aspect of performance under this Contract, or the results or accomplishments attained in such performance, the Department shall have a royalty-free, non-excusive and irrevocable license to reproduce, publish or otherwise authorize others to use the publication.

ARTICLE 61 ASS IGNMENT O F A N TITRUST CLAIMS

The Contractor hereby assigns, sells and transfers to the City all right, title and interest in and to any claims and causes of action arising under the antitrust laws of New York State or of the United States relating to the particular goods or services purchased or procured by the City under this Contract.

ARTICLE 62 NO DAMA GE FOR D ELAY

If the Contractor has been delayed it must notify the Commissioner of the reasons for the delay and request an extension of time. The Contractor agrees to make no claim for damages for delay in the performance of this Contract occasioned by any act or omission to act of the City or any of its representatives, and agrees that any such claim shall be fully compensated for by an extension of time to complete performance of the Work as provided herein.

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ARTICLE 63 CLEAN AIR ACT; DU ST HAZARDS

A. If the amount of this Contract is in excess of one hundred thousand dollars ($100,000), the Contractor shall comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act of 1970, 42 U.S.C. 1875b, et. seq., as amended, and the Federal Water Pollution Act, 33 U.S.C. 1251, et seq.

B. Should a harmful dust hazard be created in performing the Work, for the elimination of which appliances or methods have been approved by the Board of Standards and Appeals of the City of New York, such appliances and methods shall be installed, maintained, and effectively operated during the continuance of such harmful dust hazard. Failure to comply with this provision after notice shall make this Contract voidable at the sole discretion of the City.

ARTICLE 64 NO DISCRIMINATION

As required by New York State Labor Law Section 220-e or 239, as amended, the Contractor agrees:

A. That in the hiring of employees for the performance of Work under this Contract or any subcontract hereunder, no Contractor, Subcontractor, nor any person acting on behalf of such Contractor or Subcontractor shall by reason of race, creed, color, sex or national origin discriminate against any citizen of the State of New York who is qualified and available to perform the work to which the employment relates;

B. That no Contractor, Subcontractor, nor any person on its behalf shall, in any manner, discriminate against or intimidate any employee hired for the performance of Work under this Contract on account of race, creed, color, sex or national origin;

C. That there may be deducted from the amount payable to the Contractor by the City under this Contract a penalty of fifty dollars ($50) for each person for each Day during which such person was discriminated against or intimidated in violation of the provisions of this Contract; and

D. That this Contract may be canceled or terminated by the City and monies due or to become due hereunder may be forfeited, for a second or any subsequent violation of the above terms or conditions of this Article 64.

E. As provided by Labor Law Section 220-e, the above provisions of this Article covering every contract for or on behalf of the State or a municipality for the manufacture, sale or distribution of materials, equipment or supplies shall be limited to operations performed within the territorial limits of the State of New York.

F. The Contractor also specifically agrees, as required by Section 6-108 of the Admin. Code,

as amended, that:

(1) It shall be unlawful for any person engaged in the construction, alteration or repair of buildings or engaged in the construction or repair of streets or highways pursuant to a Contract with the City or engaged in the manufacture, sale or distribution of materials, equipment or supplies pursuant to a Contract with the City to refuse to

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employ or to refuse to continue in any employment any person on account of the race, color or creed of such person.

(2) It shall be unlawful for any person or any servant, agent or employee of any Contractor, Subcontractor, or any person on its behalf, to ask, indicate or transmit, orally or in writing, directly or indirectly, the race, color or creed or religious affiliation of any person employed or seeking employment from such person, firm or corporation.

(3) Breach of the foregoing provisions shall be deemed a violation of a material provision of this Contract.

(4) Any person, or the employee, manager or owner of or officer of such firm or corporation who shall violate any of the provisions of this Article 64(F) shall, upon conviction thereof, be punished by a fine of not more than one hundred ($100) dollars or by imprisonment for not more than thirty (30) Days, or both.

G. This Contract is subject to the requirements of City Executive Order No. 50 (1980) ("E.O. 50"), as revised, and the rules and regulations promulgated thereunder. No Contract will be awarded unless and until these requirements have been complied with in their entirety. By signing this Contract, the Contractor also agrees that it:

(1) Will not engage in any unlawful discrimination against any employee or applicant for employment because of race, creed, color, national origin, sex, age, disability, marital status or sexual orientation with respect to all employment decisions including, but not limited to, recruitment, hiring, upgrading, demotion, downgrading, transfer, training, rates of pay or other forms of compensation, layoff, termination, and all other terms and conditions of employment; and

(2) Will not engage in any unlawful discrimination in the selection of Subcontractors on the basis of the owner's race, color, creed, national origin, sex, age, disability, marital status or sexual orientation; and

(3) Will state in all solicitations or advertisements for employees placed by or on behalf of the Contractor that all qualified applicants will receive consideration for employment without unlawful discrimination based on race, creed, color, national origin, sex, age, citizens status, disability, marital status, sexual orientation, or that it is an equal employment opportunity employer; and

(4) Will send to each labor organization or representative of workers with which it has a collective bargaining agreement or other contract or memorandum of understanding, written notification of its equal employment opportunity commitments under E.O. 50 and the rules and regulations promulgated thereunder; and

(5) Will furnish, before the award of the Contract, all information and reports,

including an employment report, that are required by E.O. 50, the rules and regulations promulgated thereunder, and orders of the City Department of Small Business Services, Division of Labor Services (“DLS”) (see Employment Report

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-63

Form in Part E(4) of the IFB) and will permit access to its books, records, and accounts by the DLS for the purposes of investigation to ascertain compliance with such rules, regulations, and orders.

H. The Contractor understands that in the event of its noncompliance with the

nondiscrimination clauses of this Contract or with any of such rules, regulations, or orders, such noncompliance shall constitute a material breach of this Contract and noncompliance with E.O. 50 and the rules and regulations promulgated thereunder. After a hearing held pursuant to the rules of the DLS, the Director of the DLS may direct the Commissioner to impose any or all of the following sanctions:

(1) Disapproval of the Contractor; and/or

(2) Suspension or termination of the Contract; and/or

(3) Declaring the Contractor in default; and/or

(4) In lieu of any of the foregoing sanctions, the Director of the DLS may impose an

employment program.

In addition to any actions taken under this Contract, failure to comply with E.O. 50 and the rules and regulations promulgated thereunder, in one (1) or more instances, may result in a City agency declaring the Contractor to be non-responsible in future procurements.

The Contractor further agrees that it will refrain from entering into any contract or contract modification subject to E.O. 50 and the rules and regulations promulgated thereunder with a Subcontractor who is not in compliance with the requirements of E.O. 50 and the rules and regulations promulgated thereunder.

I. The Contractor specifically agrees, as required by Section 6-123 of the Admin. Code, that:

(1) The Contractor will not engage in any unlawful discriminatory practice in violation

of Title 8 of the Admin. Code (Section 8-101 et seq.);

(2) Every agreement between the Contractor and a first-level Subcontractor in excess of fifty thousand dollars ($50,000) shall include a provision that the Subcontractor shall not engage in any unlawful discriminatory practice as defined in Title 8 of the Admin. Code; and

(3) Any failure to comply with this Article 64(I) may subject the Contractor to the

remedies set forth in Section 6-123 of the Admin. Code, including, where appropriate, sanctions such as withholding of payment, imposition of an employment program, finding the Contractor to be in default, cancellation of the Contract, or any other sanction or remedy provided by Law or Contract.

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-64

ARTICLE 65 DAMA GES

In addition to any other rights and remedies provided by Law and by this Contract, the Commissioner may deduct from any monies which may be due or become due under this Contract the amount of any damages sustained by the City arising out of the breach of the terms of this Contract by reason of negligence or errors of omission or commission in performance of this Contract.

ARTICLE 66 PRO PE RTY O F THE CITY

All notes, drawings, reports, tracings, designs, estimates and specifications and all other data required under this Contract prepared and furnished by the Contractor shall become the property of the City upon their approval in writing by the Commissioner and acceptance by the City as hereinabove provided, or upon the termination of the Contractor’s services. The Contractor shall deliver to the Commissioner all notes, maps, surveys, designs, sketches, reports, drawings, estimates and specifications which thereafter the City may utilize in whole or in part as it may deem advisable without further employment of or additional compensation to the Contractor.

ARTICLE 67 PROHIBITION OF TR OPICAL HA RDWOODS

Tropical hardwoods, as defined in Section 167-b of the New York State Finance Law shall not be utilized in the performance of this Contract, except as expressly permitted by that section.

ARTICLE 68 EXECUTORY CONTR ACT

This Contract shall be deemed executory only to the extent of the monies appropriated and available for the purpose of the Contract, and no liability on account thereof shall be incurred by the Contractor beyond the amount of such monies. It is understood that neither this Contract nor any representation by any public employee or officer creates any legal or moral obligation to request, appropriate or make available monies for the purpose of the Contract.

ARTICLE 69 ENTIRE CONTRACT – MERGER CLAUSE

This written Contract including any attachments or references which have been incorporated herein, contains all the terms and conditions agreed upon by the parties hereto, and no other agreement, oral or otherwise, regarding the subject matter of this Contract shall be deemed to exist or to bind any of the parties hereto, or to vary any of the terms contained herein. This Contract may be modified by the parties in writing only in a manner not materially affecting the substance hereof.

ARTICLE 70 COMPENSATION TO BE PAID TO THE CONTRACTOR

The City will pay and the Contractor will accept in full consideration for the performance of the Contract, subject to additions and deductions as provided herein, the sum of (or, if this is a requirements contract, a sum not to exceed) $ (in figures), this said sum being the amount at which the Contract was awarded to the Contractor at a public letting thereof.

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-65

ARTICLE 71 MACBRIDE PROVISIONS

A. By signing this Contract, the Contractor agrees that the following provisions regarding the MacBride Principles constitute material conditions of this Contract.

B. Local Law No. 34 of 1991 became effective on September 10, 1991 and added Section 6-

115.1 to the Admin. Code. The local law provides for certain restrictions on City contracts to express the opposition of the people of the City of New York to employment discrimination practices in Northern Ireland and to encourage companies doing business in Northern Ireland to promote freedom of work place opportunity.

C. Pursuant to Section 6-115.1, prospective contractors for Contracts to provide goods or

services involving an expenditure of an amount greater than ten thousand dollars ($10,000), or for construction involving an amount greater than fifteen thousand dollars ($15,000), are asked to sign a covenant and representation, as a material condition of their Contract, that any business in Northern Ireland operations conducted by the Contractor that holds a ten (10%) percent or greater ownership interest and any individual or legal entity that holds a ten (10%) percent or greater ownership interest in the Contractor will be conducted in accordance with the MacBride Principles of non- discrimination in employment.

D. Prospective Contractors are not required to agree to these conditions. However, in the case

of contracts let by competitive sealed bidding, whenever the lowest responsible bidder has not agreed to stipulate to such conditions has submitted a bid within five (5%) percent of the lowest responsible bid for a Contract to supply goods, services or construction of comparable quality, the contracting entity shall refer such bids to the Mayor, the Speaker or other officials, as appropriate, who may determine, in accordance with applicable law and rules, that it is in the best interest of the City that the Contract be awarded to other than the lowest responsible bidder pursuant to Section 313(b)(2) of the City Charter.

E. In the case of contracts let by other than competitive sealed bidding, if a prospective

Contractor does not agree to these conditions, no agency, elected official or the Council shall award the contract to that bidder unless the entity seeking to use the goods, services or construction certifies in writing that the contract is necessary for the entity to perform its function and there is no other responsible Contractor who will supply goods, services or construction of comparable quality at a comparable price.

(1) In accordance with Section 6-115.1 of the Admin. Code, the Contractor stipulates

that such Contractor and any individual or legal entity in which the Contractor holds ten percent (10%) or greater ownership interest and any individual or legal entity that holds a ten percent (10%) or greater ownership interest in the Contractor either: (a) have no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations they have in Northern Ireland in accordance with the MacBride Principles, and shall permit independent monitoring of this compliance with such principles.

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(2) For purposes of this Article, the following terms shall have the following meanings:

a. “MacBride Principles” shall mean those principles relating to non- discrimination in employment and freedom of work place opportunity which requires employers doing business in Northern Ireland to:

i. Increase the representation of individuals from underrepresented

religious groups in the work force, including managerial, supervisory, administrative, clerical and technical jobs;

ii. Take steps to promote adequate security for the protection of

employees from underrepresented religious groups both at the work place and while traveling to and from work;

iii. Ban provocative religious or political emblems from the work place;

iv. Publicly advertise all job openings and make special recruitment

efforts to attract applicants from underrepresented religious groups;

v. Establish layoff, recall and termination procedures which do not in practice favor a particular religious group;

vi. Abolish all job reservations, apprenticeship restrictions and different

employment criteria which discriminate on the basis of religion;

vii. Develop training programs that will prepare substantial numbers of current employees from underrepresented religious groups for skilled jobs, including the expansion of existing programs and the creation of new programs to train, upgrade and improve the skills of workers from the underrepresented religious groups;

viii. Establish procedures to assess, identify and actively recruit

employees from underrepresented religious groups with potential for further advancement; and

ix. Appoint a senior management staff member to oversee affirmative

action efforts and develop a timetable to ensure their full implementation.

F. Enforcem ent of A rticle 71(A): The Contractor agrees that the covenants and representations in Section A, above, are material conditions to this Contract. In the event the Agency receives information that the Contractor is in violation thereof, the Agency shall review such information and give the Contractor an opportunity to respond. If the Agency finds that a violation has occurred, the Agency shall have the right to declare the Contractor in default and/or terminate this Contract for cause and procure the supplies, services or Work from another source in any manner the Agency deems proper. In the event

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-67

of such termination, the Contractor shall pay to the Agency, or the Agency in its sole discretion may withhold from any amounts otherwise payable to the Contractor, the difference between the Contract price for the uncompleted portion of this Contract and the cost to the Agency of completing performance of this Contract either itself or by engaging another contractor or contractors. In the case of a requirements Contract, the Contractor shall be liable for such difference in price for the entire amount of supplies and/or services required by the Agency for the uncompleted term of the Contract. In the case of a construction Contract, the Agency shall also have the right to hold the Contractor in partial or total default in accordance with the default provisions of the Contract, and/or may seek debarment or suspension of the Contractor. The rights and remedies of the Agency hereunder shall be in addition to, and not in lieu of, any rights or remedies the Agency has pursuant to this Contract or by operation of Law.

ARTICLE 72 NO BLASTING

Unless otherwise permitted in the Detailed Specifications, no blasting will be allowed. The Contractor shall use line drilling or other methods acceptable to the Department.

ARTICLE 73 [Intentionally Left Blank]

ARTICLE 74 INSPECTION AT SITE

The Department shall have the right to have representatives of the Department or of the City or of the State or federal governments present at the Site to observe the Work being performed.

ARTICLE 75 NO ESTOPPEL

A. Neither the City nor any agency, officer, agent or employee thereof, shall be bound, precluded or estopped by any determination, decision, approval, order, letter, payment or certificate made or given under or in connection with this Contract by the City, the Commissioner or any other officer, agent or employee of the City, either before or after the completion and Final Acceptance of Work and payment therefor:

(1) From showing the true and correct classification, amount, quality or character of

the Work actually done, or that any such determination, decision, order, letter, payment or certificate was untrue, incorrect or improperly made in any particular, or that the Work or any part thereof does not in fact conform to the requirements of this Contract; and/or

(2) From demanding and recovering from the Contractor any overpayments made to it,

or such damages as it may sustain by reason of the Contractor's failure to perform each and every part of this Contract in strict accordance with its terms or both.

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-68

ARTICLE 76 ELECTRONIC FUND S TR ANSFER

A. In accordance with Section 6-107.1 of the Admin. Code, the Contractor agrees to accept payments under this Contract from the City by electronic funds transfer (“EFT”). An electronic funds transfer is any transfer of funds, other than a transaction originated by check, draft or similar paper instrument, which is initiated through an electronic terminal, telephonic instrument or computer or magnetic tape so as to order, instruct, or authorize a financial institution to debit or credit an account. Prior to the first payment made under this Contract, the Contractor shall designate one financial institution or other authorized payment agent and shall complete the “EFT Vendor Payment Enrollment Form” included in Part E(5) of this IFB) in order to provide the City’s Department of Finance with information necessary for the Contractor to receive electronic funds transfer payments through the designated financial institution or authorized payment agent. The crediting of the amount of a payment to the appropriate account on the books of a financial institution or other authorized payment agent designated by the Contractor shall constitute full satisfaction by the City for the amount of the payment under this Contract. The account information supplied by the Contractor to facilitate the electronic funds transfer shall remain confidential to the fullest extent provided by Law.

B. The Commissioner may waive the application of the requirements of this Article to

payments on contracts entered into pursuant to §315 of the City Charter. In addition, the Commissioner of the City’s Department of Finance and the Comptroller may jointly issue standards pursuant to which the Agency may waive the requirements hereunder for payments in the following circumstances: (i) for individuals or classes of individuals for whom compliance imposes a hardship; (ii) for classifications or types of checks; or (iii) in other circumstances as may be necessary in the interest of the City.

[NO FURTHER TEXT ON THIS PAGE]

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-69

IN WITNESS WHEREOF, the Commissioner, on behalf of the City of New York, and the

Contractor have executed this Agreement in quadruplicate, two (2) parts of which are to remain

with the Commissioner, one (1) part to be filed with the Comptroller of the City, and one (1) part

to be delivered to the Contractor.

THE CITY OF NEW YORK

BY:

Commissioner or Designee

Department of Environmental Protection

Name of Contractor

BY:

Signature of Partner or

Officer of Corporation

(Corporate Seal)

Approved As To Form

Certified as To Legal Authority

Acting Corporation Counsel

Dated: , 20

If the Contractor is a Joint Venture, each member of the Joint Venture must sign this signature

page and the appropriate acknowledgment(s) on the following pages individually. A Joint

Venture should make as many copies of these pages as necessary.

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-70

ACKNOWLEDGMENT BY THE COMMISSIONER OR DESIGNEE

State of County of ss:

On this day of , 20 , before me personally came

, to me known and known to me to be the

of the Department of Environmental Protection of the City of New

York, the person who executed the foregoing instrument and he/she acknowledged to me that

he/she executed the same as Commissioner for the purposes therein mentioned.

Notary Public or Commissioner of Deeds

ACKNOWLEDGMENT OF CONTRACTOR — IF AN INDIVIDUAL

State of County of ss:

On this day of , 20 , before me personally appeared

, to me known and known to me to be

the person described in and who executed the foregoing instrument and he/she acknowledged to

me that he/she executed the same for the purposes therein mentioned.

Notary Public or Commissioner of Deeds

ACKNOWLEDGMENT OF CONTRACTOR — IF A CORPORATION

State of County of ss:

On this day of , 20 , before me personally appeared

, to me known, who being by me duly

sworn did depose and say that he/she resides at

, that he/she is the of

, the corporation described in and which executed the

foregoing instrument; that he/she knows the seal of said corporation; that the seal affixed to the

said instrument is such corporate seal; that it was affixed by order of the directors of said

corporation; and that he/she signed his/her name thereto by like order.

Notary Public or Commissioner of Deeds

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-71

ACKNOWLEDGMENT OF CONTRACTOR — IF A PARTNERSHIP

State of County of ss:

On this day of , 20 , before me personally appeared

, to me known and known to me to be

a member (general partner) of the firm of ,

the partnership described in and which executed the foregoing instrument and he/she

acknowledged to me that he/she executed the same as and for the act and deed of said firm with

the authorization of the partnership.

Notary Public or Commissioner of Deeds

ACKNOWLEDGMENT OF CONTRACTOR — IF A JOINT VENTURE

[the Notary should request each member of a Joint Venture to execute the appropriate

acknowledgment above in addition to the acknowledgment below]

State of County of ss:

On this day of , 20 , before me personally appeared

, to me known, and known to me to

represent a member of the joint venture named ,

who holds the position described in one of the three Contractor acknowledgments executed above

(corporation, partnership or individual). He/she acknowledged to me that he/she executed the

foregoing instrument with the authorization of the member of said joint venture identified in the

prior sentence.

Notary Public or Commissioner of Deeds

DEP Supply and Service Contract – REVISED May 2017 Part D(1)-72

AUTHORITY

MAYOR'S CERTIFICATE NO. CBX DATED / /

BUDGET DIRECTOR'S CERTIFICATE NO. DATED / /

APPROPRIATION COMMISSIONER'S CERTIFICATE

In conformity with the provisions of Section 6-101 of the Administrative Code of the City of New

York, it is hereby certified that the estimated cost of the work, materials and supplies required by

the within Contract, amounting to: Dollars ($

), is chargeable to the fund of the Department of Environmental Protection Code:

I hereby certify that the specifications contained herein comply with the terms and conditions of

the BUDGET.

Commissioner of the Department of

Environmental Protection or Designee

COMPTROLLER’S CERTIFICATE

The City of New York , 20 .

In pursuance of the provisions of Section 6-101 of the Administrative Code of the City of New

York, I hereby certify that there remains unapplied and unexpended a balance of the above

mentioned fund applicable to this Contract sufficient to pay the estimated expense of executing

the same, viz.: $

Comptroller

1 May 2017

RIDER TO DEP STANDARD SUPPLY AND SERVICE CONTRACT

PAYMENT GUARANTEE PROVISION

1. This Payment Guarantee Provision does not apply if this Contract either (i) does not involve Work for the prosecution of a “public improvement” as that term is used in section 137 of the N.Y. State Finance Law (a “Public Improvement”) or (ii) requires payment bonds for one hundred percent (100%) of the Contract price or one hundred percent (100%) of the price of each Work Order ordering Work for the prosecution of a Public Improvement.

2. If this Contract involves Work for the prosecution of a Public Improvement and it does not require the Contractor to provide either a payment bond for (i) one hundred percent (100%) of the Contract price or (ii) one hundred percent (100%) of the price of each Work Order ordering Work for the prosecution of a Public Improvement, the City shall, in accordance with the terms of this Payment Guarantee Provision, guarantee payment of all lawful claims for:

a. Wages and compensation for labor performed and/or services rendered; and b. Materials, equipment, and supplies provided, whether incorporated into the Work or

not, when demands have been filed with the City as provided hereinafter by any person, firm, or corporation which furnished labor, material, equipment, supplies, or any combination thereof, in connection with the Work performed hereunder (hereinafter referred to as the “beneficiary”) at the direction of the City or the Contractor.

3. The provisions of paragraph 2, above, are subject to the following limitations and

conditions:

a. If the Contractor provides a payment bond for a value that is less than one hundred (100%) percent of the value of the Contract Work or less than one hundred (100%) of the price of each Work Order ordering Work for the prosecution of a Public Improvement, the payment bond provided by the Contractor shall be primary (and non-contributing) to the payment guarantee provided under this Payment Guarantee Provision.

b. The guarantee is made for the benefit of all beneficiaries as defined in paragraph 2,

above, provided that those beneficiaries strictly adhere to the terms and conditions of paragraphs 3(d) and 3(e), below.

c. Nothing in this Payment Guarantee Provision shall prevent a beneficiary providing

labor, services or material for the Work from suing the Contractor for any amounts due and owing the beneficiary by the Contractor.

d. Every person who has furnished labor or material, to the Contractor or to a

Subcontractor of the Contractor, in the prosecution of the Work and who has not been paid in full therefor before the expiration of a period of ninety (90) calendar days after the date on which the last of the labor was performed or material was furnished by him/her for which the claim is made, shall have the right to sue on this

2 May 2017

payment guarantee in his/her own name for the amount, or the balance thereof, unpaid at the time of commencement of the action; provided, however, that a person having a direct contractual relationship with a Subcontractor of the Contractor but no contractual relationship express or implied with the Contractor shall not have a right of action upon the guarantee unless he/she shall have given written notice to the Contractor within one hundred twenty (120) calendar days from the date on which the last of the labor was performed or the last of the material was furnished, for which his/her claim is made, stating with substantial accuracy the amount claimed and the name of the party to whom the material was furnished or for whom the labor was performed. The notice shall be served by delivering the same personally to the Contractor or by mailing the same by registered mail, postage prepaid, in an envelope addressed to the Contractor at any place where it maintains an office or conducts its business; provided, however, that where such notice is actually received by the Contractor by other means, such notice shall be deemed sufficient.

e. Except as provided in Labor Law Section 220-g, no action on this payment guarantee

shall be commenced after the expiration of the one-year limitations period set forth in Section 137(4)(b) of the N.Y. State Finance Law.

f. The Contractor shall promptly forward to the City any notice or demand received

pursuant to paragraph 3(d). The Contractor shall inform the City of any defenses to the notice or demand and shall forward to the City any documents the City requests concerning the notice or demand.

g. All demands made against the City by a beneficiary of this payment guarantee shall

be presented to the Project Manager or other Commissioner designee along with all written documentation concerning the demand which the Project Manager or other Commissioner designee deems reasonably appropriate or necessary, which may include, but shall not be limited to: the subcontract; any invoices presented to the Contractor for payment; the notarized statement of the beneficiary that the demand is due and payable, that a request for payment has been made of the Contractor and that the demand has not been paid by the Contractor within the time allowed for such payment by the subcontract; and copies of any correspondence between the beneficiary and the Contractor concerning such demand. The City shall notify the Contractor that a demand has been made. The Contractor shall inform the City of any defenses to the demand and shall forward to the City any documents the City requests concerning the demand.

h. The City shall make payment only if, after considering all defenses presented by the

Contractor, it determines that the payment is due and owing to the beneficiary making the demand.

i. No beneficiary shall be entitled to interest from the City, or to any other costs,

including, but not limited to, attorneys’ fees, except to the extent required by N.Y. State Finance Law Section 137.

4. Upon the receipt by the City of a demand pursuant to this Payment Guarantee Provision,

the City may withhold from any payment otherwise due and owing to the Contractor under this Contract an amount sufficient to satisfy the demand.

3 May 2017

a. If the City determines that the demand is valid, the City shall notify the Contractor of such determination and the amount thereof and direct the Contractor to immediately pay such amount to the beneficiary. In the event the Contractor, within seven (7) calendar days of receipt of such notification from the City, fails to pay the beneficiary, such failure shall constitute an automatic and irrevocable assignment of payment by the Contractor to the beneficiary for the amount of the demand determined by the City to be valid. The Contractor, without further notification or other process, hereby gives its unconditional consent to such assignment of payment to the beneficiary and authorizes the City, on its behalf, to take all necessary actions to implement such assignment of payment, including without limitation the execution of any instrument or documentation necessary to effectuate such assignment.

b. If the amount otherwise due and owing to the Contractor by the City is insufficient to

satisfy such demand, the City may, at its option, require payment from the Contractor of an amount sufficient to cover such demand and exercise any other right to require or recover payment which the City may have under Law or Contract.

c. If the City determines that the demand is invalid, any amount withheld pending the

City’s review of such demand shall be paid to the Contractor; provided, however, no lien has been filed. In the event a claim or an action has been filed, the terms and conditions set forth in the section of this Contract pertaining to the City’s rights to withhold money against a claim shall apply. In the event a lien has been filed, the parties will be governed by the provisions of the Lien Law of the State of New York.

5. The provisions of this Payment Guarantee Provision shall not prevent the City and the

Contractor from resolving disputes in accordance with the Procurement Policy Board Rules, where applicable.

6. If the City determines that the beneficiary is entitled to payment pursuant to this Payment

Guarantee Provision, such determination and any defenses and counterclaims raised by the Contractor shall be taken into account in evaluating the Contractor’s performance.

7. Nothing in this Payment Guarantee Provision shall relieve the Contractor of the

obligation to pay the claims of all persons with valid and lawful claims against the Contractor relating to the Work.

8. The Contractor shall not require any performance, payment or other bonds of any

Subcontractor if this Contract does not require such bonds of the Contractor.

9. The payment guarantee made pursuant to this Payment Guarantee Provision shall be construed in a manner consistent with Section 137 of the N.Y. State Finance Law and shall afford to persons furnishing labor or materials to the Contractor or its Subcontractors in the prosecution of the Work under this Contract all of the rights and remedies afforded to such persons by such section, including but not limited to, the right to commence an action against the City on the payment guarantee provided by this Payment Guarantee Provision within the one-year limitations period set forth in Section 137(4)(b).

NYC DEP SUPPLY AND SERVICE CONTRACT INVITATION FOR BIDS

PART E

DOCUMENTS TO BE SUBMITTED BY THE APPARENT LOW BIDDER

Page 1 Revised 8/13

The City of New York Department of Small Business Services Division of Labor Services Contract Compliance Unit

110 William Street, New York, New York 10038 Phone: (212) 513 – 6323

Fax: (212) 618-8879

SUPPLY AND SERVICES EMPLOYMENT REPORT INSTRUCTIONS

WHO MUST FILE A SUPPLY AND SERVICES EMPLOYMENT REPORT An S&S Employment Report (ER) must be filed if you meet the following conditions:

CONTRACTOR CONTRACT VALUE COMPANY SIZE SUBMISSION REQUIREMENT

Prime and subcontractors $100,000 or greater 50 or more employees S&S Employment Report

Less than 50 employees Less than 50 Employees Certificate

• A separate ER must be submitted for each facility involved in the performance of the contract. This may be

headquarters or any "independently operating facility".

An "independently operating facility" is headquarters or a site separate from headquarters that makes its own personnel decisions including hires, transfers, promotions and terminations. If the staff employed by a facility is simply sent to a separate location to perform their work, they are still considered part of that facility and are included in one ER. Example for which ERs must be filed from separate facilities: If your firm is supplying data processing equipment that is manufactured at your Chicago, Illinois plant, sold by your sales office in East Orange, New Jersey and serviced by your maintenance center in New York City, then an ER is necessary for each of the three sites. DLS retains the right to request the submission of an ER from headquarters, if deemed appropriate.

• If your contract value exceeds $100,000 and your company at all of its facilities employs fewer than 50

employees, you need only submit a “Less than 50 Employees” Certificate. • It is the responsibility of the contractor to promptly inform all proposed subcontractors that each subcontract must

comply with the equal employment opportunity requirements of E.O. 50 and the implementing Rules. Each covered subcontractor must submit a completed Employment Report, or a “Less than 50” Certificate, for each of its operating facilities to the contracting agency before the fifth day following the award date (Comptroller’s Office Registration Date) of the contract. DLS will review the subcontractor’s Employment Report(s) for compliance.

DLS’ REVIEW PROCESS In accordance with Executive Order 50 (EO 50), upon receipt by DLS of a completed ER, DLS conducts a review of the contractor's current employment policies, practices and procedures, as well as perform a statistical analysis of the contractor's workforce, if necessary. The process is as follows:

1. Within five (5) business days, DLS will review the ER for completeness and accuracy. If any information is omitted or incorrect, or if necessary documents are not submitted, the submission shall be deemed incomplete and DLS will inform the contractor. The substantive compliance review does not commence until the submission is complete. An incomplete submission will delay the review process and may preclude or interrupt the contract approval.

2. If the ER submission is complete, the compliance review will proceed, resulting in one of the following:

Certificate of Approval The contractor is found to be in compliance with all applicable laws and regulations. The approval is valid for 36 months.

Page 2 Revised 8/13

Continued Approval Certificate The contractor has been issued a Certificate of Approval in the previous 36 months which is good for the applicable contract. An Administrative Certificate of Compliance Issued when the contractor has been audited by the United States Department of Labor, Office of Federal Contract Compliance Programs (OFCCP) and is valid for 36 months. Conditional Certificate of Compliance The contractor is required to take corrective actions in order to be in compliance with EO 50. The contractor must meet the conditions within three months of the issue of the Conditional Certificate. Determination of Nonperformance The contractor has failed to take the required corrective actions stipulated in the Conditional Certificate. A determination of nonperformance may prevent a contractor from receiving an award of a contract.

HOW TO COMPLETE THE EMPLOYMENT REPORT Contents

General Information Part I: Contractor/Subcontractor Information Part II: Employment Policies and Practices Part III: Employment Data Tables Signature Page

PART I: CONTRACTOR/SUBCONTRACTOR INFORMATION Questions 7 – 11: Please provide the requested company information. All contracts must have a designated Equal

Employment Officer.

Question 12: If you are a subcontractor, you must state the name of the contractor for whom you are providing the construction services.

Question 13: Please indicate how many employees are working in the facility(ies) covered by this ER . Question 14: A list of industry codes can be found in the appendix of this document. Question 15a – g: The Procurement Identification Number (PIN) and the Contract Registration ID Number (CT#) can

be obtained from the City agency. Explain the nature of the good(s) and/or service(s) being provided under this contract.

Questions 16: List the names and addresses of all of your firm's facilities which are performing work on this

contract. (A facility is the headquarters or an operating facility that makes its own personnel decisions. Please note that each separate location is not an independent operating facility unless hiring and termination decisions are made there). For example, a computer organization might have a sales office in Newark, New Jersey which negotiated and/or submitted a contract proposal, manufacturing facilities in Tetersboro, New Jersey and Schaumberg, Illinois which produced the equipment; and a facility in New York City providing systems analysts, programmers and technicians to develop, install and maintain the system. Since all four (4) facilities are involved in performing the contract, all four (4) are independent operating facilities, and they must be identified. If a facility's employment policies, procedures and employment action determinations are made at a different facility or headquarters, that facility must be identified as well. If you are uncertain whether a particular facility should be included, please call DLS and ask for assistance.

Question 17: All subcontractors with subcontracts in excess of $100,000 must be identified by name and

address. As a selected proposed contractor, you must ensure that each of your subcontractors obtain an ER as soon as possible after your organization is selected for the contract.

Page 3 Revised 8/13

Questions 18 – 21: These questions refer to your firm’s particular facility locations which have been reviewed in the past 36 months. If the operating facilities in the current proposed contract include any locations(s) different from those reviewed and certified in the past 36 months, ERs must be submitted for these facilities.

If your proposed facilities have received a valid Certificate of Approval within the past 36 months,

been audited OFCCP, or have submitted an ER for a different contract for which you have not yet received a compliance certificate, then you only need to complete and submit the following:

• General Information section • Part I - Contractor/Subcontractor Information • Signature Page

If you are currently waiting for an approval on another contract previously submitted, be certain to identify the date on which you submitted the completed Employment Report, the name of the City contracting agency with which the contract was made, and the name and telephone number of the person to whom the ER was submitted. If your company was issued a Conditional Certificate of Approval, all required corrective actions must have been taken or DLS will not issue a Continued Certificate.

If the company was audited by the OFCCP, also provide the following:

• Identify the reviewing OFCCP office by its name and address • If an unconditional certificate of compliance was issued by the OFCCP, attach a copy of

the certificate in lieu of completing Parts II and III; • Include copies of all corrective actions and documentation of OFCCP’s performance; and • Provide a copy of all stated OFCCP findings.

Question 22: Please provide a copy of any Collective Bargaining Agreement(s) which is negotiated through an

employer trade association on behalf of your organization or any of its affiliates.

PART II: EMPLOYMENT POLICIES AND PRACTICES

Remember to label all documents with the question number for which they are submitted.

Questions 23a – j: You must respond to the questions as to whether or not your firm has documents reflecting written policies, benefits and procedures. If so, then you must identify by name each document in which the policy(ies), procedure(s) and benefit(s) is located and submit copies of all of the document(s). If your firm follows unwritten practices or procedures, include an explanation of how they operate. Please submit the most current document(s), including all applicable amendments. Label each document and/or unwritten practice according to the question to which it corresponds (e.g. 23a, 23b, etc.)

Questions 24a – h: Inquires about the manner/methods by which you comply with the requirements of the Immigration

Reform and Control Act of 1986 (IRCA). Question 25: Inquires into where and how I-9 forms are maintained and stored. Questions 26a – e: Inquires into whether or not there is a requirement that an applicant or employee be subjected to a

medical examination at any given time. Copes of the medical information questionnaire and instructions must be submitted with the Employment Report.

Question 27: Indicate the existence and location of all statements of your firm's Equal Employment Opportunity

policy and attach a copy of each statement. Question 28: Submit any current Affirmative Action Plan(s) created pursuant to Executive Order 11246. Question 29: If your firm or collective bargaining agreement has an internal grievance procedure, indicate this

and submit a copy of the policy and procedure. If unwritten, explain its nature and operation. Explain how your firm's procedure addresses EEO complaints.

Page 4 Revised 8/13

Question 30: If your employees have used the procedure in the last three (3) years, please submit an

explanation in the format indicated below:

1. Number of complaint(s)

2. Nature of the complaint(s)

3. Position(s) of the complainant(s)

4. Was an investigation conducted?

Y/N

5. Current status of the disposition

Question 31. Indicate whether in the past three (3) years complaints have been filed with a court of law

or administrative agency, naming your company as a defendant (or respondent) in a complaint alleging violation of any anti-discrimination or affirmative action laws. If yes, develop and submit a log to show, for each administrative/and or judicial action filed, the following information:

1. Name(s) of complainant(s)

2. Administrative agency or court in which action

was filed

3. Nature of the complaint(s)

4. Current status 5. If not pending, the complaint’s disposition

Question 32: Identify each job for which a physical qualification exists. Identify and explain the physical

qualification(s) for each stated job. Submit job descriptions for each job and the reasons for the qualifications.

Question 33. Identify each job for which there exists any qualification related to age, race, color, national origin,

sex, creed, disability, marital status, sexual orientation or citizenship status. Identify and explain the specific related qualification for each job stated. Submit job descriptions for each job and the reasons for the qualifications.

Question 34: Please check for which job categories the listed policies and practices listed apply. Question 35: If you employee 150 persons or more please indicate the relevant geographical area from which

you recruit for each job category. LESS THAN 150 EMPLOYEES: Vendors or suppliers with less than 150 employees at the

facility(ies) performing on this contract need only complete Parts I, II and the Signature Page. PART III: EMPLOYMENT DATA TABLES FORM A: JOB CLASSIFICATION AND INCUMBENTS REPORT

Indicate the name and location of the reported facility in the upper right hand corner of Form A. Please circle the occupational category at the top of the page in order to identify the job titles being reported on the page. Remember, if you circle "professional" the page should reflect only those titles classified as professionals.

You must use separate pages of Form A for each occupational category. You should photocopy as many forms as you

need to report all of the titles.

Occupational Category List and classify each company job title which exists in the reported facility. In selecting the appropriate occupational

category for each job title please note that the occupational categories listed in abbreviated form at the upper right corner reflect the eleven (11) occupational categories utilized in the 1990 Census. These occupational categories are listed in Appendix B (page 22) and appear as italicized headings within the parenthesis above each group of occupational titles listed in Appendix B. Be sure you are using the correct occupational category when selecting the category in Appendix B that most closely corresponds to your company job titles.

Page 5 Revised 8/13

Company Job Title

Column 1: List all job titles which fall within the category circled. (These are titles, not census codes, occupational categories or specific people).

If you have an unusual company job title which you are unable to place within an occupational category, please fill out the job description form and DLS will classify the job title for you.

If two job titles have similar pay rate, opportunity and responsibility, they may be checked off in the same job group. But

you may not skip a job group within an occupational category. The rankings in each occupational category must begin with Job Group 1, then Job Group 2, and so on. It is not necessary to reach Job Group 5, and in fact most small and medium-sized organizations do not.

Under limited circumstances will DLS allow more than five job groups to be established in an occupational category, but in no instance will more than ten job groups be allowed. If you believe that more than five job groups in any occupational category is absolutely necessary, please call DLS and ask for assistance.

Incumbents

Column 5: Record the total number of your current employees by job title. Columns 6-15: Distribute by sex and minority status (see below), the total number of incumbents in each job title.

Add the totals in column 5 for the entire occupational category (e.g., Managers) and place the resulting number in the box at the top left hand corner of the page. If there are no incumbents in an occupational category, you must report zero (0).

"Minority," "Minorities, " or "Minority Group" means Black, Hispanic (non-European), Asian, and

Native American (American Indian, Eskimo, Aleut). These groups are defined as follows: Black: descended from any of the Black African racial groups and not of Spanish origin;

Hispanic: of Mexican, Puerto Rican, Cuban, Dominican, Central or South American Spanish origin or culture regardless of race;

Asian or Pacific Islander: descended from any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands;

Native American, Alaskan Native: descended from any of the original peoples of North America or Alaska and maintaining identifiable tribal affiliation through membership and participation or community recognition.

The incumbents reported should reflect a snapshot of your workforce as of the date your Employment Report was completed.

FORM B: NEW HIRES FORM/TRACKING EMPLOYEES HIRED OVER THE LAST THREE YEARS The New Hires Form calls for information concerning only those employees hired over the last three years, including those who are no longer with your firm.

If any required information is unavailable, please contact the city agency with which you are contracting (contracting agency). If you are contracting through the Department of General Services/Division of Municipal Supplies, you must contact the Division of Labor Services directly.

Social Security No. or Employee ID No. Column 1: Write the social security number or employee ID number of all employees hired. Each

permanent ID number must be employee specific.

Page 6 Revised 8/13

Sex and Race/Ethnic Code

Column 2: Using the codes at the bottom of the form, fill in the sex and race of each employee listed in column

Column 3: "Minority," "Minorities, " or "Minority Group" means: Black, Hispanic (non-European),

Asian, and Native American (American Indian, Eskimo, Aleut). These groups are defined on above.

Year of Hire Column 4: Enter year of hire for each employee hired within the past three years.

If there are no "new hires" for one or more of the past three years, please indicate this at the certification box located below the legends.

Company Job Number at Hire

Column 5: List the company job number (Form A, Column 2) for the title in which the employee was hired.

All company job numbers utilized on this form must be reported on Form A, even if the job title that the job number represents no longer exists. If a company number is listed as a three digit number on the job classification and incumbents form (i.e. 006), that precise three digit number must be utilized in this column and in column eight. Do not substitute “6” for “006”.

Matching Census Code Column 6: Refer to the census codes which were assigned to the job titles on Form A. List the

census code assigned to the company job title into which the employee was hired. If the same company job number is listed more than once in Column 5, the same census code must be

assigned each time that company job number is reported. Where applicable, the same census code may be assigned to different company job numbers. For example,

job titles senior accountant and junior accountant may both be assigned detailed census code 023 (accountants and auditors).

If you are unable to find a suitable census code match for one or more of your company job titles, fill in the

Job Description Form Employment Report, page 14) and DLS will match it to a census code. Weekly Salary at Hire

Column 7: Report the weekly salary of each employee listed at hire. If not weekly, salaries must still be listed in a uniform manner (i.e., monthly salaries instead of weekly).

Current Company Job Number Column 8: Enter the current company job number of each employee listed. This may or may not be

a change from Column 5, depending on whether there was a change in job title (promotion, transfer, demotion) for the employee.

If any employee listed as a new hire is no longer with your firm, place an "I" in this column if the employee was discharged or laid off, a "V" if the employee resigned, an "R" if the employee retired and a "D" if the employee is deceased.

Remember that all company job numbers utilized on this form must have been reported on Form A.

Page 7 Revised 8/13

Weekly Current Salary

Column 9: Enter the current salary of each employee listed. This may or may not be a change from Column 7. This salary must be reported in the same uniform manner (i.e. weekly, monthly) as Column 7.

If any employee listed is no longer with your firm, place an "I", "V", "R", or a "D" in this column as appropriate. FORM C: TERMINATIONS FORM/EMPLOYMENT TERMINATIONS OVER THE LAST THREE YEARS The Terminations Form calls for information concerning only those employees whose employment terminated over the last three years. If no termination occurred in any of the past three years, indicate this fact in the certification box.

If any required information is unavailable, please contact the city agency with which you are contracting (contracting agency). If you are contracting through the Department of General Services/Division of Municipal Supplies, you must contact the Division of Labor Services directly.

Social Security No. or Employee ID No.

Column 1: Write the social security number or other permanent employee ID number for each employee listed. Each permanent ID number utilized must be employee specific.

Please be sure that all employees listed on the "New Hires Form" as terminated (with a "V", "R", "I" or "D" in columns 8 and 9) are consistently reported on this Form.

Sex and Race/Ethnic Code

Column 2: Using the codes at the bottom of the form fill in the sex and race of each employee listed in column

Column 3: "Minority," "Minorities ", or "Minority Group" means: Black, Hispanic (non-European),

Asian, and Native American (American Indian, Eskimo, Aleut). These groups are defined above.

Age at Termination Column 4: Indicate the age of each employee listed. Please do not give birth dates. Year of Hire Column 5: If any employee listed on this form was rehired, enter the year of last hire. Last Company Job Number Column 6: Enter the last company job number assigned to terminees (this number must be from the

job numbers assigned on Form A, column 2). All company job numbers utilized on this form must be reported on the Form A, even if the title and number

no longer exist.

Page 8 Revised 8/13

Year of Termination Column 7: Indicate the year of employee's termination. Type of Termination

Column 8: Indicate the type of termination by placing an "I" in this column if the employee was discharged or laid off, a "V" if the employee resigned, an "R" if the employees retired or a "D" if the employee is deceased.

Remember that all company job numbers utilized on this form must have been reported on Form A. SIGNATURE PAGE

The signatory of this Employment Report and all other documents submitted to DLS must be an official authorized to enter into a binding legal agreement. The signature page must be completed in its entirety and notarized. Only original signatures will be accepted.

Page 1 Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

The City of New York Department of Small Business Services Division of Labor Services Contract Compliance Unit

110 William Street, New York, New York 10038 Phone: (212) 513 – 6323

Fax: (212) 618-8879

SUPPLY AND SERVICES EMPLOYMENT REPORT GENERAL INFORMATION 1. Your contractual relationship in this contract is: Prime contractor______ Subcontractor______ 2. This Employment Report is for: Headquarters______ Operating Facility______

3. Would your firm like information on how to certify with the City of New York as a: ___Minority Owned Business Enterprise ___Women Owned Business Enterprise

___Locally based Business Enterprise ___Emerging Business Enterprise

___Disadvantaged Business Enterprise 3a. If you are certified as an MBE, WBE, LBE, EBE or DBE, what city/state agency are you

certified with? ______________________________ Are you DBE certified? Yes ____ No ____ 4. Please indicate if you would like assistance from SBS in identifying certified M/WBEs for

contracting opportunities: Yes___ No___ 5. Are you a Union contractor? Yes ____ No ____ If yes, please list which local(s) you affiliated

with_________________________________________________________________________ 6. Are you a Veteran owned company? Yes ____ No ____ PART I: CONTRACTOR/SUBCONTRACTOR INFORMATION 7. _____________________________________________________________________________________

Employer Identification Number or Federal Tax I.D./ E-mail Address 8. _____________________________________________________________________________________ Company Name 9. _____________________________________________________________________________________

Facility Address and Zip Code 10. _____________________________________________________________________________________

Chief Operating Officer Telephone Number 11. _____________________________________________________________________________________ Designated Equal Opportunity Compliance Officer Telephone Number (Or name of person to contact concerning this report)

Page 2 Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

12. _____________________________________________________________________________________

Name of Prime Contractor and Contact Person (If same as Item #8, write "same") 13. Number of employees at this facility (location): ______________________ 14. Industry code: ______________________ 15. Contract information:

(a) ___________________________________ (b) ________________________________

Contracting Agency (City Agency) Contract Amount

(c) ___________________________________ (d) ________________________________

Procurement Identification Number (PIN) Contract Registration Number (CT#)

(e) ___________________________________ (f) ________________________________ Projected Commencement Date Projected Completion Date

(g) Description of contract:

_____________________________________________________________________________________ _____________________________________________________________________________________

16. List each of the firm’s facilities, with addresses and the number of employees where this

contract or parts of this contract will be performed. See instructions. _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________

17. Is any or part of this contract, in an amount exceeding $100,000 to be performed by a

subcontractor? Yes___ No___ Not known at this time___ If yes, please submit list the name(s) and address(es) of the subcontractor(s), and either attach

a copy of their Employment Report(s) or have them submit directly to the contracting agency. If subcontractors are unknown at this time, see the instructions for subcontractor submissions. _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________

18. Has the Division of Labor Services (DLS) within the past 36 months issued a Certificate of

Approval or Administrative Certificate of Compliance to your firm for the facility(ies) involved in the performance of this contract? Yes___ No___

If yes, attach a copy of certificate. 19. Has DLS within the past three months reviewed an Employment Report submission for your firm

and issued a Conditional Certificate of Approval or a Conditional Administrative Certificate of Compliance? Yes___ No___

Page 3 Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

If yes, attach a copy of certificate.

NOTE: DLS WILL NOT ISSUE A CONTINUED CERTIFICATE OF APPROVAL IN CONNECTION WITH THIS CONTRACT UNLESS THE REQUIRED CORRECTIVE ACTIONS IN PRIOR

CONDITIONAL CERTIFICATES OF APPROVAL HAVE BEEN TAKEN.

20. Has an Employment Report already been submitted for a different contract (not covered by this

Employment Report) for which you have not yet received compliance certificate and includes the facility(ies) listed here? Yes___ No___

If yes, Date submitted: _______________________________________________________________________

Agency to which submitted: _____________________________________________________ Name of Agency Person: _______________________________________________________ Contract No: __________________________________________________________________

Telephone: __________________________________________________________________________

21. Has your company in the past 36 months been audited by the United States Department of Labor, Office of Federal Contract Compliance Programs (OFCCP)? Yes___ No___

If yes,

(a) Name and address of OFCCP office. ___________________________________________________________________________ ___________________________________________________________________________

(b) Was a Certificate of Equal Employment Compliance issued within the past 36 months? Yes___ No___ If yes, attach a copy of such certificate. (c) Were any corrective actions required or agreed to? Yes___ No___

If yes, attach a copy of such requirements or agreements.

(d) Were any deficiencies found? Yes___ No___

If yes, attach a copy of such findings. 22. Is your company or its affiliates a member or members of an employers' trade association which

is responsible for negotiating collective bargaining agreements (CBA) which affect construction site hiring? Yes___ No___

If yes, attach a list of such associations and all applicable CBA's.

Page 4 Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

PART II: DOCUMENTS REQUIRED 23. For the following policies or practices, attach the relevant documents (e.g., printed booklets,

brochures, manuals, memoranda, etc.). If the policy(ies) are unwritten, attach a full explanation of the practices. See instructions.

(a) Health benefit coverage/description(s) for all management, nonunion

and union employees (whether company or union administered)

(b) Disability, life, other insurance coverage/description

(c) Employee Policy/Handbook

(d) Personnel Policy/Manual

(e) Supervisor's Policy/Manual

(f) Pension plan or 401k coverage/description for all management,

nonunion and union employees, whether company or union administered

(g) Collective bargaining agreement(s).

(h) Employment Application(s)

(i) Employee evaluation policy/form(s).

(j) Does your firm have medical and/or non-medical (i.e. education, military,

personal, pregnancy, child care) leave policy? 24. To comply with the Immigration Reform and Control Act of 1986 when and of whom does your

firm require the completion of an I-9 Form?

(a) Prior to job offer Yes___ No___ (b) After a conditional job offer Yes___ No___ (c) After a job offer Yes___ No___ (d) Within the first three days on the job Yes___ No___ (e) To some applicants Yes___ No___

(f) To all applicants Yes___ No___ (g) To some employees Yes___ No___ (h) To all employees Yes___ No___ 25. Explain where and how completed I-9 Forms, with their supportive documentation, are

maintained and made accessible. ______________________________________________________________________________

______________________________________________________________________________ 26. Does your firm or any of its collective bargaining agreements require job applicants to take a

medical examination? Yes ______ No ______

If yes, is the medical examination given: (a) Prior to a job offer Yes___ No___ (b) After a conditional job offer Yes___ No___ (c) After a job offer Yes___ No___ (d) To all applicants Yes___ No___ (e) Only to some applicants Yes___ No___

Page 5 Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

If yes, list for which applicants below and attach copies of all medical examination or questionnaire forms and instructions utilized for these examinations. ______________________________________________________________________________ ______________________________________________________________________________

27. Do you have a written equal employment opportunity (EEO) policy? Yes___ No___ If yes, list the document(s) and page number(s) where these written policies are located.

______________________________________________________________________________ ______________________________________________________________________________ 28. Does the company have a current affirmative action plan(s) (AAP)? If yes, for which of the following groups?

___Minorities and Women ___Individuals with handicaps ___Other. Please specify _____________________________________________________________

29. Does your firm or collective bargaining agreement(s) have an internal grievance procedure with

respect to EEO complaints? Yes___ No___ If yes, please attach a copy of this policy. If no, attach a report detailing your firm's unwritten procedure for handling EEO complaints. 30. Has any employee, within the past three years, filed a complaint pursuant to an internal

grievance procedure or with any official of your firm with respect to equal employment opportunity? Yes___ No___

If yes, attach an internal complaint log. See instructions. 31. Has your firm, within the past three years, been named as a defendant (or respondent) in any

administrative or judicial action where the complainant (plaintiff) alleged violation of any anti-discrimination or affirmative action laws? Yes___ No___

If yes, attach a log. See instructions. 32. Are there any jobs for which there are physical qualifications? Yes___ No___ If yes, list the job(s), submit a job description and state the reason(s) for the qualification(s).

________________________________________________________________________________________________________________________________________________________________________

33. Are there any jobs for which there are age, race, color, national origin, sex, creed, disability,

marital status, sexual orientation, or citizenship qualifications? Yes___ No___ If yes, list the job(s), submit a job description and state the reason(s) for the qualification(s).

____________________________________________________________________________________ ____________________________________________________________________________________

Page 6 Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

34. Please check below whether the following policies and practices apply to the job categories listed:

Job Category Job

Description Promote from

Within External Hire Job Posting

On-the-Job Training

Managers

Professional

Technicians

Sales Worker

Clericals

Operatives/Laborers

Service Workers

35. FOR CONTRACTORS EMPLOYING 150 OR MORE EMPLOYEES: Please indicate below the

relevant geographic recruitment or labor market area(s) (i.e. nation, specific county or specific metropolitan, statistical area) for each job category employed at this facility.

Job Category Relevant Geographic Recruitment or Labor Market Area(s)

Managers

Professional

Technicians

Sales Worker

Clericals

Operatives/Laborers

Service Workers

IF YOU EMPLOY LESS THAN 150 EMPLOYEES: Please indicate below. Contractors with less than 150 employees do not need to complete Part III.

I certify that there are fewer than 150 people at the facilities listed in this Employment Report.

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SIGNATURE PAGE

I, (print name of authorized official signing)___________________________________ hereby certify that

the information submitted herewith is true and complete to the best of my knowledge and belief and submitted with the understanding that compliance with New York City's equal employment requirements, as contained in Chapter 56 of the City Charter, Executive Order No. 50 (1980), as amended, and the implementing Rules and Regulations, is a contractual obligation. ___________________________________________________________________________________________ Contractor's Name ___________________________________________________________________________________________ Name of person who prepared this Employment Report Title ___________________________________________________________________________________________ Name of official authorized to sign on behalf of the contractor Title _______________________________ Telephone Number ___________________________________________________________________________________________ Signature of authorized official Date Willful or fraudulent falsifications of any data or information submitted herewith may result in the termination of the contract between the City and the bidder or contractor and in disapproval of future contracts for a period of up to five years. Further, such falsification may result in civil and/and or criminal prosecution.

To the extent permitted by law and consistent with the proper discharge of DLS’ responsibilities under Charter Chapter 56 of the City Charter and Executive Order No. 50 (1980) and the implementing Rules and Regulations, all information provided by a contractor to DLS shall be confidential.

Only original signatures accepted. Sworn to before me this __________ day of ___________ 20 ___________

____________________________________________________________________________________________________Notary Public Authorized Signature Date

Page 8 Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

FORM A: JOB CLASSIFICATION AND INCUMBENTS FORM

Occupational Category (CIRCLE ONE)* MGRS PROF TECH SAL CLER SERV FARM CRFT OPER LABR

Total number of incumbents in this category

CONTRACTOR NAME______________________________________________

FACILITY LOCATION:______________________________________________

MALES FEMALES

(1)

Company Job Title

(2)

Company Job No.

(3)

Census Code**

(4)

Job Group Assignment for this occupational category

1 2 3 4 5

(5)

Total in

Title

(6)

W(non-Hisp)

(7)

B(non-Hisp)

(8)

Hisp

(9)

Asian

(10)

Nat Amer

(11)

W(non-Hisp)

(12)

B(non-Hisp)

(13)

Hisp

(14)

Asian

(15)

Nat Amer

*Please include on each sheet, information concerning only 1 occupational category.**See listing of occupational categories.

NOTE: Make as many copies of this form as you require for each occupational category.

Page 9 Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

FORM B: NEW HIRES FORM/TRACKING EMPLOYEES HIRED OVER THE LAST THREE YEARS CONTRACTOR NAME______________________________________________ FACILITY LOCATION:______________________________________________ Employee Characteristics At-Hire Information Current Information

(1)

Social Security No. or Employee ID No.

(2)

Sex (a)

(3)

Race Ethnic Code (b)

(4)

Year of Hire

(5)

Company Job Number at Hire

(6)

Matching Census Code (c)

(7)

Weekly Salary at Hire

(8)

Current Company Job Number (d)

(9)

Weekly Current Salary

(a) (b) (c) (d) M: Male W: White(non-Hisp) See listing of V: Voluntarily terminated F: Female B: Black(non-Hisp) occupational categories employment (Resigned) H: Hispanic I: Involuntarily terminated A: Asian employment (Discharged/Lay off) N: Native American R: Retired D: Deceased I certify that there were no new hires in 20___ /20___ NOTE: Make as many copies of this form as you require.

Page 10 Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

FORM C: TERMINATIONS FORM EMPLOYMENT TERMINATIONS OVER THE LAST THREE YEARS CONTRACTOR NAME______________________________________________ FACILITY LOCATION_______________________________________________

(1)

Social Security No. or Employee ID No.

(2)

Sex (a)

(3)

Race Ethnic Code (b)

(4)

Age at Termination

(5)

Year of Hire

(6)

Last Company Job Number

(7)

Year of Termination

(8)

Type of Termination(d)

(a) (b) (c) (d) M: Male W: White(non-Hisp) See listing of V: Voluntarily terminated F: Female B: Black(non-Hisp) occupational categories employment (Resigned) H: Hispanic I: Involuntarily terminated A: Asian employment (Discharged/Lay off) N: Native American R: Retired D: Deceased I certify that there were no terminations in 20___ /20___ NOTE: Make as many copies of this form as you require.

Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

The City of New York Department of Small Business Services Division of Labor Services Contract Compliance Unit

110 William Street, New York, New York 10038 Phone: (212) 513 – 6323

Fax: (212) 618-8879

Date _________________________ File Number ______________________

LESS THAN 50 EMPLOYEES CERTIFICATE

(Supply and Services Contracts Only)

Your contractual relationship in this contract is: Prime contractor______ Subcontractor______

Are you currently certified as one of the following? Please check yes or no:

MBE Yes ___No ___ WBE Yes ___No ___ LBE Yes ___No ___

DBE Yes___No___ EBE Yes ___ No ___

If you are certified as an MBE, WBE, LBE, EBE or DBE, what city/state agency are you certified with?

____________________________________________________________________________________________

Please check one of the following if your firm would like information on how to certify with the City of New York as a:

___Minority Owned Business Enterprise ___Locally based Business Enterprise

___Women Owned Business Enterprise ___Emerging Business Enterprise

___Disadvantaged Business Enterprise

____________________________________________________________________________________________________

Company Name Employer Identification Number or Federal Tax I.D ____________________________________________________________________________________________________

Company Address and Zip Code E-Mail Address

____________________________________________________________________________________________________

Chief Operating Officer Telephone Number

____________________________________________________________________________________________________ Prime Contractor (if Subcontractor) Contact Person Contracting Agency Description of proposed contract:_______________________________________________________________________

____________________________________________________________________________________________________ ____________________________________________________________________________________________________ Are you a Union contractor? Yes ____ No ____ If yes, please list which local(s) you affiliated with __________________________________________________________________________________________ Are you a Veteran owned company? Yes ____ No ____

Revised 8/13 FOR OFFICIAL USE ONLY: File No._______________________________

_____________________________________ _____________________________________ Procurement Identification Number (PIN)

Contract Registration Number (CT#)

_____________________________________ _____________________________________

Block and Lot Number (ICIP/ICAP projects only)

Contract Amount

I, (print name of authorized official signing)___________________________________ hereby certify that I am authorized by the above-named subcontractor to certify that said contractor currently employs_______people. This affirmation is made in accordance with NYC Charter Chapter 56, Executive Order No. 50 (1980) and the implementing Rules.

Willful or fraudulent falsifications of any data or information submitted herewith may result in the termination of the contract between the City and the bidder or contractor and in disapproval of future contracts for a period of up to five years. Further, such falsification may result in civil and/and or criminal prosecution. ____________________________________________________________________________________________________ Signature of authorized official Title Date Only original signatures accepted.

Sworn to before me this __________ day of __________ 20 __________ _________________________________________________________________________________________________Notary Public Authorized Signature Date

Page 1 Revised 2/08

The City of New York Department of Small Business Services

Division of Labor Services Contract Compliance Unit

110 William Street New York, New York 10038

Phone: (212) 513 – 6323 Fax: (212) 618-8879

OCCUPATIONAL CATEGORIES AND CENSUS CODES

1990 CENSUS DETAILED LISTING OF OCCUPATIONAL TITLE CODES

1. Executive, Administrative and Managerial Occupations(Managerial) Codes 003 through 037

2. Profesional Specialty Occupations(Professional) Codes 043 through 199

3. Technician and Related Support Occupations(Technicians) Codes 203 through 235

4. Sales Occupations(Sales) Codes 243 through 285

5. Administrative Support Occupations, Including Clerical(Clerical) Codes 303 through 389

6. Service Occupations, Except Private Household(Service) Codes 403 through 469

7. Farming, Forestry & Fishing(Farm) Codes 473 through 499

8. Precision Production, Craft and Regular Occupations(Crafts) Codes 503 through 699

9. Operators, Fabricators & Laborers(Operators) Codes 703 through 889

10. Military Occupations(Military) Codes 903 through 905

11. Experienced Unemployed Not Classified by Occupation(Unemployed) Code 909

1. EXECUTIVE, ADMINISTRATIVE, AND MANAGERIAL OCCUPATIONS ("Managerial")003 Legislators 004 Chief executives and general administrators, public administration 005 Administrators and officials, public administration 006 Administrators, protective services 007 Financial managers 008 Personnel and labor relations managers 009 Purchasing managers 013 Managers, marketing, advertising, and public relations 014 Administrators, education and related fields 015 Managers, medicine and health 016 Postmasters and mail superintendents 017 Managers, food serving and lodging establishments 018 Managers, properties and real estate 019 Funeral directors 021 Managers, service organizations, n.e.c. 022 Managers and administrators, n.e.c.

Management Related Occupations 023 Accountants and auditors 024 Underwriters 025 Other financial officers 026 Management analysts 027 Personnel, training, and labor relations specialists

Page 2 Revised 2/08

028 Purchasing agents and buyers, farm products 029 Buyers, wholesale and retail trade except farm products 033 Purchasing agents and buyers, n.e.c. 034 Business and promotion agents 035 Construction inspectors 036 Inspectors and compliance officers, except construction 037 Management related occupations, n.e.c. 2. PROFESSIONAL SPECIALTY OCCUPATIONS ("Professional") Engineers, Architects, and Surveyors 043 Architects Engineers 044 Aerospace 045 Metallurgical and materials 046 Mining 047 Petroleum 048 Chemical 049 Nuclear 053 Civil 054 Agricultural 055 Electrical and electronic 056 Industrial 057 Mechanical 058 Marine and naval architects 059 Engineers, n.e.c. 063 Surveyors and mapping scientists Mathematical and Computer Scientists 064 Computer systems analysts and scientists 065 Operations and systems researchers and analysts 066 Actuaries 067 Statisticians 068 Mathematical scientists, n.e.c. Natural Scientists 069 Physicists and astronomers 073 Chemists, except biochemists 074 Atmospheric and space scientists 075 Geologists and geodesists 076 Physical scientists, n.e.c. 077 Agricultural and food scientists 078 Biological and life scientists 079 Forestry and conservation scientists 083 Medical scientists Health Diagnosing Occupations 084 Physicians 085 Dentists 086 Veterinarians 087 Optometrists 088 Podiatrists 089 Health diagnosing practitioners, n.e.c. Health Assessment and Treating Occupations 095 Registered nurses 096 Pharmacists 097 Dietitians Therapists 098 Respiratory therapists 099 Occupational therapists 103 Physical therapists 104 Speech therapists 105 Therapists, n.e.c.

Page 3 Revised 2/08

106 Physicians' assistants Teachers, Postsecondary 113 Earth, environmental, and marine science teachers 114 Biological science teachers 115 Chemistry teachers 116 Physics teachers 117 Natural science teachers, n.e.c. 118 Psychology teachers 119 Economics teachers 123 History teachers 124 Political science teachers 125 Sociology teachers 126 Social science teachers, n.e.c. 127 Engineering teachers 128 Mathematical science teachers 129 Computer science teachers 133 Medical science teachers 134 Health specialties teachers 135 Business, commerce, and marketing teachers 136 Agriculture and forestry teachers 137 Art, drama, and music teachers 138 Physical education teachers 139 Education teachers 143 English teachers 144 Foreign language teachers 145 Law teachers 146 Social work teachers 147 Theology teachers 148 Trade and industrial teachers 149 Home economics teachers 153 Teachers, postsecondary, n.e.c. 154 Postsecondary teachers, subject not specified Teachers, Except Postsecondary 155 Teachers, prekindergarten and kindergarten 156 Teachers, elementary school 157 Teachers, secondary school 158 Teachers, special education 159 Teachers, n.e.c. 163 Counselors, educational, and vocational Librarians, Archivists, and Curators 164 Librarians 165 Archivists and curators Social Scientists and Urban Planners 166 Economists 167 Psychologists 168 Sociologists 169 Social scientists, n.e.c. 173 Urban planners Social, Recreation, and Religious Workers 174 Social workers 175 Recreation workers 176 Clergy 177 Religious workers, n.e.c. Lawyers and Judges 178 Lawyers 179 Judges Writers, Artists, Entertainers, and Athletes 183 Authors 184 Technical writers

Page 4 Revised 2/08

185 Designers 186 Musicians and composers 187 Actors and directors 188 Painters, sculptors, craft-artists, and artist printmakers 189 Photographers 193 Dancers 194 Artists, performers, and related workers, n.e.c. 195 Editors and reporters 197 Public relations specialists 198 Announcers 199 Athletes 3. TECHNICIANS AND RELATED SUPPORT OCCUPATIONS ("Technicians") Health Technologists and Technicians 203 Clinical laboratory technologists and technicians 204 Dental hygienists 205 Health record technologists and technicians 206 Radiologic technicians 207 Licensed practical nurses 208 Health technologists and technicians, n.e.c. Technologists and Technicians, Except Health Engineering and Related Technologists and Technicians 213 Electrical and electronic technicians 214 Industrial engineering technicians 215 Mechanical engineering technicians 216 Engineering technicians, n.e.c. 217 Drafting occupations 218 Surveying and mapping technicians Science Technicians 223 Biological technicians 224 Chemical technicians 225 Science technicians, n.e.c. Technicians, Except Health, Engineering, and Science 226 Airplane pilots and navigators 227 Air traffic controllers 228 Broadcast equipment operators 229 Computer programmers 233 Tool programmers, numerical control 234 Legal assistants 235 Technicians, n.e.c. 4. SALES OCCUPATIONS ("Sales") 243 Supervisors and proprietors, sales occupations Sales Representatives, Finance and Business Services 253 Insurance sales occupations 254 Real estate sales occupations 255 Securities and financial services sales occupations 256 Advertising and related sales occupations 257 Sales occupations, other business services Sales Representatives, Commodities Except Retail 258 Sales engineers 259 Sales representatives, mining, manufacturing, and wholesale Sales Workers, Retail and Personal Services 263 Sales workers, motor vehicles and boats 264 Sales workers, apparel 265 Sales workers, shoes 266 Sales workers, furniture and home furnishings 267 Sales workers; radio, TV, hi-fi, and appliances 268 Sales workers, hardware and building supplies 269 Sales workers, parts

Page 5 Revised 2/08

274 Sales workers, other commodities 275 Sales counter clerks 276 Cashiers 277 Street and door-to-door sales workers 278 News vendors Sales Related Occupations 283 Demonstrators, promoters and models, sales 284 Auctioneers 285 Sales support occupations, n.e.c. 5. ADMINISTRATIVE SUPPORT OCCUPATIONS, INCLUDING CLERICAL ("Clerical") Supervisors, Administrative Support Occupations 303 Supervisors, general office 304 Supervisors, computer equipment operators 305 Supervisors, financial records processing 306 Chief communications operators 307 Supervisors, distribution, scheduling, and adjusting clerks Computer equipment operators 308 Computer operators 309 Peripheral equipment operators Secretaries, Stenographers and Typists 313 Secretaries 314 Stenographers 315 Typists Information Clerks 316 Interviewers 317 Hotel clerks 318 Transportation ticket and reservation agents 319 Receptionists 323 Information clerks, n.e.c. Records Processing Occupations, Except Financial 325 Classified-ad clerks 326 Correspondence clerks 327 Order clerks 328 Personnel clerks, except payroll and timekeeping 329 Library clerks 335 File clerks 336 Records clerks Financial Records Processing Occupations 337 Bookkeepers, accounting, and auditing clerks 338 Payroll and timekeeping clerks 339 Billing clerks 343 Cost and rate clerks 344 Billing, posting, and calculating machine operators Duplicating, Mail and Other Office Machine Operators 345 Duplicating machine operators 346 Mail preparing and paper handling machine operators 347 Office machine operators, n.e.c. Communications Equipment Operators 348 Telephone operators 353 Communications equipment operators, n.e.c. Mail and Message Distributing Occupations 354 Postal clerks, exc. mail carriers 355 Mail carriers, postal service 356 Mail clerks, exc. postal service 357 Messengers Material Recording, Scheduling, and Distributing Clerks, n.e.c. 359 Dispatchers 363 Production coordinators

Page 6 Revised 2/08

364 Traffic, shipping, and receiving clerks 365 Stock and inventory clerks 366 Meter readers 368 Weighers, measurers, checkers, and samplers 373 Expediters 374 Material recording, scheduling, and distributing clerks, n.e.c. Adjusters and investigators 375 Insurance adjusters, examiners, and investigators 376 Investigators and adjustors, except insurance 377 Eligibility clerks, social welfare 378 Bill and account collectors Miscellaneous Administrative Support Occupations 379 General office clerks 383 Bank tellers 384 Proofreaders 385 Data-entry keyers 386 Statistical clerks 387 Teachers' aides 389 Administrative support occupations, n.e.c. 6. SERVICE OCCUPATIONS ("Service") Private Household Occupations 403 Launderers and ironers 404 Cooks, private household 405 Housekeepers and butlers 406 Child care workers, private household 407 Private household cleaners and servants Protective Service Occupations Supervisors, Protective Service Occupations 413 Supervisors, firefighting and fire prevention occupations 414 Supervisors, police and detectives 415 Supervisors, guards Firefighting and Fire Prevention Occupations 416 Fire inspection and fire prevention occupations 417 Firefighting occupations Police and Detectives 418 Police and detectives, public service 423 Sheriffs, bailiffs, and other law enforcement officers 424 Correctional institution officers Guards 425 Crossing guards 426 Guards and police, exc. public service 427 Protective service occupations, n.e.c. Service Occupations, Except Protective and Household Food Preparation and Service Occupations 433 Supervisors, food preparation and service occupations 434 Bartenders 435 Waiters and waitresses 436 Cooks 438 Food counter, fountain and related occupations 439 Kitchen workers, food preparation 443 Waiters'/waitresses' assistants 444 Miscellaneous food preparation occupations Health Service Occupations 445 Dental assistants 446 Health aides, except nursing 447 Nursing aides, orderlies, and attendants Cleaning and Building Service Occupations, except Household 448 Supervisors, cleaning and building service workers

Page 7 Revised 2/08

449 Maids and housemen 453 Janitors and cleaners 454 Elevator operators 455 Pest control occupations

Personal Service Occupations 456 Supervisors, personal service occupations 457 Barbers 458 Hairdressers and cosmetologists 459 Attendants, amusement and recreation facilities 461 Guides 462 Ushers 463 Public transportation attendants 464 Baggage porters and bellhops 465 Welfare service aides 466 Family child care providers 467 Early childhood teacher's assistants 468 Child care workers, n.e.c. 469 Personal service occupations, n.e.c.

7. FARMING, FORESTRY, AND FISHING OCCUPATIONS ("Farm")Farm operators and managers

473 Farmers, except horticultural 474 Horticultural specialty farmers 475 Managers, farms, except horticultural 476 Managers, horticultural specialty farms

Farm Occupations, Except Managerial 477 Supervisors, farm workers 479 Farm workers 483 Marine life cultivation workers 484 Nursery workers

Related Agricultural Occupations 485 Supervisors, related agricultural occupations 486 Groundkeepers and gardeners, except farm 487 Animal caretakers, except farm 488 Graders and sorters, agricultural products 489 Inspectors, agricultural products

Forestry and Logging Occupations 494 Supervisors, forestry and logging workers 495 Forestry workers, except logging 496 Timber cutting and logging occupations

Fishers, Hunters, and Trappers 497 Captains and other officers, fishing vessels 498 Fishers 499 Hunters and trappers

8. PRECISION PRODUCTION, CRAFT, AND REPAIR OCCUPATIONS ("Crafts") Mechanics and Repairers 503 Supervisors, mechanics and repairers

Mechanics and Repairers, Except Supervisors Vehicle and Mobile Equipment Mechanics and Repairers

505 Automobile mechanics 506 Automobile mechanic apprentices 507 Bus, truck, and stationary engine mechanics 508 Aircraft engine mechanics 509 Small engine repairers 514 Automobile body and related repairers 515 Aircraft mechanics, exc. engine 516 Heavy equipment mechanics 517 Farm equipment mechanics

Page 8 Revised 2/08

518 Industrial machinery repairers 519 Machinery maintenance occupations Electrical and Electronic Equipment Repairers 523 Electronic repairers, communications and industrial equipment 525 Data processing equipment repairers 526 Household appliance and power tool repairers 527 Telephone line installers and repairers 529 Telephone installers and repairers 533 Miscellaneous electrical and electronic equipment repairers 534 Heating, air conditioning, and refrigeration mechanics Miscellaneous Mechanics and Repairers 535 Camera, watch, and musical instrument repairers 536 Locksmiths and safe repairers 538 Office machine repairers 539 Mechanical controls and valve repairers 543 Elevator installers and repairers 544 Millwrights 547 Specified mechanics and repairers, n.e.c. 549 Not specified mechanics and repairers Construction Trades Supervisors, construction occupations 553 Supervisors, brickmasons, stonemasons, and tile setters 554 Supervisors, carpenters and related workers 555 Supervisors, electricians and power transmission installers 556 Supervisors, painters, paperhangers, and plasterers 557 Supervisors, plumbers, pipefitters, and steam fitters 558 Supervisors, construction n.e.c. Construction Trades, Except Supervisors 563 Brickmasons and stonemasons 564 Brickmason and stonemason apprentices 565 Tile setters, hard and soft 566 Carpet installers 567 Carpenters 569 Carpenter apprentices 573 Drywall installers 575 Electricians 576 Electrician apprentices 577 Electrical power installers and repairers 579 Painters, construction and maintenance 583 Paperhangers 584 Plasterers 585 Plumbers, pipefitters, and steamfitters 587 Plumber, pipefitter, and steamfitter apprentices 588 Concrete and terrazzo finishers 589 Glaziers 593 Insulation workers 594 Paving, surfacing, and tamping equipment operators 595 Roofers 596 Sheetmetal duct installers 597 Structural metal workers 598 Drillers, earth 599 Construction trades, n.e.c. Extractive Occupations 613 Supervisors, extractive occupations 614 Drillers, oil well 615 Explosives workers 616 Mining machine operators 617 Mining occupations, n.e.c. Precision Production Occupations

Page 9 Revised 2/08

628 Supervisors, production occupations Precision Metal Working Occupations 634 Tool and die makers 635 Tool and die makers apprentices 636 Precision assemblers, metal 637 Machinists 639 Machinist apprentices 643 Boilermakers 644 Precision grinders, fitters and tool sharpeners 645 Patternmakers and model makers, metal 646 Lay-out workers 647 Precious stones and metals workers (Jewelers) 649 Engravers, metal 653 Sheet metal workers 654 Sheet metal worker apprentices 655 Miscellaneous precision metal workers Precision Woodworking Occupations 656 Patternmakers and model makers, wood 657 Cabinet makers and bench carpenters 658 Furniture and wood finishers 659 Miscellaneous precision woodworkers Precision Textile, Apparel, and Furnishings Machine Workers 666 Dressmakers 667 Tailors 668 Upholsterers 669 Shoe repairers 674 Miscellaneous precision apparel and fabric workers Precision Workers, Assorted Materials 675 Hand molders and shapers, except jewelers 676 Patternmakers, lay-out workers, and cutters 677 Optical goods workers 678 Dental laboratory and medical appliance technicians 679 Bookbinders 683 Electrical and electronic equipment assemblers 684 Miscellaneous precision workers, n.e.c. Precision Food Production Occupations 686 Butchers and meat cutters 687 Bakers 688 Food batchmakers Precision Inspectors, Testers, and Related Workers 689 Inspectors, testers, and graders 693 Adjusters and calibrators Plant and System Operators 694 Water and sewage treatment plant operators 695 Power plant operators 696 Stationary engineers 699 Miscellaneous plant and system operators 9. OPERATORS, FABRICATORS, AND LABORERS ("Operators") Machine Operators, Assemblers, and Inspectors Machine Operators and Tenders, except Precision Metalworking and Plastic Working Machine Operators 703 Lathe and turning machine set-up operators 704 Lathe and turning machine operators 705 Milling and planning machine operators 706 Punching and stamping press machine operators 707 Rolling machine operators 708 Drilling and boring machine operators 709 Grinding, abrading, buffing, and polishing machine operators 713 Forging machine operators

Page 10 Revised 2/08

714 Numerical control machine operators 715 Miscellaneous metal, plastic, stone, and glass working machine operators 717 Fabricating machine operators, n.e.c. Metal and Plastic Processing Machine Operators 719 Molding and casting machine operators 723 Metal plating machine operators 724 Heat treating equipment operators 725 Miscellaneous metal and plastic processing machine operators Woodworking Machine Operators 726 Wood lathe, routing, and planing machine operators 727 Sawing machine operators 728 Shaping and joining machine operators 729 Nailing and tacking machine operators 733 Miscellaneous woodworking machine operators Printing Machine Operators 734 Printing machine operators 735 Photoengravers and lithographers 736 Typesetters and compositors 737 Miscellaneous printing machine operators Textile, Apparel, and Furnishings Machine Operators 738 Winding and twisting machine operators 739 Knitting, looping, taping, and weaving machine operators 743 Textile cutting machine operators 744 Textile sewing machine operators 745 Shoe machine operators 747 Pressing machine operators 748 Laundering and dry cleaning machine operators 749 Miscellaneous textile machine operators Machine Operators, Assorted Materials 753 Cementing and gluing machine operators 754 Packaging and filling machine operators 755 Extruding and forming machine operators 756 Mixing and blending machine operators 757 Separating, filtering, and clarifying machine operators 758 Compressing and compacting machine operators 759 Painting and paint spraying machine operators 763 Roasting and baking machine operators, food 764 Washing, cleaning, and picking machine operators 765 Folding machine operators 766 Furnace, kin, and oven operators, exc, food 768 Crushing and grinding machine operators 769 Slicing and cutting machine operators 773 Motion picture projectionists 774 Photographic process machine operators 777 Miscellaneous machine operators, n.e.c. 779 Machine operators, not specified Fabricators, Assemblers, and Hand Working Occupations 783 Welders and cutters 784 Solderers and blazers 785 Assemblers 786 Hand cutting and trimming occupations 787 Hand molding, casting, and forming occupations 789 Hand painting, coating, and decorating occupations 793 Hand engraving and printing occupations 795 Miscellaneous hand working occupations Production Inspectors, Testers, Samplers, and Weighers 796 Production inspectors, checkers, and examiners 797 Production testers 798 Production samplers and weighers

Page 11 Revised 2/08

799 Graders and sorters, exc. agricultural Transportation and Material Moving Occupations Motor Vehicle Operators

803 Supervisors, motor vehicle operators 804 Truck drivers 806 Driver-sales workers 808 Bus drivers 809 Taxicab drivers and chauffeurs 813 Parking lot attendants 814 Motor transportation occupations, n.e.c.

Transportation Occupations, Except Motor Vehicles Rail Transportation Occupations

823 Railroad conductors and yardmasters 824 Locomotive operating occupations 825 Railroad brake, signal, and switch operators 826 Rail vehicle operators, n.e.c.

Water Transportation Occupations 828 Ship captains and mates, except fishing boats 829 Sailors and deckhands 833 Marine engineers 834 Bridge, lock, and lighthouse tenders

Material Moving Equipment Operators 843 Supervisors, material moving equipment operators 844 Operating engineers 845 Longshore equipment operators 848 Hoist and winch operators 849 Crane and tower operators 853 Excavating and loading machine operators 855 Grader, dozer, and scraper operators 856 Industrial truck and tractor equipment operators 859 Miscellaneous material moving equipment operators 864 Supervisors, handlers equipment cleaners, and laborers, n.e.c. 865 Helpers, mechanics and repairers

Helpers, Construction and Extractive Occupations 866 Helpers, construction trades 867 Helpers, surveyor 868 Helpers, extractive occupations 869 Construction laborers 874 Production helpers

Freight, Stock, and Material Handlers 875 Garbage collectors 876 Stevedores 877 Stock handlers and baggers 878 Machine feeders and offbearers 883 Freight, stock, and material handlers, n.e.c. 885 Garage and service station related occupations 887 Vehicle washers and equipment cleaners 888 Hand packers and packagers 889 Laborers, except construction

10. MILITARY OCCUPATIONS ("Military")903 Commissioned Officers and Warrant Officers 904 Non-commissioned Officers and Other Enlisted Personnel 905 Military occupation, rank not specified

EXPERIENCE UNEMPLOYED NOT CLASSIFIED BY OCCUPATION 909 Last worked 1984 or earlier

Page 1 Revised 2/08

The City of New York Department of Small Business Services

Division of Labor Services Contract Compliance Unit

110 William Street New York, New York 10038

Phone: (212) 513 – 6323 Fax: (212) 618-8879

INDUSTRY CODES

AGRICULTURE, FORESTRY, AND FISHERIES 010 Agricultural production, crops 011 Agricultural production, livestock 012 Veterinary services 020 Landscape and horticultural services 030 Agricultural services, n.e.c. 031 Forestry 032 Fishing, hunting, and trapping MINING 040 Metal mining 041 Coal mining 042 Oil and gas extraction 050 Nonmetallic mining and quarrying, except fuels CONSTRUCTION 060 All construction MANUFACTURING Nondurable Goods Food and kindred products 100 Meat products 101 Dairy products 102 Canned, frozen, and preserved fruits and vegetables 110 Grain Mill products 111 Bakery products 112 Sugar and confectionery products 120 Beverage industries 121 Miscellaneous food preparations and kindred products 122 Not specified food industries 130 Tobacco manufactures Textile mill products 132 Knitting mills 140 Dyeing and finishing textiles, except wool and knit goods 141 Carpets and rugs 142 Yarn, thread, and fabric mills 150 Miscellaneous textile mill products Apparel and other finished textile products 151 Apparel and accessories, except knit 152 Miscellaneous fabricated textile products Paper and allied products 160 Pulp, paper, and paperboard mills 161 Miscellaneous paper and pulp products 162 Paperboard containers and boxes Printing, publishing, and allied industries 171 Newspaper publishing and printing 172 Printing, publishing, and allied industries, except newspapers Chemicals and allied products

Page 2 Revised 2/08

180 Plastics, synthetics, and resins 181 Drugs 182 Soaps and cosmetics 190 Paints, varnishes, and related products 191 Agricultural chemicals 192 Industrial and miscellaneous chemicals Petroleum and coal products 200 Petroleum refining 201 Miscellaneous petroleum and coal products Rubber and miscellaneous plastic products 210 Tires and inner tubes 211 Other rubber products, and plastics footwear and belting 212 Miscellaneous plastics products Leather and leather products 220 Leather tanning and finishing 221 Footwear, except rubber and plastic 222 Leather products, except footwear Durable Goods Lumber and wood products, except furniture 230 Logging 231 Sawmills, planning mills, and millwork 232 Wood buildings and mobile homes 241 Miscellaneous wood products 242 Furniture and fixtures Stone, clay, glass and concrete products 250 Glass and glass products 251 Cement, concrete, gypsum, and plaster products 252 Structural clay products 261 Pottery and related products 262 Miscellaneous nonmetallic mineral and stone products Metal industries 270 Blast furnaces, steelworks, rolling and finishing mills 271 Iron and steel foundries 272 Primary aluminum industries 280 Other primary metal industries 281 Cutlery, hand tools, and general hardware 282 Fabricated structural metal products 290 Screw machine products 291 Metal forging and stampings 292 Ordnance 300 Miscellaneous fabricated metal products 301 Not specified metal industries Machinery and computing equipment

310 Engines and turbines 311 Farm machinery and equipment

312 Construction and material handling machines 320 Metalworking machinery 321 Office and accounting machines 322 Computers and related equipment 331 Machinery, except electrical, n.e.c. 332 Not specified machinery Electrical machinery, equipment and supplies 340 Household appliances 341 Radio, TV, and communication equipment 342 Electrical machinery, equipment and supplies, n.e.c. 350 Not specified electrical machinery, equipment and supplies Transportation equipment 351 Motor vehicles and motor vehicle equipment 352 Aircraft and parts

Page 3 Revised 2/08

360 Ship and boat building and repairing 361 Railroad locomotives and equipment 362 Guided missiles, space vehicles, and parts 370 Cycles and miscellaneous transportation equipment Professional and photographic equipment, and watches 371 Scientific and controlling instruments 372 Medical, dental, and optical instruments and supplies 380 Photographic equipment and supplies 381 Watches, clock and clockwork operated devices 390 Toys, amusement and sporting goods 391 Miscellaneous manufacturing industries 392 Not specified manufacturing industries TRANSPORTATION, COMMUNICATIONS AND OTHER PUBLIC UTILITIES Transportation 400 Railroads 401 Bus service and urban transit 402 Taxicab service 410 Trucking service 411 Warehousing and storage 412 U.S. Postal Service 420 Water transportation 421 Air transportation 422 Pipe lines, except natural gas 432 Services incidental to transportation Communications 440 Radio and television broadcasting and cable 441 Telephone communications 442 Telegraph and miscellaneous communication services Utilities and sanitary services 450 Electric light and power 451 Gas and steam supply systems 452 Electric and gas, and other combinations 470 Water supply and irrigation 471 Sanitary services 472 Not specified utilities WHOLESALE TRADE Durable Goods 500 Motor vehicles and equipment 501 Furniture and home furnishings 502 Lumber and construction materials 510 Professional and commercial equipment and supplies 511 Metals and minerals, except petroleum 512 Electrical goods 521 Hardware, plumbing and heating supplies 530 Machinery, equipment and supplies 531 Scrap and waste materials 532 Miscellaneous wholesale, durable goods Nondurable Goods 540 Paper and paper products 541 Drugs, chemicals and allied products 542 Apparel, fabrics and notions 550 Groceries and related products 551 Farm-product raw materials 552 Petroleum products 560 Alcoholic beverages 561 Farm supplies 562 Miscellaneous wholesales, nondurable goods

Page 4 Revised 2/08

571 Not specified wholesale trade RETAIL TRADE 580 Lumber and building material retailing 581 Hardware stores 582 Retail nurseries and garden stores 590 Mobile home dealers 591 Department stores 592 Variety stores 600 Miscellaneous general merchandise stores 601 Grocery stores 602 Dairy products stores 610 Retail bakeries 611 Food stores, n.e.c. 612 Motor vehicle dealers 620 Auto and home supply stores 621 Gasoline service stations 622 Miscellaneous vehicle dealers 623 Apparel and accessory stores, except shoe 630 Shoe stores 631 Furniture and home furnishings stores 632 Household appliance stores 633 Radio, TV, and computer stores 640 Music stores 641 Eating and drinking places 642 Drug stores 650 Liquor stores 651 Sporting goods, bicycles and hobby stores 652 Book and stationery stores 660 Jewelry stores 661 Gift, novelty, and souvenir shops 662 Sewing, needlework and piece goods stores 663 Catalog and mail order houses 670 Vending machine operators 671 Direct selling establishments 672 Fuel dealers 681 Retail florists 682 Miscellaneous retail stores 691 Not specified retail trade FINANCE, INSURANCE AND REAL ESTATE 700 Banking 701 Savings institutions, including credit unions 702 Credit agencies, n.e.c. 710 Security, commodity brokerage, and investment companies 711 Insurance 712 Real estate, including real estate-insurance offices BUSINESS AND REPAIR SERVICES 721 Advertising 722 Services to dwellings and other buildings 731 Personnel supply services 732 Computer and data processing services 740 Detective and protective services 741 Business services, n.e.c. 742 Automotive rental and leasing, without divers 750 Automotive parking and carwashes 751 Automotive repair and related services 752 Electrical repair shops

Page 5 Revised 2/08

760 Miscellaneous repair services PERSONAL SERVICES 761 Private households 762 Hotel and motels 770 Lodging places, excepts hotels and motels 771 Laundry, cleaning and garment services 772 Beauty shops 780 Barber shops 781 Funeral service and crematories 782 Shoe repair shops 790 Dressmaking shops 791 Miscellaneous personal services ENTERTAINMENT AND RECREATION SERVICES 800 Theaters and motion pictures 801 Video tape rental 802 Bowling centers 810 Miscellaneous entertainment and recreation services PROFESSIONAL AND RELATED SERVICES 812 Offices and clinics of physicians 820 Offices and clinics of dentists 821 Offices and clinics of chiropractors 822 Offices and clinics of optometrists 830 Offices and clinics of health practitioners, n.e.c. 831 Hospitals 832 Nursing and personal care facilities 840 Health services, n.e.c. 841 Legal services 842 Elementary and secondary schools 850 Colleges and universities 851 Vocational schools 852 Libraries 860 Educational services, n.e.c. 861 Job training and vocational rehabilitation services 862 Child day care services 863 Family child care homes 870 Residential care facilities, without nursing 871 Social services, n.e.c. 872 Museums, art galleries, and zoos 873 Labor unions 880 Religious organizations 881 Membership organizations, n.e.c. 882 Engineering, architectural and surveying services 890 Accounting, auditing and bookkeeping services 891 Research, development, and testing services 892 Management and public relations services 893 Miscellaneous professional and related services PUBLIC ADMINISTRATION 900 Executive and legislative offices 901 General government, n.e.c. 910 Justice, public order, safety 921 Public finance, taxation, and monetary policy 922 Administration of human resources programs 930 Administration of environmental quality and housing programs 931 Administration of economic programs 932 National security and international affairs

Page 6 Revised 2/08

ACTIVE DUTY MILITARY Armed Forces

940 Army 941 Air Forces 942 Navy 950 Marines 951 Coast Guard 952 Armed Forces, Branch not specified 960 Military Reserves or National Guard

EXPERIENCED UNEMPLOYED NOT CLASSIFIED BY INDUSTRY 992 Last worked 1984 or earlier

ELECTRONIC FUNDS TRANSFER

A. In accordance with Section 6-107.1 of the New York City Administrative code, the

Contractor agrees to accept payments under this Agreement from the City by electronic funds

transfer. An electronic funds transfer is any transfer of funds, other than a transaction

originated by check, draft or similar paper instrument, which is initiated through an

electronic terminal, telephone instrument or computer or magnetic tape so as to order,

instruct or authorize a financial institution to debit or credit an account. Prior to the first

payment made under this Agreement, Contractor shall designate one financial institution or

other authorized payment agent and shall complete the attached “EFT Vendor Payment

Enrollment Form” in order to provide the Commissioner of Finance with information

necessary for Contractor to receive electronic funds transfer payments through the designated

financial institution or authorized payment agent. The crediting of the amount of a payment to

the appropriate account on the books of a financial institution or other authorized

payment agent designated by the Contractor shall constitute full satisfaction by the City for

the amount of the payment under this agreement. The account information supplied by the

Contractor to facilitate the electronic funds transfer shall remain confidential to the fullest

extent provided by law.

B. The agency head may waive the application of the requirements herein to payments on

contracts entered into pursuant to §315 of the City Charter. In addition, the Commissioner of

the Department of Finance and the Comptroller may jointly issue standards pursuant to

which the contracting agency may waive the requirements hereunder for payments in the

following circumstance: (i) for individuals or classes of individuals for whom compliance

imposes a hardship, (ii) for classifications or types of checks; or (iii) in other circumstances

as may be necessary in the interest of the City.

Finance

TM

Mail to: NYC Department of Finance, Treasury Division, 66 John Street, 12th Floor, New York, NY 10038 - Attention: EFT, orFax to: EFT at 212-487-3027 or 212-487-3026

INSTRUCTIONS: Please check only one of the two boxes above. Check the Enrollment box to sign up for EFT. Check the Modification boxif you are currently enrolled and are making changes to the Vendor and/or Financial Institution information you have already submitted.The person completing this form must be an individual who can authorize changes related to SECTION II - FINANCIAL INSTITUTIONINFORMATION. The Person signing this form in Section III must be the same Contact Person in Section I.Please complete all sections of this Enrollment Form and attach a voided check, a copy of an encoded deposit slip that includes an imprintedvendor’s name, the first page of a bank statement OR a letter signed by your bank representative, confirming account name, account number,and ABA routing number for ACH payments.Note: Your application cannot be processed without this documentation. See the reverse side for more information and instructions.

1. SOCIAL SECURITY NUMBER OR TAXPAYER ID NUMBER:(AS IT APPEARS ON W-9 FORM)

2. VENDOR NAME (AS IT APPEARS ON W-9 FORM):

3. VENDORʼS ADDRESS (FOR EFT ENROLLMENT PURPOSES):

4. VENDORʼS EMAIL ADDRESS:

5. CONTACT PERSONʼS NAME: 6. CONTACT TELEPHONE NUMBER:

SECTION I - VENDOR INFORMATION

SECTION II - FINANCIAL INSTITUTION INFORMATION

CITY OF NEW YORK � DEPARTMENT OF FINANCE � TREASURY DIVISIONDIRECT DEPOSIT/ELECTRONIC FUNDS TRANSFER (EFT)

VENDOR PAYMENT ENROLLMENT FORM

1. BANK ACCOUNT NUMBER: 2. ACCOUNT NAME:

3. BANK NAME:

4. BANK BRANCH ADDRESS:

5. BANK 9-DIGIT ROUTING NUMBER: 6. ACCOUNT TYPE - MUST BE EITHER CHECKING OR SAVINGS:(LOCATED AT THE BOTTOM OF CHECK) (CHECK ONE BOX ONLY)

� CHECKING � SAVINGS7. DIRECT DEPOSIT/ACH/EFT COORDINATORʼS NAME: 8. TELEPHONE NUMBER:

SECTION III - VENDOR SIGNATURE AND AUTHORIZATIONI, hereby confirm my authority, as an authorized signer of the above-referenced bank account, to issue these instructions to credit and/or debit the bank account. I authorize theCity of New York to Direct Deposit all entitled payments to the account specified above and to initiate (if necessary) debit entries or adjustments for any credit (i) made in error, (ii) ofan incorrect amount, (iii) that were duplicates of a correct payment. I understand that this authorization will remain in effect until a written authorization requesting cancellation issubmitted to the fax number(s) above.

__________________________________________________________________________ ________________________________1. VENDOR SIGNATURE - MUST BE THE SAME CONTACT PERSON FROM SECTION I 2. DATE - MM/DD/YYYY

TREA-0913 Rev. 10.03.13

� ENROLLMENT � MODIFICATION

CITY OF NEW YORK � DEPARTMENT OF FINANCE � TREASURY DIVISION

DIRECT DEPOSIT/ELECTRONIC FUNDS TRANSFER (EFT)VENDOR PAYMENT ENROLLMENT FORM

GENERAL INSTRUCTIONS

Please complete all sections of the Direct Deposit EFT Enrollment Application and forward the com-pleted application along with a voided check or a copy of an encoded deposit slip that includes an im-printed vendor’s name to:

NYC Department of FinanceTreasury Division66 John Street, 12th FloorNew York, NY 10038Attention: EFT

or Fax to: EFT at 212-487-3027 or 212-487-3026.This completed form can be saved to your computer. Please retain a copy for your records.

1. Enter the vendorʼs social security number or taxpayer ID, the 9-digit number reported on theW-9 form.

2. Provide the name of the vendor (as it appears on the W-9).3. Enter the vendorʼs complete address for EFT correspondence associated with this account.4. Provide the vendorʼs email address, if you have one.5. Indicate the name and telephone number of the vendorʼs contact person. The contact person

must be authorized to make changes in the Financial Institution Information below in Section II.(If you are enrolling yourself individually, you are the contact person.)

1. Indicate the vendorʼs bank account number.2. Indicate the vendorʼs account name.3. Bank name4. Bank address5. Indicate 9-digit routing (ABA) transit number (located at the bottom of your check).6. Indicate type of account. Account must be designated as either checking or savings.

(Check one box only).7. List name and telephone number of your bankʼs Direct Deposit/EFT Coordinator.

Sign and date where indicated. Note: The person signing this form must be the same contact personas stated in Section I.

SECTION I - VENDOR INFORMATION

SECTION II - FINANCIAL INSTITUTION INFORMATION

SECTION III - VENDOR SIGNATURE AND AUTHORIZATION

ANSWERS TO FREQUENTLY ASKED QUESTIONS ABOUT THE NEW YORK CITY DIRECT DEPOSIT/ELECTRONIC FUNDS

TRANSFER (EFT) FOR CITY VENDORS

1. WHAT ARE THE BENEFITS OF DIRECT DEPOSIT?

There are several advantages to direct deposit:l Payments are secure – Paper checks can be lost in the mail or stolen, but money deposited directly into your account

is more secure.l Payments arrive sooner – You don’t have to wait for a check to arrive in the mail. Electronic payments are deposited

directly into your bank account, saving days of waiting for checks to clear.l You save time – Money deposited into your bank account is automatic. You save the time you used to spend at the

bank depositing the check.

2. AM I REQUIRED TO ENROLL?

In accordance of Local Law 43 enacted by City Council in 2007, all vendors with City contracts over $25,000, and human serv-ice providers are required to enroll in the payment Direct Deposit program. All vendors are encouraged to enroll in the program.

3. CAN FOREIGN COMPANIES ENROLL?

Foreign vendors must enroll with a bank domiciled within the continental United States. For a foreign vendor to do business withthe City of New York, they are a required to follow the following steps:

Step 1:l The foreign vendor needs to complete a W8 and a foreign vendor questionnaire (1st page).l Please note that the vendor will need to determine which of the 3 types of W8s they will need to complete.l The W8s and the Foreign Vendor Questionnaire can be accessed at http://comptroller.nyc.gov/forms-n-rfps/w9substitute-w8/.

Step 2:l The foreign vendor has to submit the original W8 and the Foreign Vendor Questionnaire to the paying agency.l The paying agency has to fill out the 2nd page of the Foreign Vendor Questionnaire.l Both documents (once completed) have to be sent (in Adobe.pdf format) by the paying agency to 1042vendor@comptrol-

ler.nyc.gov to begin the validation process.l Please note that the Comptroller’s Office will need the original forms to meet IRS compliance.

If you have any questions about the foreign vendor validation process, you may contact the Comptroller’s Office via email at1042vendor@comptroller.nyc.gov

4. ARE MY PAYMENTS GOING TO BE PROCESSED ON THE SAME SCHEDULE AS THEY WERE BEFORE DIRECTDEPOSIT/EFT?

Yes.

5. HOW QUICKLY WILL A PAYMENT BE DEPOSITED INTO MY ACCOUNT?

Payments are deposited two business days after the date of issuance. Saturdays, Sundays, and legal holidays are notconsidered business days. In addition to not having to wait for mail delivery, with direct deposit, vendors save additionaltime by not having to travel to the bank to wait in line to deposit checks or worry about lost, misplaced or stolen checks.

6. HOW WILL I KNOW WHEN THE PAYMENT IS IN OUR BANK ACCOUNT?

Once you are enrolled in direct deposit, the Department of Finance will email you a link that will allow you to enroll in thePayee Information Portal, or PIP. The Payee Information Portal is a service that allows you, as a payee/vendor for theCity of New York, to manage your own account information, view your financial transactions with the City of New York andmuch more.

In addition, you may contact your bank directly or use online banking, mobile applications, and regular bank statementsto confirm the deposit.

7. HOW WILL I KNOW WHAT THE PAYMENT IS FOR?

All payment information is transferred electronically to your bank account from Citibank. The City of New York now offersvendor access to the Payee Information Portal (PIP), which permits them, if they enroll in this program, to track up tothree years of issued payments, as well as all scheduled payments. Direct deposits may reflect several invoices from oneor more agencies, but the Payee Information Portal will provide information about each and every payment.

8. WHAT IF THERE IS A DISCREPANCY IN THE AMOUNT WE REQUESTED AND THE AMOUNT WE RECEIVED?

Please contact your agency representative.

9. CAN DIRECT DEPOSITS BE CREDITED TO THE WRONG ACCOUNT? IF THAT HAPPENS, WHO IS RESPONSIBLE?

The vendor is responsible for submitting to the Department of Finance correct information for the proper bank account towhich it wishes to receive payments. The Department of Finance will not be able to ascertain if the vendor has suppliedinformation for the wrong bank account.

However, if the bank account information that has been submitted is inconsistent and/or incorrect, the receiving bank willreject the payment and the Department of Finance will be notified. Finance will notify the agency and/or vendor and to-gether we will do whatever is necessary to correct the problem. In order not to delay your payment, we will issue check(s)for your payment until the problem is resolved.

10. WHAT MUST I DO IF I CHANGE MY BANK OR MY ACCOUNT NUMBER?

Whenever you change any information or close your account, you must notify the Finance Treasury Division, in writing,indicating the type of change you are requesting (i.e. change in bank, change in bank account number). A copy of an im-printed voided check or imprinted, encoded deposit slip with the new account information must be included with your let-ter. Mail correspondence to: Department of Finance, Treasury Division, 66 John Street, 12th Floor, New York, New York10038, Att: Direct Deposit/EFT.

It is important that you do not close the account that is linked to your direct deposits until the new account has been es-tablished and payments are being credited to your new account. When the change is complete, you may then close theold account. If, however the account is closed and direct deposit payments are returned, you must provide the Depart-ment of Finance with new account information, including a copy of an imprinted voided check or imprinted encoded de-posit slip. The new account data will be verified with your bank (“prenote”), for a period of approximately 10 calendar days,during which only paper checks are available. At the conclusion of a successful “pre-note,” you will again be activated forEFT, and future deposits will be made to the new account.

11. CAN I CANCEL MY DIRECT DEPOSIT ENROLLMENT?

If you have a contract with the City for more than $25,000, or if you are a human service provider, the law requires thatyou receive your payments by direct deposit. Other vendors may cancel their participation in the program by sending aletter indicating the effective date of cancellation enrollment. Mail Correspondence to Department of Finance, Treasury Di-vision, 66 John Street, 12th Floor, New York, New York 10038, Att: Direct Deposit/EFT

12. HOW DO I KNOW IF I AM A HUMAN SERVICE PROVIDER?

Human service providers are defined as those vendors such as health care organizations, educational institutions, andreligious institutions who provide services to people. If you have a question about whether you are a human serviceprovider please call: 212-487-2592.

13. DO I NEED TO SEND SEPARATE DIRECT DEPOSIT ENROLLMENT FORMS FOR EACH CITY AGENCY WITH WHICHI DO BUSINESS?

No. One enrollment form is sufficient.

14. WHAT IF MY NAME OR TAX ID # CHANGES (OR BOTH)? HOW DOES THIS AFFECT MY DIRECT DEPOSIT? WHOSHOULD BE NOTIFIED?

NON PIP VENDORSIf your name or Tax ID # changes (or both), the Comptroller's Office must validate a new Vendor Code. If you do not usethe Payee Information Portal (PIP), you must complete and send to the agency you are doing business with the neces-sary supporting documents from the state in which you were incorporated justifying the changes e.g., a Certificate ofAmendment, a new Substitute Form W-9 and a 147-C IRS letter. If you do not have the letter, you can call the IRS MainBusiness Line at 1-800-829-4933 (option 1 for Employer Identification Number questions) between 7a.m.-7p.m. Monday-Friday, except holidays, for assistance.

Once the Comptroller has validated the change, you must notify the Department of Finance and submit a new EFT Ven-dor Enrollment Form.

PIP VENDORSIf your name or Tax ID change (or both) the Comptroller's Office must validate a new Vendor Code. If you are enrolledin the Payee Information Portal (PIP), you must make the changes in PIP. In addition you must complete and send a newPIP Substitute Form W-9 and 147-C IRS letter to the PIP Unit of the Comptroller’s Office, One Centre Street, New York,NY 10007, or by FAX: 212-815-8555. Once the Comptroller has registered the change, you must notify the Departmentof Finance and submit a new direct deposit enrollment form.

15. WHAT IF MY ADDRESS CHANGES? HOW DOES THIS AFFECT MY DIRECT DEPOSIT? WHO SHOULD BENOTIFIED?

If your address changes, the Comptroller's Office does NOT validate a new Vendor Code. The vendor should follow theprocedures above regarding Forms W-9, but does not have to submit to the Department of Finance new enrollment pa-perwork.

FAQ - EFT - Rev. 7.2.14

(UPDATED August 2015)

CERTIFICATES OF INSURANCE

Instructions to New York City Agencies, Departments, and Offices

All certificates of insurance (except certificates of insurance solely evidencing Worker’s

Compensation Insurance, Employer’s Liability Insurance, and/or Disability Benefits Insurance)

must be accompanied by one of the following:

(1) the Certification by Insurance broker or Agent on the following page setting forth

the required information and signatures;

-- OR –

(2) copies of all policies as certified by an authorized representative of the issuing

insurance carrier that are referenced in such certificate of insurance. If any policy

is not available at the time of submission, certified binders may be submitted until

such time as the policy is available, at which time a certified copy of the policy

shall be submitted.

(UPDATED August 2015)

CITY OF NEW YORK

CERTIFICATION BY INSURANCE BROKER OR AGENT

The undersigned insurance broker or agent represents to the City of New York that the

attached Certificate of Insurance is accurate in all material respects.

[Name of broker or agent (typewritten)]

[Address of broker or agent (typewritten)]

[Email address of broker or agent (typewritten)]

[Phone number/Fax number of broker or agent (typewritten)]

[Signature of authorized official, broker or agent]

[Name and title of authorized official, broker, or agent (typewritten)]

State of ............................................. )

) ss.:

County of ......................................... )

Sworn to before me this day of 20

NOTARY PUBLIC FOR THE STATE OF

ATTACHMENT B

BIDDER’S EHS PERFORMANCE AND PROGRAM REVIEW

QUESTIONNAIRE

Contractor Selection and Management Policy Rev 3 (2/26/2018) Attachment B 1

Bidder’s EHS Performance and Program Review Questionnaire

DEP Contract Name or Number: Contractor Name: Location(s) and description of work to be performed (attach work summary from contract): Provide as part of the pre-award submittal:

□ EMR Ratings

□ OSHA 300 logs and/or 300A redacted worksheets

□ Sworn, certified and notarized letter with information on all regulatory violations in the past 3 years

□ Sworn, certified and notarized letter with information on all reportable releases in the past 3 years

□ Written description of firm’s EHS programs

Attach Table of Contents of Firm’s EHS programs and describe below

Describe employee EHS training below, including new employee training Describe protocol for subcontractor approval and onboarding below

Contractor Selection and Management Policy Rev 3 (2/26/2018) Attachment B 2

Certifications I certify that the EHS and Training Programs for (Company Name)______________________ comply with applicable OSHA, USEPA, NYSDEC and NYC regulatory requirements and that the information presented on this form and attachments is accurate and complete. Our company is aware and understands its obligations under the OSHA, USEPA, state and NYC standards (if applicable). Signature: _____________________________ Title: ___________________________ Print Name: ____________________________ Date: ___________________________

NYC DEP SUPPLY AND SERVICE CONTRACT INVITATION FOR BIDS

PART F

OTHER ATTACHMENTS

Displacement Determination Form – Pursuant to City Charter § 312(a)

(for PSRs or equivalent pre-procurement documents)

This form must be used to certify whether or not there is displacement in the instant contracting action, as

defined in City Charter § 312(a) (as amended by Local Law 63 of 2011). You can either certify that there is no

displacement by completing Part 1 of this form, or you can certify that there is displacement by completing

Part 2 of this form.

If the contract that you are awarding is a task order contract that does not simultaneously result in the award

of a first task order, then you must check the box on the bottom of this page; displacement determinations

will be made in conjunction with the issuance of task orders pursuant to the subject contract. If the contract

that you are awarding does simultaneously result in the award of a first task order, then the displacement

determination for that first task order must be done prior to issuance of the solicitation and you must

complete either Part 1 or Part 2 of this form.

If you have any questions about Local Law 63 or about completing this form, please contact the Mayor’s Office of Contract Services at APTLL63@cityhall.nyc.gov or (212) 788-0010.

Procurement Description:

Email: heinlek@dep.nyc.gov

APT EPIN:

Your Name: Kevin Heinle

Phone: 845-334-7137

Please specifically identify the service(s) being procured.

Upgrade of functionality and monitoring capabilities of the BWS Supervisory Control and Data Acquisition (SCADA) system control software and equipment. Upgrades include replacement of current hardware including Workstations, Servers, console monitors, Network Firewall Appliances and Power Distribution Units. Additionally, the Contractor shall supply, install and configure Wonderware software applications, reports, and Control Strategies. The Contractor shall also provide training.

If the contract to be awarded as a result of this procurement action is a task order contract (multiple or single award and multiple or single agency) that does not simultaneously result in the award of a first task order, then displacement determinations will be made in conjunction with the issuance of task orders pursuant to the subject contract. (Check this box only if you are completing this form for a task order contract that will not simultaneously result in the award of the first task order. If you check this box, do not fill out the remainder of this form.)

If the contract to be awarded as a result of this procurement action does simultaneously result in the award of a first task order, then the displacement determination for that first task order must be done prior to issuance of the solicitation and you must complete either Part 1 or Part 2 of this form.

Part 1: Certification of No Displacement 

The Agency has determined that the contract resulting from this procurement action will not result in 

the displacement of any City employee within this Agency, as defined by Charter § 312(a). 

The basis upon which the Agency has made this determination (Please answer all questions under Part 1): 

Do any civil service and/or job titles within this Agency currently perform the services sought by the proposed contract and/or services of a substantially similar nature or purpose?   Yes     No   If so, list the names of such titles and the extent to which Agency employees within such titles currently perform such services. 

Do the services sought by the proposed contract expand, supplement, or replace existing services?  Yes     No   In either event, include a detailed description comparing the services sought by the proposed contract with such existing services. 

Is there capacity within the Agency to perform the services sought by the proposed contract?    Yes     No   If not, provide a detailed description specifying the ways in which the Agency lacks such capacity. 

For the term of the proposed contract, list the projected headcount of employees within such titles or employees who perform such services and/or services of a substantially similar nature or purpose. 

DEP and the Bureau of Water Supply, specifically, do not have the capacity to perform the services sought by this contract as BWS staff are not trained or qualified in the installation and configuration of SCADA hardware and software. 

DEP and the Bureau of Water Supply, specifically, do not have the capacity to perform the services sought by this contract as BWS staff are not trained or qualified in the installation and configuration of SCADA hardware and software. 

None.  

Check this box to confirm that none of the below events have occurred within the Agency in the past

three years.

The displacement of a City employee within the agency who performs or has performed the servicessought by the proposed contract and/or services of a substantially similar nature or purpose; or

The announcement of spending reductions in connection with a budgetary program, including but notlimited to a Program to Eliminate the Gap, that could result or has resulted in the displacement of a Cityemployee within the Agency who performs or has performed the services sought by the proposedcontract and/or services of a substantially similar nature or purpose; or

Any other statement by an Agency or by the Mayor of a specific anticipated employment action thatcould result or has resulted in the displacement of a City employee within the Agency who performs orhas performed the services sought by the proposed contract and/or services of a substantially similarnature or purpose.

List any other bases for the Agency’s determination that the contract resulting from this procurement action will not result in the displacement of any City employee within this Agency.

Part 2: Certification of Displacement

The agency has determined that displacement, as defined by Charter § 312(a), has or will occur as a result of this contracting action. The agency has performed the required cost-benefit analysis, as described in Charter § 312(a).

MOCS Subcontractor Approval Form (August 2013)

CITY OF NEW YORK

SUBCONTRACTOR APPROVAL FORM For subcontracts to be approved AFTER contract registration

Column on left indicates whom that section is to be completed by

AG

EN

CY

PRIME CONTRACT INFORMATION

Agency: Unit/Div: Registration #

Registration Date:

Contract No.: PIN:

Contract Description:

Contract Subject to a Project Labor Agreement (PLA) YES NO

PR

IME

CO

NT

RA

CT

OR

PRIME CONTRACTOR IDENTIFICATION

Name: EIN/SSN:

SUBCONTRACTOR INFORMATION

Company Name: PIP Vendor #:

Contact (please print): Title:

Phone: Fax:

Address: City: State/Zip:

EIN/SSN: E-Mail:

Subcontract Description:

Subcontract Value:$ Start Date __/__/__ End Date __/__/__

Subcontractor Signed Letter of Assent (if Prime Contract is subject to a Project Labor Agreement)

Subcontractor is DSBS-certified as: M/WBE EBE or LBE (check all that apply & note status below)

YES Application Pending Intends to Apply NO

Subcontractor Prevailing Wage or Living Wage Statement (if applicable)

Primary Trades to be used (list all)

Subcontractor’s Experience Modification Rating (EMR): _____________ (Letter from insurance carrier to verify rating must be included). Prime Contractor Certification: I hereby affirm that the information supplied is true and correct.

Signature Title

Print Name Date

Email Phone

AG

EN

CY

AGENCY PRELIMINARY REVIEW PLEASE SEE PAGE 2 FOR INSTRUCTIONS

Agency Preliminary Review Completed By: Date

1. VENDEX 2. Employment 3. References 4. PLA 5. Apprenticeship 6. Licenses

PR

IME

PRIME CONTRACTOR RESPONSE

For each of the boxes checked in the agency preliminary response above, I have informed the Subcontractor of all relevant requirements and provided all requested documentation.

AG

EN

CY

AGENCY FINAL RESPONSE

Final Agency Approval: Granted Denied

Signature: Date

If Subcontracted Amount Has Changed, Please

Enter The Revised Amount And Resubmit:

MOCS Subcontractor Approval Form (August 2013)

CITY OF NEW YORK

SUBCONTRACTOR APPROVAL FORM

Page 2 Prime Vendor Preliminary Review Follow-up Instructions

After completing the Preliminary Review, the agency will mark, on Page 1, the box for any item requiring follow-up and return the form the to the Prime Vendor.The Prime Vendor should follow the instructions below for each of the boxes checked in the Agency Preliminary Review on Page 1, and return the form to the agency with any required documentation.

1. VENDEX

If Box 1 (VENDEX) is checked, the agency has granted preliminary approval, and determined thatthe subcontractor is required to file VENDEX Questionnaires with the Mayor's Office of ContractServices.A VENDEXVendor Questionnaire and Principal Questionnaire must be filed where thesubcontract dollar amount is ≥ $100,000 or where the aggregate business with the City is ≥$100,000 during the preceding twelve months.The VENDEX Questionnaires and Guide can bedownloaded from http://www.nyc.gov/html/selltonyc/html/tocvendex.html.

2. Employment

If Box 2 (Employment) is checked, the subcontractor must complete a Division of Labor Services(DLS) Construction Employment Report.A subcontractor selected to perform work on a constructionproject funded or assisted by the City of New York must complete a DLS Construction EmploymentReport if the subcontract dollar amount > $750,000.For construction projects funded in whole or inpart by the federal government, a DLS Construction Employment Report must be completed if theproposed subcontract value > $10,000.For non-construction goods/services subcontracts >$100,000, employment reports are required for any subcontractor with > 50 employees, and acertificate is required for those with fewer employees.

3. References

If Box 3 (References) is checked, you as the prime contractor must provide references with respectto the subcontractor’s ability to perform, consisting of a list of three completed comparableprojects.References shall include a full description/location of each project, scope of work, value ofproject, and the names and phone numbers of owners, architect or engineer who supervised thework.Please attach your documentation to your response.

4. PLAIf Box 4 (PLA) is checked, you as the prime contractor must obtain signed Letter of Assent from thesubcontractor which demonstrates that the subcontractor agrees to the terms of the PLA. Pleaseattach the subcontractor's signed Letter of Assent to your response.

5. Apprenticeship

If Box 5 (Apprenticeship) is checked, you as the prime contractor must provide the agency with proofthat the subcontractor maintains an apprenticeship agreement appropriate for the scope of work tobe performed, that the apprenticeship agreement has been registered with and approved by theNew York State Commission of Labor, and that the program has three years of current, successfulexperience in providing career opportunities.

6. Licenses

If Box 6 (Licenses) is checked, you as the prime contractor must document that the subcontractorhas all required licenses. Please attach your documentation to your response.