Document:

Exhibit 10.8

 

NOTE:  A SECOND SERVICE AND SUPPLY AGREEMENT
SUBSTANTIALLY IDENTICAL TO THE AGREEMENT FILED AS THIS EXHIBIT 10.10 WAS
ENTERED INTO BY IESI NY CORPORATION AND THE CITY OF NEW YORK ACTING BY AND
THROUGH THE DEPARTMENT OF SANITATION. 
ATTACHED TO THE END OF THIS EXHIBIT IS THE RELATED BID SHEET AND
SIGNATURE PAGE FOR THE SECOND SERVICE AND SUPPLY AGREEMENT.

 

 

CITY OF NEW YORK

DEPARTMENT OF SANITATION

 

 

INVITATION FOR BIDS

 

ON A

 

SERVICE AND SUPPLY CONTRACT

 

THE BID DOCUMENT PACKAGE

 

(contains)

 

 

Information
for Bidders (Module “A”)

 

Bid
Forms (Module “B”)

 

Scope
of Work - Detailed Specifications (Module “C”)

 

Terms
of Agreement (Module “D”)

 

Schedule
A, Insurance Requirements & Bond Forms (Module “E”)

 

Attachments
(Module “F”)

 

 

For Furnishing all Labor and
Material necessary and required for:

 

 

Export Of Municipal Solid Waste
From

The Borough of Brooklyn (2003)

 

 

PIN: 82703WD00036

 

 

NOTICE

 

The Bid Documents
Book is organized into Modules A through F.

 

CONTENTS

 

	
  Module A:

  	
  Information for Bidders (Table of Contents
  follows)

  
	
   

  	
   

  	
   

  
	
   

  	
  A1
  -

  	
  Bid-Specific
  Information for Bidders

  
	
   

  	
   

  	
   

  
	
   

  	
  A2 -

  	
  Standard
  Supply and Service Information for Bidders with a Table of Contents

  
	
   

  	
   

  	
   

  
	
  Module B:

  	
  Bid Materials

  
	
   

  	
   

  	
   

  
	
   

  	
  Certain pages must be
  notarized as indicated.

  
	
   

  	
   

  	
   

  
	
   

  	
  Bond Forms, if Bonds Are
  Required

  
	
   

  	
   

  	
   

  
	
  Module C:

  	
  Scope of
  Work

  
	
   

  	
   

  	
   

  
	
   

  	
  Detailed Specifications /
  Scope of Work

  
	
   

  	
   

  	
   

  
	
  Module D:

  	
  Terms of the
  Supply and Service Agreement

  
	
   

  	
   

  	
   

  
	
   

  	
  Agreement (with Table of
  Contents)

  
	
   

  	
   

  	
   

  
	
   

  	
  Acknowledgments
  (Signatures and Notarization)

  
	
   

  	
   

  	
   

  
	
  Module E:

  	
  Conditions
  Applicable to the Contract

  
	
   

  	
   

  	
   

  
	
   

  	
  El - Schedule A: Contract-Specific
  Conditions, including, but not limited to, Insurance and Bonding Requirements
  and Contract Term

  
	
   

  	
   

  	
   

  
	
   

  	
  E2 -

  	
  Insurance Provisions

  
	
   

  	
   

  	
   

  
	
  Module F:

  	
  Attachments
  (As Applicable)

  
	
   

  	
  Local Law 35 Certification
  (for Contracts over $100,000)

  
	
   

  	
   

  	
   

  
	
   

  	
  Service and Supply
  Contractor’s Employment Report

  
	
   

  	
   

  	
   

  
	
   

  	
  VENDEX Package

  
	
   

  	
   

  
	
   

  	
  •

  	
  A Vendor’s
  Guide to VENDEX

  
	
   

  	
  •

  	
  Business
  Entity Questionnaire

  
	
   

  	
  •

  	
  Principal
  Questionnaire

  
				

 

1

 

MODULE A:

 

INFORMATION FOR BIDDERS

 

SUPPLY AND SERVICE CONTRACTS

 

	
  Bid-Specific Information

  
	
   

  
	
  Standard Information

  

 

 

New York City Department of Sanitation

Export of Municipal Solid Waste from the Borough of Brooklyn

Bid-Specific Information for Bidders

Bid-Specific Information for Bidders

 

1.                                      Summary of the Procurement

 

The
New York City Department of Sanitation (“DSNY”) is seeking to award one or more contracts
to qualified firms (“Contractors”) who shall provide all of the
labor, materials, equipment, transport, facilities, and resources necessary and
required to accept, process, transport, and dispose of a minimum of 100 tons
per day (“TPD”)
of municipal solid waste (“MSW”) collected by DSNY and its authorized
representatives in the borough of Brooklyn. DSNY anticipates awarding one or
more contracts under this solicitation.

 

The
qualified Contractors shall:

 

own, operate, or have an agreement with the owner and the operator to
use: (a) a putrescible solid waste transfer station (“Transfer Station”) located
within the borough of the City of New York (the “City”) within which the MSW
is collected; or (b) a solid waste management facility (“Solid Waste Management Facility”)
located outside of the City, no more than 50 miles from the egress points from
the City designated in Exhibit 1, which will accept MSW
collected by DSNY or its authorized representatives in Brooklyn; and

 

accept, process, transport, and dispose of the MSW at permitted,
licensed or otherwise authorized disposal facilities (“Disposal Facilities”) which
are located outside of the City which are either owned and operated by the
bidder, or have an agreement between the owner and the operator, and the bidder
for use of the Disposal Facility.

 

Any
agreement between the bidder and the owner and the operator of a Transfer
Station or Solid Waste Management Facility, or Disposal Facility shall be for
the term of the contract that DSNY may award to the bidder(s) under this
solicitation and any extensions thereof. 
A Transfer Station located within the City shall have all of the permits
required by the State of New York and the City, and one located outside of the
City shall have all of the permits, licenses and authorizations (“Permits and
Authorizations”) required by the state and locality within which it
is located by the bid opening date.

 

A
Contractor may own or operate the Transfer Station, the Solid Waste Management
Facility, a Disposal Facility or an MSW transporter, or it may perform one of
these functions and subcontract the others. The Contract(s) to be awarded will
be for a term of three years with an option to extend the Contract, at DSNY’s
discretion, for two additional terms of up to one year each.

 

Besides
meeting all of the requirements set forth in the Detailed Specifications, each
Transfer Station, Solid Waste Management Facility and Disposal Facility shall
comply with all of the applicable federal, state and local laws, rules, and
regulations concerning Transfer Stations, Solid Waste Management Facilities,
and Disposal Facilities. Each

 

A1-1

 

transporter
of MSW shall comply with all of the applicable federal, state and local laws,
rules and regulations governing the transport of MSW.

 

Each
bidder may submit more than one bid in response to this solicitation. However,
the bidder shall only submit one bid for each Transfer Station or Solid Waste
Management Facility that it designates for the acceptance of MSW in each bid
submitted in response to this solicitation. DSNY will reject as non-responsive
all bids other than the bid setting forth the lowest Price per Ton submitted by
a bidder designating the same Transfer Station or Solid Waste Management
Facility for the acceptance of MSW.

 

2.                                      Term of the Contract

 

The
Contract(s) to be awarded will be for a term of three years with an option to
extend the Contract, at DSNY’s discretion, for two additional terms of up to
one year each.

 

3.                                      Time and Place for the
Receipt of Bids

 

The
Department shall receive all sealed bids at the following location on or before
the date and time set forth below:

 

New York City Department of
Sanitation Contracts Unit

51 Chambers Street Room 806

New York, New York 10007 Attention: Contract Supervisor

 

Date:  February
4, 2003

 

Time:  11:00 am

 

4.                                      Pre-Bid
Conference

 

The
Department will hold a pre-bid conference on the date and time and at the
location set forth below:

 

Time:  10:00 a.m.

 

Date:  January 13, 2003

 

Place: 
44
Beaver Street, 12th  

New York, NY 10004

 

Bidder
attendance at this pre-bid conference is:

 

	
  mandatory o

  	
   

  	
  optional ý

  

 

Failure
to attend a mandatory pre-bid conference may constitute grounds for the
rejection of your bid.

 

A1-2

 

Nothing
stated at the pre-bid conference shall change the terms or conditions of this
Invitation for Bids unless a change is made by written amendment.

 

Please
notify the Agency Contact of the number of representatives from your firm that
will attend the conference at least five City working days before the date of
the pre-bid conference.

 

5.                                      Agency Contact Person

 

Any
questions or correspondence relating to this Invitation for Bids must be
addressed to:

 

	
  Name:

  	
  Mark Suppa

  
	
  Title:

  	
  Bureau
  Contracting Officer

  
	
  Address:

  	
  125 Worth
  Street, New York, NY, 10013

  
	
  Telephone:

  	
  (646)
  885-4530

  
	
  Fax:

  	
  (212)
  788-3906

  

 

A1-3

 

INFORMATION FOR BIDDERS

(Module A-2)

 

(Standard
Information for All Supply and Service Contracts)

 

TABLE OF CONTENTS

 

	
  1.

  	
  Information Specific to this Bid
  Solicitation

  	
   

  
	
  2.

  	
  Bid Submission Requirements

  	
   

  
	
  3.

  	
  Definitions

  	
   

  
	
  4.

  	
  Invitation For Bids and Contract Documents

  	
   

  
	
  5.

  	
  Examination of Proposed Contract

  	
   

  
	
  6.

  	
  Form of Bid

  	
   

  
	
  7.

  	
  Bidder’s Oath

  	
   

  
	
  8.

  	
  Site Visit

  	
   

  
	
  9.

  	
  Bids Must Be Typewritten or Written Legibly
  in Ink

  	
   

  
	
  10.

  	
  Facsimile, Telegraphic, or Mailgram Bids

  	
   

  
	
  11.

  	
  Irrevocability of Bid

  	
   

  
	
  12.

  	
  Acknowledgment of Amendments

  	
   

  
	
  13.

  	
  Bid Samples and Descriptive Literature

  	
   

  
	
  14.

  	
  Proprietary Information; Trade Secrets

  	
   

  
	
  15.

  	
  Pre-Bid-Opening Modification or Withdrawal
  of Bids

  	
   

  
	
  16.

  	
  Bid Evaluation and Award

  	
   

  
	
  17.

  	
  Late Bids, Late Withdrawals and Late
  Modifications

  	
   

  
	
  18.

  	
  Withdrawal of Bids

  	
   

  
	
  19.

  	
  Mistake
  in Bids

  	
   

  
	
  20.

  	
  Low Tie Bids

  	
   

  
	
  21.

  	
  Rejection
  of Bids

  	
   

  
	
  22.

  	
  Right to Appeal Determinations of
  Non-Responsiveness or Non-Responsibility and Right to Protest Solicitations
  and Award

  	
   

  
	
  23.

  	
  Affirmative Action and Equal Employment
  Opportunity

  	
   

  
	
  24.

  	
  MacBride Principles

  	
   

  
	
  25.

  	
  VENDEX Questionnaire

  	
   

  
	
  26.

  	
  Complaints about the Bid Process

  	
   

  
	
  27.

  	
  Bid Security

  	
   

  
	
  28.

  	
  Payment and Performance Bonds or
  Substitutes

  	
   

  
	
  29.

  	
  Failure to Execute Contract

  	
   

  
	
  30.

  	
  Financial Qualifications

  	
   

  
	
  31.

  	
  Division of Labor Services

  	
   

  
	
  32.

  	
  Applicability of the Procurement Policy
  Board Rules

  	
   

  
	
  33.

  	
  Pricing

  	
   

  
	
  34.

  	
  Bid Sheets

  	
   

  

 

A2-i

 

Standard Information for Bidders – DSNY
Supply and Service Contracts

 

NEW YORK CITY
DEPARTMENT OF SANITATION

 

STANDARD INFORMATION
FOR BIDDERS

ON SUPPLY AND SERVICE CONTRACT

 

1.                                      Information Specific to this Bid Solicitation

 

See
the Bid-Specific Information for Bidders, attached as Module A-1.

 

2.                                      Bid Submission
Requirements

 

2.1                                                         Each bidder must submit the completed bid
to the Department of Sanitation (“DSNY”) in a sealed envelope. This envelope
must indicate:

 

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

 

(b)                                                         the bid opening date;

 

(c)                                                          the PIN number; and

 

(d)                                                         the bid title.

 

The bidder must sign and
have the bid and all other documents requiring signature notarized. Failure to
comply with these instructions may result in rejection of your bid.

 

2.2                                                         For a bid to be deemed responsive, the
bidder must complete and submit the following forms contained in the Bid
Booklet. Failure to comply with any of the following bid submission
requirements may result in rejection of your bid:

 

(a)                                                          Bid Form, including the MacBride
Principle Provisions Checkoff and the Affirmation of Non-Debt (Tax Affirmation);

 

(b)                                                         Bid Security (if required by Schedule A);

 

(c)                                                          VENDEX Questionnaires (if required; see
Section 26, below); and

 

3.                                      Definitions

 

The
definitions set forth in Chapter 1 of the Rules of the Procurement Policy Board
(the “PPB
Rules”) of the City of New York (the “City”)apply to this
Information for Bidders. All references to “Section” in this information
for Bidders mean a section of the Instructions to Bidders, unless the
surrounding text clearly indicates otherwise.

 

4.                                      Invitation For
Bids and Contract Documents

 

4.1                                                         Except for titles, subtitles, headings, running headlines, tables of
contents and indices (all of which are printed in this Invitation for Bids
merely for

 

A2-1

 

convenience) the
following, except for such portions as may be specifically excluded, are deemed
to be part of the Contract and the Bid Documents:

 

(a)                                                          the Advertisement and Invitation for
Bids.

 

(b)                                                         the Bid.

 

(c)                                                          the Agreement.

 

(d)                                                         the Budget Director’s Certificate.

 

(e)                                                          the Specifications.

 

(f)                                                            the Contract Drawings (if any).

 

(g)                                                         all addenda issued by the Commissioner
prior to the receipt of bids (if any).

 

(h)                                                         all provisions required by law to be
inserted in this contract whether actually inserted or not.

 

(i)                                                             the Notice of Award.

 

(j)                                                             Performance and Payment Bonds (if
required by Schedule A).

 

(k)                                                          the Notice to Commence Work.

 

4.2                                                         For particulars as to this procurement,
including quantity and quality of the purchase, extent of the work or labor to
be performed, delivery and performance schedule, and any other special
instructions, prospective bidders are referred to the Detailed Specifications
(Scope of Work) of the Invitation for Bids (Module C).  A full set of the documents composing the
Invitation for Bid, including the Detailed Specifications, can be obtained at
the following location:

 

Contracts Unit

New York City Department of Sanitation

51 Chambers Street, Room 807

New York, N.Y. 10007

Telephone: (212) 788-8085/8086.

 

4.3                                                         Bid Deposit, if Required

 

Prospective bidders may
obtain a copy of the Invitation for Bid documents by complying with the
conditions set forth in the Advertisement for Bids. If a bid deposit is
required, the deposit must be in the form of: (a) a money order, (b) a
certified check made payable to the order of the City of New York, and drawn
upon a state or national bank or trust

 

A2-2

 

company; or (c) a bank check
that has been issued by a state or national bank or trust company and signed by
an authorized officer.

 

4.4                                                         Return of Deposit

 

DSNY will return each bid
deposit within 30 days after the award of the contract or the rejection of all
bids if the bidder returns the Invitation for Bids document to DSNY’s Contract
Clerk in a physical condition that is satisfactory to the Agency Chief
Contracting Officer.

 

4.5                                                         Additional Copies of the Invitation for
Bids Documents

 

The bidder’ may obtain
additional copies of the Invitation For Bids documents subject to the
conditions set forth in the Advertisement for Bids.

 

5.                                      Examination of Proposed
Contract

 

5.1                                                         Request for Interpretation or Correction

 

(a)                                                          Prospective bidders must examine the
Contract Documents carefully, and before bidding must request the Commissioner
in writing for an interpretation or correction of every patent ambiguity,
inconsistency or error in the Contract Documents that should have been
discovered by a reasonably prudent bidder.

 

(b)                                                         The Commissioner’s interpretation or
correction, as well as any additional contract provisions the Commissioner may
decide to include, will be issued in writing by the Commissioner as an addendum to
the contract.

 

(c)                                                          DSNY will send all addenda by mail,
facsimile, or private delivery service to each person recorded as having
received a copy of the contract documents from the Contract Clerk. DIS will
also post all addenda at the place where the contract documents are available
for the inspection of prospective bidders.

 

(d)                                                         Upon mailing or delivery and posting,
each addendum becomes a part of the contract documents, and is binding on all
bidders, whether or not DSNY can show that a bidder received actual notice of
the addendum.

 

5.2                                                         Only Agency Chief Contracting Officer’s
Interpretation or Correction Binding

 

Only the Agency chief
Contracting Officer’s written interpretation or correction is binding.
Prospective bidders are warned that no other officer, agent or employee of the
City is authorized to give information concerning the bid solicitation, or to
explain or interpret the contract documents.

 

A2-3

 

6.                                      Form of Bid

 

Each
bid must be submitted upon the form included with the bid, and must contain:

 

6.1                                                         the name, residence and place of business
of the bidder and of the person or persons signing the bid;

 

6.2                                                         the names of all persons interested in
the bid. If no other person is so interested, the bidder must specifically
state this fact;

 

6.3                                                         a statement to the effect that this bid
is made without any connection with any other person submitting a bid under the
same bid solicitation, and that the bid is in all respects fair and has been
made without collusion or fraud;

 

6.4                                                         a statement that no Councilman or other
officer or employee or person whose salary is payable in whole or part from the
City Treasury is directly or indirectly interested in the supplies, materials
or equipment, services, work or labor to which it relates, or in any portion of
the profits that may be made from obtaining the contract;

 

6.5                                                         a statement that the bidder is not in
arrears to the City or to any agency upon a debt or contract or taxes, and is
not a defaulter as surety or otherwise upon any obligation to the City or to
any City agency except as set forth in the bid.

 

7.                                      Bidder’s Oath

 

7.1                                                         An authorized representative of the
bidder must properly sign the bid. The same authorized representative must sign
a written oath that all matters stated in the bid, and all information
furnished in the bid, are true in all aspects.

 

7.2                                                         If the bidder willfully or fraudulently
makes a materially false statement in connection with the bid, or on any of the
forms completed and submitted with the bid, the City may terminate any contract
between the City and the bidder. In addition, the city may bar the bidder from
participating in future City contracts, and the bidder may be subject to
criminal prosecution.

 

8.                                      Site Visit

 

Where
the solicitation involves performance of services on City facilities, the City
urges every bidder to: (a) inspect the site where services are to be performed
prior to the bid opening date; and (b) to satisfy itself as to all general and
local conditions that may affect the cost of performance of the Contract. A
bidder’s failure to inspect a site prior to bidding will not constitute grounds
for withdrawing a bid after opening under any circumstances, or be grounds or
for a claim after award of the Contract.

 

A2-4

 

9.                                      Bids Must Be
Typewritten or Written Legibly in Ink

 

Each
bidder must submit its bid typewritten or written legibly in ink and shall sign
the bid in ink. The signer must initial any and all erasures or alterations to
the bid in ink. DSNY may reject a bid that fails to conform with the
requirements of this Section.

 

10.                               Facsimile,
Telegraphic, or Mailgram Bids

 

Facsimile,
telegraphic, or mailgram bids are not allowed in response to this solicitation,
unless the Contract-Specific Information for Bidders (Module A-1) specifically
states that DSNY will accept them. See the Contract-Specific Information (Module A-1)
for Bidders for the Time and Place for Receipt of Bids.

 

11.                               Irrevocability
of Bid

 

The
bidder cannot revoke the prices set forth in the bid, and these prices shall be
effective until the award of the contract, unless the bid is withdrawn as
provided for in Sections 15 and 18, below.

 

12.                               Acknowledgment
of Amendments

 

The
bidder must acknowledge the receipt of any amendment and/or addendum to the bid
solicitation documents.

 

13.                               Bid Samples and
Descriptive Literature

 

The
bidder must not submit bid samples and descriptive literature unless DSNY
expressly requests them in another section of the bid solicitation documents.
DSNY will not examine or test any unsolicited bid samples or descriptive
literature that are submitted, and such submissions shall not be deemed to vary
any of the provisions of the bid solicitation documents or the contract.

 

14.                               Proprietary
Information; Trade Secrets

 

Each
bidder must (a) identify those portions of its bid that the bidder deems to be
confidential, proprietary information or trade secrets; and (b) provide
justification as to why the City shall not disclose the identified material.
The bidder must clearly indicate all materials the bidder desires to remain
confidential by stamping the top and bottom of the pages on which such
information appears with the word “CONFIDENTIAL.” Materials stamped “CONFIDENTIAL”
must be easily separable from the non-confidential sections of the
bid.

 

DSNY
will review all materials stamped “CONFIDENTIAL,” and will communicate to the
bidder in writing any decision not to honor a request for confidentiality. If a
bid is not successful, DSNY will return all confidential materials to the
bidder. DSNY must make available to the public all prices, makes and model or
catalog numbers of the items offered, deliveries, and terms of payment after
bid opening regardless of any designation of confidentiality the bidder has
made.

 

A2-5

 

15.                               Pre-Bid-Opening
Modification or Withdrawal of Bids

 

15.1                                                   Before the bid opening, a bidder may
modify or withdraw any bid by giving DSNY written notice of the modification or
withdrawal. DSNY must receive this written notice in the office designated in
the Bid-Specific Information for Bidders (Module A-1) before the time and date set
for the bid opening.

 

15.2                                                   A bid modification or withdrawal sent by
facsimile, telegraphic or mailgram modification or withdrawal shall be
effective if it is received in the manner set forth in the PPB Rules.

 

15.3                                                   If the bidder withdraws a bid in
accordance with this Section, DSNY will return the bid security (if any) to the
bidder.

 

16.                               Bid Evaluation
and Award

 

In
accordance with the New York City Charter, the PPB Rules and the terms and
conditions of this Invitation For Bids, DSNY shall award this contract, if at
all, to the responsible bidder, whose bid: (a) meets the requirements and
evaluation criteria set forth in this Invitation For Bids; and (b) whose bid
price is either the most favorable bid price (or, if this Invitation For Bids
so states, the most favorable evaluated bid price). A bid may not be evaluated
for any requirement or criterion that is not disclosed in the Invitation For
Bids.

 

Restrictions

 

16.1                                                   DSNY will not engage in negotiations with
any bidder except under the circumstances and in the manner set forth in
Section 21.3 of this Standard Information for Bidders (Module A-2) below.

 

16.2                                                   Nothing in this Section shall be
interpreted to permit DSNY to award a contract to a bidder that submits a
higher quality item than the quality designated in the bid solicitation
documents unless that bid is the most favorable bid.

 

17.                               Late Bids, Late
Withdrawals and Late Modifications

 

17.1                                                   DSNY will not consider any bid
received at the place designated in the Invitation for Bids after the time and
date set for the receipt of bids.

 

17.2                                                   DSNY will not consider any request
for withdrawal or modification received at the place designated in the
Invitation for Bids after the time and date set for the receipt of bids.

 

17.3                                                   DSNY will consider a late
modification of a successful bid that makes the bid terms more favorable
to the City.

 

A2-6

 

18.                               Withdrawal of
Bids

 

18.1                                                   Except as provided for in
Section 15, above, a bidder may not withdraw its bid before the expiration
of 45 days after the date of the opening of bids.

 

18.2                                                   After 45 days, a bidder may withdraw its
bid only in writing before the contract is awarded.

 

18.3                                                   If within 60 days after the execution of
the contract the Commissioner does not fix the date for commencement of work by
written notice to the bidder, the bidder, at his option, may give written
notice to the Commissioner asking to be relieved of the bidder’s obligation to
perform the contract work. If the bidder does give such notice to the
Commissioner, and the request to withdraw is granted, the bidder waives all
claims in connection with this contract.

 

19.                               Mistake in Bids

 

19.1                                                   Mistake 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 15, above.

 

19.2                                                   Mistakes Discovered Before Award

 

In accordance with the PPB
Rules, if a bidder alleges a mistake in bid after bid opening and before award,
the bid may be corrected or withdrawn upon written approval of the Agency Chief
Contracting Officer and Agency Counsel if the following conditions are met

 

(a)                                                          Minor Informalities. Minor informalities in bids are: (a) matters of form
rather than substance that are evident from the bid submission documents; or
(b) insignificant mistakes that can be waived or corrected without prejudice to
other bidders (meaning that the effect on price, quantity, quality, delivery,
or contractual conditions is negligible). Depending on which is in the best
interest of the City, the Agency Chief Contracting Officer may waive such
informalities or allow the bidder to correct them.

 

(b)                                                         Mistakes Where Intended Correct Bid is Evident. If the mistake and the intended correct
bid are clearly evident on the face of the bid document, the bid shall be
corrected to the intended correct bid and may not be withdrawn. Examples of
mistakes that may be clearly evident on the face of the bid document are
typographical errors, errors in extending unit prices, transposition errors,
and arithmetical errors.

 

(c)                                                          Mistakes Where Intended Correct Bid is Not Evident. A bidder may be permitted to withdraw a
low bid if:

 

A2-7

 

(1)                                                                      a mistake is clearly evident on the face
of the bid document but the intended correct bid is not similarly evident; or

 

(2)                                                                      the bidder submits proof of evidentiary
value that clearly and convincingly demonstrates that a mistake was made.

 

19.3                                                   Mistakes Discovered After Award.

 

Mistakes shall not be
corrected after award of the contract except where the City Chief Procurement
Officer, with the approval of Corporation Counsel, makes a written
determination that it would be unconscionable not to allow the mistake to be
corrected.

 

19.4                                                   Remedy for Mistake.

 

(a)                                                          Unless otherwise required by law, the
sole remedy for a bid mistake in accordance with this Section 19 shall be
: (a) withdrawal of that bid; and (b) the return of the bid bond or other
security (if any) to the bidder.

 

(b)                                                         Any amendment to, or reformation of, a
bid or a contract to rectify a mistake or an in the bid or contract is strictly
prohibited.

 

(c)                                                          After the bid with a mistake has been
withdrawn, the City may, in its discretion: (a) award the contract to the next
lowest responsive, responsible bidder, or (b) rebid the contract.

 

20.                               Low Tie Bids

 

20.1                                                   When two or more low responsive bids from
responsible bidders are identical in price, and meet all the requirements and
criteria set forth in the Invitation For Bids, the Agency Chief Contracting
Officer will break the tie in the following manner and order of priority:

 

(a)                                                          Award the contract to a certified New
York City small minority or woman-owned business entity bidder, or

 

(b)                                                         Award the contract to a New York City
bidder;

 

20.2                                                   If two or more
bidders still remain equally eligible after application of Section 20.1,
above, the Agency Chief Contracting Officer shall award the contract by a
drawing by lot limited to those bidders. The bidders involved will be invited
to attend the drawing. The City must have a witness present to (a) verify the
drawing; and (b) certify the results on the bid tabulation sheet.

 

21.                               Rejection of
Bids

 

21.1                                                   Rejection of Individual Bids.

 

The Agency Head may
reject a bid if:

 

A2-8

 

(a)                                                          The bidder fails to furnish any of the
information required by Sections 26 and 34.1;

 

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

 

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

 

(d)                                                         The bid, in the opinion of the Agency
Chief Contracting Officer, contains unbalanced bid prices and is thus
nonresponsive, unless (a) the bidder can show that the prices are not
unbalanced for the probable required quantity of such items; or (b) the
imbalance has been corrected pursuant to Section 15.

 

21.2                                                   Rejection of All Bids

 

DSNY, upon written approval
by the Agency Chief Contracting Officer, may reject all bids and resolicit bids
if in DSNY’s sole opinion doing so is in the best interest of the City.

 

21.3                                                   Rejection of All Bids and Negotiation
With All Responsible Bidders

 

The Agency Head may
determine that it is appropriate to cancel the Invitation For Bids after bid
opening and before award and to complete the acquisition by negotiation. This
determination shall be based on one of the following reasons:

 

(a)                                                          All otherwise acceptable bids received
are at unreasonable prices;

 

(b)                                                         Only one bid is received and the Agency
Chief Contracting Officer cannot determine the reasonableness of the bid price;

 

(c)                                                          No responsive bid has been received from
a responsible bidder, or

 

(d)                                                         In the judgment of the Agency Chief
Contracting Officer, the bids were not independently arrived at in open
competition, or were submitted in bad faith. When the Commissioner has
determined that the Information for Bids is to be canceled and that use of
negotiation is appropriate to complete the acquisition, the Agency Chief
Contracting Officer may negotiate and award the contract without issuing a new
solicitation subject to the following conditions:

 

(1)                                                                      The Agency Chief Contracting Officer has
given each responsible bidder that submitted a bid in response to the
Invitation for Bids prior notice of the intention to negotiate and a reasonable
opportunity to negotiate;

 

A2-9

 

(2)                                                                      The negotiated price is the lowest
negotiated price offered by any responsible bidder; and

 

(3)                                                                      The negotiated price is lower than the
lowest rejected bid price of a responsible bidder that submitted a bid in
response to the Invitation for Bids.

 

22.                               Right to Appeal Determinations of
Non-Responsiveness or Non-Responsibility and Right to Protest Solicitations and Award.

 

The
bidder has the right to: (a) appeal a determination of non-responsiveness or
non-responsibility; and (b) protest a solicitation and award, pursuant to the
PPB Rules.

 

23.                               Affirmative
Action and Equal Employment Opportunity

 

This
Invitation For Bids is subject to applicable provisions of Federal, State, and
Local Laws and executive orders requiring affirmative action and equal
employment opportunity.

 

24.                               MacBride
Principles

 

This
Invitation for Bids is subject to the provisions of Title 6, Chapter 1,
Section 6-115.1 of the New York City Administrative Code.

 

25.                               VENDEX
Questionnaire

 

Pursuant
to Administrative Code Section 6-116.2 and the PPB Rules, bidders may be
obligated to submit completed VENDEX questionnaires with this bid. Generally,
if this bid is $100,000 or more, or if this bid when added to the sum total of
all contacts, concessions and franchises the bidder has received from the City
and any Subcontract received from City contractors over the past twelve months,
equals or exceeds $100,000, a prospective bidder must complete and submit
VENDEX questionnaires with this bid.  Any
questions concerning this requirement must be submitted to the Agency Chief
Contacting Officer or the Agency Contact person for this contract.

 

26.                               Complaints
about the 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 835, New York, New York;
telephone number (212) 669-3000.

 

27.                               Bid Security

 

27.1                                                   If bid security is required in the Schedule A,
DSNY will not receive or consider a bid unless bid security accompanies the
bid.

 

A2-10

 

27.2                                                   If a Bid Bond is utilized, the Bid Bond
must be in the form set forth in these solicitation documents and must be
issued by a surety company that is authorized to do business in the State of
New York. The Bid Bond shall insure the City of New York to the extent of not
less than 10% of the amount of the Bid Contract Price.

 

27.3                                                   In lieu of a Bid Bond, a bid security
deposit may accompany the bid in approximately the sum of 2% of the amount of
the Bid Contract Price. Such deposit shall consist of a certified check upon a
state or national bank or trust company or a check of such bank or trust
company signed by one of its duly authorized officers, drawn to the City, which
the Comptroller shah approve as of equal value with the sum so required.

 

27.4                                                   A prospective bidder may not enclose the
bid security (in whatever form) in the envelope containing the bid; rather, the
bidder must submit the bid deposit separately to the Commissioner’s
representative upon presentation of the bid.

 

27.5                                                   The bid security assures the City of New
York and DSNY of the adherence of the bidder to its bid and, if its bid is
accepted, the execution of the contract in form as attached to these
solicitation documents.

 

27.6                                                   Return of Bid Security.

 

(a)                                                          Within 10 days after the bid opening,
DSNY will notify the Comptroller to return the deposits of all but the three
lowest bidders. Within five days after the award, DSNY will notify the
Comptroller to return the deposits of the remaining two unsuccessful bidders.

 

(b)                                                         If the successful bidder is obligated to
submit payment and performance bonds DSNY will notify the Comptroller to return
the bid of the successful bidder DSNY bee, within five days after the execution
of the Contract and DSNY’s acceptance of the Contractor’s bonds, whichever
occurs later.

 

(c)                                                          If the successful bidder is not obligated
to submit payment and performance DSNY will notify the Comptroller to return
the bid security of the successful bidder only after the amount retained under
Article 6 of the Agreement equals the amount of the bid security.

 

(d)                                                         If DSNY rejects all bids, DSNY will
notify the Comptroller to return the deposits of the three lowest bidders at
the time of rejection.

 

28.                               Payment and
Performance Bonds or Substitutes

 

28.1                                                   Performance Bond. If required in Schedule A (attached as part of Module E),
the successful bidder must, prior to or at the time of the execution of the
contract, deliver to the City an executed bond in form prescribed in these
solicitation documents to secure the faithful performance and completion of

 

A2-11

 

the contract. The
surety issuing the performance bond, and the form of the performance bond, are
subject to the approval of the Comptroller and DSNY. The performance bond must
be in the amount set forth in Schedule A.

 

28.2                                                   Payment Bond. If required in Schedule A (attached as part of Module E),
the successful bidder must, prior to or at the time of the execution of the
contract, deliver to the City an executed payment bond in form prescribed in
these solicitation documents as security for the payment for all persons
performing Labor or furnishing materials in connection with the contract.  The surety issuing the payment bond, and the
form of the payment bond, are subject to the approval of the Comptroller and
DSNY. The payment bond must be in the amount set forth in Schedule A.

 

28.3                                                   Power of Attorney in Connection with Payment and Performance
Bonds. Attorneys
in fact who sign performance or payment bonds must file with each bond a
certified copy of their power of attorney to sign the bond.

 

28.4                                                   Deposits of Money or Specified Obligations in Lieu of Payment
and Performance Bonds. In lieu of a performance or payment bond, the successful bidder may
deposit with the Comptroller money or an obligation of the City of New York,
which the Comptroller shall approve as of equal value with the amount of the
bond or bonds required in the Schedule of Bonds and Liability Insurance.

 

(a)                                                          The Comptroller may sell and use the
proceeds of the money or obligations specified in Section 32.1 for any
purpose for which the principal or surety on such bond would be liable under
the terms of the contract. If money is deposited with the Comptroller, the
successful bidder shall not be entitled to receive interest on such money from
the City.

 

(b)                                                         Whenever the successful bidder deposits
money in lieu of a performance or payment bond, the deposit may be in the form
of a bank check or certified check payable to the New York City Sanitation
Department in the amount specified in the Schedule of Bonds and Insurance.

 

29.                               Failure to
Execute Contract

 

If
the successful bidder fails to execute the contract and to furnish any required
security and insurance within 10’ days after notice of the award of the
contract:

 

29.1                                                   the City will retain the successful
bidder’s bid deposit (or so much of it as shall be applicable to the amount of
the contract award); and

 

29.2                                                   the successful bidder shall be liable
for, and hereby agrees to pay on demand, the difference between the price bid
and the price for which the contract shall subsequently be awarded, including the
cost of any required reletting and less the amount of such deposit.

 

A2-12

 

29.3                                                   No plea of mistake in the bid that DSNY
has accepted shall be available to the bidder either (a) for the recovery of
the deposit on the accepted bid; or (b) as a defense to any action based upon
the accepted bid.

 

30.                               Financial
Qualifications

 

30.1                                                   DSNY may require any bidder or
prospective bidder to furnish all books of account, records, vouchers,
statements or other information concerning the bidder’s financial status for
examination as DSNY may require to ascertain bidder’s responsibility and
capability to perform the contract.

 

30.2                                                   If the bidder fails or refuses to supply
any of the documents or information set forth in Section 34.1 or fails to
comply with any of the requirements of Section 34.1, DSNY may reject the
bid.

 

31.                               Division of
Labor Services

 

31.1                                                   Who Must File a Complete Employment
Report:

 

(a)                                                          In accordance with Executive Order No. 50
(1980) as modified by Executive Order No. 108 (1986), filing a completed Employment
Report is a requirement of doing business with the City of New
York.

 

(1)                                                                      The bidder has been identified as the
lowest bidder for a supply or service contract or his proposal for supplies or
services has been accepted;

 

(2)                                                                      The contract value exceeds $50,000; and

 

(3)                                                                      The bidder’s firm employs 50 or more
people.

 

(b)                                                         Each successful bidder must file an
Employment Report if he meets each of the three conditions shown above.

 

(c)                                                          In addition, subcontractors, suppliers,
or vendors performing on the contract who meet the conditions set forth in
Sections 35.1 (a) and Section 35.1(b) also must file an Employment Report.

 

(d)                                                         The Employment Report is included in the
solicitation package. Upon request, DSNY will send a copy to the low bidder
under separate cover. The bidder should read the Instructions for a Supply
and Service Contractors Employment Report carefully.

 

31.2                                                   Who Must File a “Less Than 50 Employees”
Certificate:

 

(a)                                                          A successful bidder whose contract value
exceeds $50,000 may submit only a “Less Than 50 Employees Certificate” when at
all of its facilities it employs fewer than 50 employees.

 

A2-13

 

(b)                                                         A subcontractor, vendor or supplier that
holds a subcontract that exceeds $50,000 may submit only a “Less Than 50
Employees Certificate” when at all of its facilities it has fewer than 50
employees.

 

32.                               Applicability
of the Procurement Policy Board Rules

 

This
Invitation for Bids is subject to the PPB Rules as amended. In the event of a
conflict between the PPB Rules and a provision of this Invitation for Bids, the
PPB Rules take precedence.

 

33.                               Pricing

 

Prior
to bid award and at DSNY’s request, the bidder must submit cost or pricing data
to DSNY and formally certify that, to the best of its knowledge and belief,
such cost or pricing data submitting is accurate, complete, and current as of a
mutually determined specified date. The Agency Chief Contracting Officer shall
retain the bidders certificate in DSNY contract file. If the bidder fails to
submit the data required to support a price, then the Agency Chief Contracting
Officer shall not allow the price.

 

34.                               Bid Sheets -
Schedule of Prices

 

34.1                                                   The bidder must complete all forms
included with Module B.

 

Exception: It is possible
that at times the forms for bid bonds, performance bonds and payment bonds will
be included in Module B, even though Schedule A, part of Module E, does not
require such bonds. If Schedule A does not require any of this
type of bonds, the bidder need not return the bid forms with it bid.

 

34.2                                                   If this is a unit price bid, DSNY has
included in the Schedule of Prices the forms that the bidder must use for the
unit price quotations, the projected total costs for the term of the contract,
and amount quotations.

 

34.3                                                   The bidder should direct any questions
about the bid forms included in Module B to the contact person designated
in Module
A-1.

 

A2-14

 

MODULE B:

 

BID MATERIALS

 

THE BID

 

Information about the Bidder

 

Bidder Representation and Warranties

 

Schedule of Prices (for Unit Price Contracts only)

 

Bid Sheet and Signature Page

 

Bidder’s Affidavit (must be notarized)

 

Affirmation of Non-Debt (Tax Affirmation)

 

Bid Bond Form (when applicable)

 

 

CITY OF NEW YORK

DEPARTMENT OF SANITATION

 

INVITATION FOR BIDS

 

ON A

 

SERVICE AND SUPPLY CONTRACT

 

THE BID DOCUMENT PACKAGE

 

(contains)

 

 

Information
for Bidders (Module “A”)

 

Bid
Forms (Module “B”)

 

Scope
of Work - Detailed Specifications (Module “C”)

 

Terms
of Agreement (Module “D”)

 

Schedule
A, Insurance Requirements & Bond Forms (Module “E”)

 

Attachments
(Module “F”)

 

 

For Furnishing all Labor and
Material necessary and required for:

 

 

Export Of Municipal Solid Waste
From

The Borough of Brooklyn (2003)

(Phase II/IV-A)

 

 

PIN: 82703WD00036

 

 

Notice

Before bidding, bidders must satisfy
themselves by personal examination of the Plans, Specifications, Agreement and
location of the proposed work and by such other means as they may prefer; as to
the nature and extent of the work required, and they must determine for
themselves, and allow for all difficulties which may be encountered in the
prosecution of the work.

 

FAILURE TO COMPLETE THE BID IN
DETAIL MAY RESULT IN ITS REJECTION.

 

THE CITY OF NEW YORK DEPARTMENT OF
SANITATION BID

FOR FURNISHING ALL LABOR AND MATERIAL NECESSARY AND REQUIRED FOR:

 

EXPORT OF MUNICIPAL
SOLID WASTE FROM THE BOROUGH OF BROOKLYN

 

 

PIN#: 82703WDOQQ36

 

Name of Bidder:           IESI NY Corporation

 

Tel #:                  201-437-5200                            Fax#:                    201-437-5300

 

Bidder is: Check one:  o
Individual     o
Partnership                      ý Corporation           o
Joint Venture

 

Tax Payers ID # of Bidder:     13-3960687

 

Residence of Bidder [If
Individual]:      

 

Place of Business of
Bidder:            2
Commerce Street, Bayonne, NJ 07002

 

Date of
Bid:       2/4/03

 

(If Bidder is a
Partnership or a Joint Venture, fill in the following Blanks)

 

	
  Name of Partners or Joint Venturers

  	
   

  	
  Residence
  of Partners or Joint Venturers

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  

 

(If Bidder is a
Corporation, fill in the following Blanks)

 

Organized under the Laws of the
State of:                    Delaware

 

Name and Home Address of
President:                                  Charles
Flood

 

6325 Mesa
Ridge Drive, Fort Worth, Texas 76137

 

Name and Home Address of
Secretary: Tom Fowler

 

1303 Briar
Ridge, Keller, Texas 76248

 

Name and Home Address of
Treasurer:  Thomas J. Cowee

 

6304 Regiment
Place, Colleyville, Texas 76034

 

 

BIDDER
REPRESENTATIONS AND WARRANTIES

 

Each of the above-named bidders hereby certifies, affirms, and
declares:

 

1.                                       This bidder is of lawful age and the only
one interested in this bid; and that no person, corporation, or organization
other than herein above named has any interest in this bid or in the contract
proposed to be taken.

 

2.                                       This bidder and each person signing on
this bidder’s behalf do hereby certify, under penalty of perjury, that to the
best of each of such person’s knowledge and belief:

 

The prices in this bid has been arrived at independently without
collusion, consultation, communication, or agreement for the purpose of
restricting competition, as to any matter relating to such price with any other
bidder or with any competitor or potential competitor; and

 

Unless otherwise required by law, the prices quoted in this bid have
not been knowingly disclosed by such person and will not knowingly be disclosed
by such person prior to bid opening, directly or indirectly, to any other
bidder or to any competitor; and

 

Such person has made and will make no attempt to induce any other
person, corporation, or organization to submit or not to submit a bid for the
purpose of restricting competition; and

 

No councilman 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, or in the supplies, materials, equipment, work or labor
to which it relates, or in any of the profits thereof; and

 

This bidder is not in arrears to the City of New York upon any debt,
contract, or taxes and is not a defaulter, as surety or otherwise, upon
obligation to the City of New York, and has not been declared not responsible,
or disqualified, by any agency of the City of New York or the State of New
York, nor is there any proceeding pending relating to the responsibility or
qualification of this bidder to receive public contracts.

 

3.                                       This bidder has inspected the site where
the services are to be performed and is satisfied as to all general and local
conditions that may affect the cost of performance of the contract.

 

4.                                       This bidder has examined all parts of
this Invitation for Bids, including but not limited to the Agreement and the
terms and conditions thereof, and if the bid is accepted as submitted, this
bidder shall execute the Agreement as set forth herein.

 

5.                                       This bidder is duly licensed to do
business in each of the City of New York and the State of New York and holds or
agrees to obtain all necessary permits and other authorizations required by law
or regulation for the performance of the bid contract.

 

 

6.                                       This bidder’s attention has been
specifically drawn to the equal employment provisions of the bid contract and
this bidder warrants that it will comply with all the terms and provisions
prescribed therein.

 

7.                                       This bidder executes this document
expressly warranting and representing that should this bid be accepted by the
City and the contract awarded him, he and his subcontractors engaged in the
performance:

 

•                  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 and
230 of the New York State Labor Law as more expressly and in detail set forth
in the contract form;

 

•                  has complied
with the provisions of the aforesaid laws since their respective effective
dates; and

 

•                  will post
notices, to be furnished by the City, setting forth the requirements of the
aforesaid 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 review it, and will continue to keep such notices
posted until the supplies, materials and equipment, work, labor and services
required to be furnished or rendered by the Contractor have been finally
accepted by the City.

 

8.                                       This bidder has visited and examined the
site of the work and has carefully examined the site of the work and has
examined the contract in the form approved by the Corporation Counsel, and will
execute the contract and perform all its items, covenants and conditions, and
will provide, furnish and deliver all work, material, supplies, tools and
appliances for all labor and materials necessary or required for the
hereinbefore named work, all in strict conformity with the contract, in
accordance with the schedule of prices annexed hereto.

 

9.                                       This bidder shall not utilize tropical
hardwoods as defined in Section 167-b of the State Finance Law in the
performance of this contract except as expressly permitted by the foregoing
provisions of law.

 

10.                                 This bidder, as an individual, as a
member, partner, director, or officer of the bidder, if the same be a firm, partnership,
or corporation, executes this document expressly warranting that he will comply
with all provisions in the Agreement and in the Scope of Work / Detailed
Specifications with respect to the provision of records.

 

11.                                 The bidder has visited and examined the
site of the work, has carefully examined the Contract in the form approved by
the Corporation Counsel, and will execute the Contract and performs all its
items, covenants, and conditions, and will provide, furnish and deliver all the
work, materials, supplies, tools and appliances for all labor and materials
necessary or required for the Contract work, all in strict conformity with the
Contract and in accordance with the following:

 

(a)                                                          For Contracts with individual bid items:

 

 

(1)                                                          the UNIT PRICE set forth below for each
individual bid item for which a unit price has been requested; and

 

(2)                                                          the LUMP SUM BID PRICE set forth below for
each individual bid item for which a lump sum price, but no unit price, has
been requested;

 

(b)                                                         For Contracts where
a single Lump Sum Amount has been requested without individual bid items, the TOTAL BID
PRICE FOR ALL CONTRACT
WORK.

 

When
the Contract work has been broken down into individual bid items, the TOTAL BID
PRICE FOR-ALL CONTRACT WORK is the sum of the Total Bid Amounts for
the individual bid items and will be used for bid evaluation purposes only. It
is not a lump sum amount to be paid for performing the Contract work.

 

 

New York City Department of Sanitation

Export of Municipal Solid Waste from the Borough
of Brooklyn

 

BID SHEET AND
SIGNATURE PAGE.
(WITH MANDATORY CHECKOFF ITEMS)

 

A.                                   Instructions for the completion of the
bid sheet.

 

*                                         The price entered adjacent to the Price
Per Ton shall be the price that the Bidder will charge the City for the acceptance
and disposal of one (1) ton of municipal solid waste (“M.S.W.”).

 

**                                  The number of tons entered adjacent to
the Maximum Deliverable Tonnage of Municipal Solid Waste per Day shall be the
maximum number of tons of M.S.W. that the Bidder will accept from the City on
any day for disposal at the putrescible solid waste transfer station or solid
waste management facility designated in its bid at its bid price.

 

***                           The Bidder shall insert the name of
Putrescible Solid Waste Transfer Station or Solid Waste Management Facility at
which the Bidder will accept M.S.W. from the City at its bid price.

 

	
  Price Per Ton*

  	
   

  	
  $

  	
  74.90

  	
   

  	
   

  
	
  Maximum Deliverable
  Tonnage of Municipal Solid Waste Per Day**

  	
   

  	
  500

  	
  Tons

  	
   

  
	
  Putrescible Solid Waste
  Transfer Station or Solid Waste Management Facility***

  	
   

  	
  577
  Court Street

  Brooklyn, NY 11231

  	
   

  	
   

  

 

B.                                     By signing this bid, the bidder agrees
that the Burma Provisions constitute material provisions of this Contract ý Yes   o No (Check one of these choices)

 

C .                                  By signing this bid, the bidder agrees
that the MacBride Provisions constitute material provisions of this Contract ý Yes   o No (Check one of these choices).

 

	
  Bidder:

  	
   

  	
  IESI NY
  Corporation

  	
   

  
	
  By:

  	
  Edward L.
  Apuzzi

  	
   

  
	
  (Signature of partner, corporate officer, or individual bidder)

  	
   

  
	
  Title:

  	
  Vice
  President

  	
   

  
	
  The affidavit on the following page must be subscribed and sworn to

  before a Notary Public or Commissioner of Deeds.

  	
   

  
					

 

For Corporations Only:

Attestation:

	
   

  	
   

  	
   

  	
   

  	
   

  
	
  (

  	
  Corporate

  	
  )

  	
   

  	
   

  	
   

  
	
  (

  	
  Seal

  	
  )

  	
   

  	
  Secretary of
  Corporate Bidder

  
	
   

  	
   

  	
   

  	
   

  	
   

  

 

B-4

 

BIDDER AFFIDAVIT

 

	
  STATE
  OF  New Jersey

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
  SS:

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
  COUNTY
  OF  Hudson

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  Edward L.
  Apuzzi, being duly sworn, says:

  
	
  (Choose only one of the following three
  options; check box and complete)

  	
   

  	
   

  
						

 

ý                                    Corporation
Bidder:

 

I am the Vice
President of the above named corporation whose name is subscribed to and which
executed the foregoing bid. I reside at 17 Harvest Drive, Plainsboro, New
Jersey 08536

I have
knowledge of several matters stated in the bid, and they are in all respects
true.

 

o                                    Partnership
or Joint Venture (Unincorporated Organization)

 

I am a member
of                                       ,
the partnership or joint venture described in and which executed the foregoing
bid. I subscribed the name of the partnership or joint venture on its behalf,
and the several matters stated in the bid are in all respects true.

 

o                                    Individual
Bidder:

 

I am the
person described in and who executed the foregoing bid and the several matters
stated in the bid are in all respects true.

 

	
   

  	
   

  
	
   

  	
  (Signature of the person w oed the bid)

  	
   

  
	
  Print Name:

  	
  Edward L. Apuzzi

  	
   

  	
   

  
	
  Print Title:

  	
  Vice President

  	
   

  	
   

  
	
   

  	
  Subscribed
  and sworn to before me this 29th day of January, 2003

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
  Notary
  Public

  	
   

  
								

 

B-5

 

AFFIRMATION OF
NON-DEBT (TAX AFFIRMATION)

 

The
undersigned proposer or bidder affirms and declares that said proposer or
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 obligation to the
City of New York, and has not been declared not responsible, or disqualified,
by any agency of the City of New York, nor is there any proceeding pending
relating to the responsibility or qualification of the proposer or bidder to
receive public contracts except: 

 

 

 

	
  Full name of
  Proposer or Bidder

  	
  IESI NY
  Corporation

  
	
  Address  2
  Commerce Street

  
	
  City   Bayonne

  	
  State    New
  Jersey

  	
  Zip
  Code   07002

  
				

CHECK
ONE BOX AND INCLUDE THE APPROPRIATE NUMBER:

 

o                                    A
- Individual or Sole Proprietorship(1)

SOCIAL
SECURITY
NUMBER                                                        

 

o                                    B
- Partnership, Joint Venture or other unincorporated organization

EMPLOYER
IDENTIFICATION
NUMBER                                     

 

ý                                    C
- Corporation

EMPLOYER
IDENTIFICATION NUMBER      13-3960687

 

	
  By:

  	
   

  	
   

  
	
   

  	
  Signature

  	
   

  
	
   

  
	
   

  	
  Vice
  President

  	
   

  
	
   

  	
  Title

  	
   

  
	
   

  	
  If a
  corporation place seal here.

  
	
   

  	
  Must be
  signed by an officer or duly authorized representative.

  
				

 

 

(1)  Under the Federal Privacy Act 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, proposers or vendors to ensure their
compliance with laws, to assist the City in enforcement of laws businesses
which seek City contracts.

 

B-6

 

BID BOND FORM
INSTRUCTIONS

 

1.                                       Please examine Schedule A of the General
Conditions to see if bid security if required.

 

2.                                       If bid security is required, and the
bidder will use a bid bond from a surety to fulfill the bid security
requirement, the bid bond form on the following pages shall be used.

 

3.                                       Each executed bid bond shall be
accompanied by:

 

A.                                                           Appropriate acknowledgment of the
respective parties;

 

B.                                                             Appropriate duly certified copy of Power
of Attorney or other representative of Principal or Surety;

 

C.                                                             A duly certified extract from By-laws or
Resolution of Surety under which 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 Surety.

 

4.                                       Affix Acknowledgments and Justification
of Sureties.

 

B-7

 

FORM OF BID BOND

 

KNOW ALL MEN BY THESE PRESENTS.
that 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, 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
proposal, 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 Proposal 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 Proposal by the City, if the Principal shall:

 

A.                                   Within ten (10) days after notification
by the City, execute in triplicate 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 proposal as accepted, and

 

B.                                     Furnish a performance bond and separate
payment bond, as may be required by the City for the faithful performance and
proper fulfillment of such Contract, which bonds shall be satisfactory in all
respects, and

 

C.                                     In all respects perform the agreement
created by the acceptance of said Proposal as provided in the Instructions to
Bidders, bound herewith and hereby made a part hereof, or if the City shall
reject the aforesaid Proposal, then this obligation shall be null and void;
otherwise to remain in full force and effect.

 

In
the event that the Proposal of the Principal shall be accepted and the Contract
be awarded to him the Surety hereunder agrees, subject only to the payment by the
Principal of the premium therefore, if requested by the City, to write the
aforementioned performance and payment bonds in the Contract Documents.

 

It
is expressly understood and agreed that the liability of the Surety for any and
all claims hereunder shall in no event exceed the penal amount of this
obligation as herein stated.

 

There
shall be no liability under this bond if in the event of the acceptance of the
Principal’s Proposal by the City, either a performance bond or a payment bond,
or both, shall not be required by the City on or before the 30th day after the
date on which the City signs the Contract.

 

B-8

 

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 extending of the time within which the City may accept the Principal’s
Proposal, or by any waiver by the City of any of the requirements of the
Information for Bidders; and the Surety hereby waives notice of any such
postponements, extension, 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 the
                           day
of
                
,             

 

	
  (Seal)

  	
   

  	
  (L.S.)

  
	
   

  	
   

  	
  Principal

  	
   

  
	
   

  	
  By:

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  (Seal)

  	
   

  	
  (L.S.)

  
	
   

  	
   

  	
  Surety

  	
   

  
	
   

  	
  By:

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
  (Seal)

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
  (L.S.)

  
	
   

  	
   

  	
  Surety

  	
   

  
	
   

  	
  By:

  	
   

  	
   

  

 

B-9

 

ACKNOWLEDGMENT OF
PRINCIPAL IF A CORPORATION

 

	
  State of
                                       

  	
   

  
	
  SS:

  	
   

  
	
  County of
                                   

  	
   

  

 

On this
       day of
                          ,
                     ,
before me personally came
                               
to me known, who, being by me duly sworn, did depose and say that he resides at
                                                               
that he is the                                                 
of                                            ,
the corporation described as such in and which executed the foregoing
instrument that he knows the seal of said corporation; that one of the seals
affixed to said instrument; is such seal; that it was so affixed by order of
the directors of said corporation, and that he signed his name thereto by like
order.

 

	
  Subscribed
  and sworn to before me this
                        
  day of
               ,

  
	
   

  
	
   

  	
   

  
	
  Notary
  Public

  

 

ACKNOWLEDGMENT OF. PRINCIPAL IF A
PARTNERSHIP OR A JOINT VENTURE

 

	
  State of
                                       )

  	
   

  
	
   

  	
  ss:

  	
   

  
	
  County of
                                   )

  	
   

  
			

 

On this
           day of
                  ,
             before
me personally appeared
                                   
to me known and known to me to be one of the members of the partnership or
joint venture                         
described as such in and who executed the foregoing instrument and he
acknowledged to me that he executed the same as and for the act and deed of
said partnership or joint venture.

 

	
  Subscribed
  and sworn to before me this
                        
  day of
               ,
                

  
	
   

  
	
   

  	
   

  
	
  Notary
  Public

  

 

ACKNOWLEDGMENT OF THE PRINCIPAL IF
AN INDIVIDUAL

 

	
  State of
                                       )

  	
   

  
	
   

  	
  ss:

  	
   

  
	
  County of
                                   )

  	
   

  
			

 

On this
           day of
                  ,              
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 acknowledged that he executed the same.

 

	
  Subscribed
  and sworn to before me this 
                        
  day of              ,
                

  
	
   

  
	
   

  	
   

  
	
  Notary
  Public

  

 

B-10

Export of
Municipal Solid Waste From the Borough of Brooklyn

 

 

Module C: Detailed
Specifications

 

 

Note:  In the event of a conflict between the
Supply and Service Agreement (Module D), and Detailed Specifications (Module
C), the terms and conditions of the Detailed Specifications shall govern.

 

 

NYC
Department of Sanitation

Export of Municipal Solid Waste From the Borough of Brooklyn

Detailed Specifications

 

 

TABLE OF CONTENTS

 

	
  I.                                    DESCRIPTION
  OF THE PROJECT, AND THE NEW YORK CITY DEPARTMENT OF SANITATION’S OPERATIONS

  	
   

  
	
   

  	
  1.1

  	
  Introduction

  	
   

  
	
   

  	
  1.2

  	
  Definitions

  	
   

  
	
   

  	
  1.3

  	
  Description of DSNY’s Operations

  	
   

  
	
  II.                                DETAILS FOR BIDDERS

  	
   

  
	
   

  	
  2.1

  	
  Bidder Qualifications and Experience

  	
   

  
	
   

  	
  2.2

  	
  Contract
  Term

  	
   

  
	
   

  	
  2.3

  	
  Contract
  Award

  	
   

  
	
  III.                            DESCRIPTION
  OF MSW PROCESSING

  	
   

  
	
   

  	
  3.1

  	
  General Description

  	
   

  
	
   

  	
  3.2

  	
  Transfer Station and Solid Waste Management
  Facility Operations .

  	
   

  
	
   

  	
  3.3

  	
  Weigh Scales and the Weighing of MSW at a
  Transfer Station

  	
   

  
	
   

  	
  3.4

  	
  Disposal Facility Operations

  	
   

  
	
   

  	
  3.5

  	
  Transporting MSW to a Disposal Facility

  	
   

  
	
   

  	
  3.6

  	
  General Operations Requirements

  	
   

  
	
  IV.                            ITEMS TO
  BE SUBMITTED BY BIDDERS

  	
   

  
	
   

  	
  4.1

  	
  The
  Bid Package

  	
   

  
	
   

  	
  4.2

  	
  Bid Support Materials

  	
   

  
	
   

  	
  4.3

  	
  Items to be Submitted after Receipt of
  Notice of Award

  	
   

  
	
   

  	
  4.4

  	
  Changes After Contract Award

  	
   

  
	
  V.                                PAYMENT INFORMATION

  	
   

  
	
   

  	
  5.1

  	
  Payment

  	
   

  
	
   

  	
  5.2

  	
  Liquidated Damages

  	
   

  
	
   

  	
  Exhibit I

  	
  Maps Showing a Radius of 50
  Miles From the Egress Points Designated by the
  City of New York

  	
   

  
	
   

  	
  Exhibit 2

  	
  DSNY’s Transportation Model

  	
   

  
	
   

  	
  Exhibit 3

  	
  DSNY’s Collection Vehicle Dimensions

  	
   

  
	
   

  	
  Exhibit 4

  	
  Tables and Charts Showing the Variations in Tonnage Delivered to the
  Private Transfer Stations During Fiscal Year 2002.

  	
   

  
	
   

  	
  Exhibit 5

  	
  Delivery Data

  	
   

  
	
   

  	
  Exhibit 6

  	
  Delivery Receipt

  	
   

  
	
   

  	
  Exhibit 7

  	
  Contractor’s invoice

  	
   

  
					

 

C-i

 

I.                                         DESCRIPTION OF THE PROJECT, AND THE NEW YORK CITY DEPARTMENT
OF SANITATION’S OPERATIONS

 

1.1                               Introduction

 

The New York City Department of Sanitation (“DSNY”)
is seeking to award one or more contracts to qualified firms (“Contractors”)
who shall provide all of the labor, materials, equipment, transport,
facilities, and resources necessary and required to accept, process, transport,
and dispose of a minimum of 100 tons per day (“TPD”) of municipal solid
waste (“MSW”)
collected by DSNY and its authorized representatives in the borough of
Brooklyn.  DSNY anticipates awarding
more than one contract under this solicitation.

 

The qualified Contractors shall:

 

own, operate, or have an agreement with the
owner and the operator to use: 
(a) a putrescible solid waste transfer station (“Transfer
Station”) located within the borough of the City of New York (the “City”)
within which the MSW is collected; or (b) a solid waste management
facility (“Solid Waste Management Facility”) located outside of the City,
no more than 50 miles from the egress points from the City designated in Exhibit 1,
which will accept MSW collected by DSNY or its authorized representatives in
Brooklyn; and

 

accept, process, transport, and dispose of the
MSW at permitted, licensed or otherwise authorized disposal facilities (“Disposal
Facilities”) which are located outside of the City which are either
owned and operated by the bidder, or have an agreement between the owner and
the operator, and the bidder for use of the Disposal Facility.

 

Any agreement between the bidder and the owner and
the operator of a Transfer Station or Solid Waste Management Facility, or
Disposal Facility shall be for the term of the contract that DSNY may award to
the bidder(s) under this solicitation and any extensions thereof.  A Transfer Station located within the City
shall have all of the permits required by the State of New York and the City,
and one located outside of the City shall have all of the permits, licenses and
authorizations (“Permits and Authorizations”) required by the state and
locality within which it is located. 
All permits and or authorizations shall be valid as of the bid opening
date.

 

A Contractor may own or operate the Transfer
Station, the Solid Waste Management Facility, a Disposal Facility or an MSW
transporter, or it may perform one of these functions and subcontract the
others.  The Contract(s) to be awarded
will be for a term of three years with an option to extend the Contract, at
DSNY’s discretion, for two additional terms of up to one year each.

 

C-1

 

Besides meeting all of the requirements set forth in
the Detailed Specifications, each Transfer Station, Solid Waste Management
Facility and Disposal Facility shall comply with all of the applicable federal,
state and local laws, rules, and regulations concerning Transfer Stations,
Solid Waste Management Facilities, and Disposal Facilities.  Each transporter of MSW shall comply with
all of the applicable federal, state and local laws, rules and regulations
governing the transport of MSW.

 

Each bidder may submit more than one bid in response
to this solicitation.  However, in each
bid submitted the bidder shall submit only one bid for each Transfer Station or
Solid Waste Management Facility that it designates for the acceptance of MSW in
each bid submitted in response to this solicitation.  DSNY will reject as non-responsive all bids other than the bid
setting forth the lowest Price per Ton submitted by a bidder designating the
same Transfer Station or Solid Waste Management Facility for the acceptance of
MSW.

 

1.2                               Definitions

 

When used in the Detailed Specifications the
capitalized terms set forth hereinafter shall have the following meaning:

 

1.2.1                                                City shall mean the City of New York.

 

1.2.2                                                City Holiday shall mean New Year’s Day; Lincoln’s Birthday;
President’s Day, Memorial Day; Independence Day; Labor Day; Columbus Day;
Election Day; Veteran’s Day; Thanksgiving Day, and Christmas Day.  Whenever two City Holidays occur during the
same week, DSNY may, at its discretion, engage in collection operations on the
day of the second City Holiday (e.g., when Election Day and Veteran’s Day occur
during the same week, DSNY may engage in collection operations on Veteran’s
Day).

 

1.2.3                                                CEQR shall mean the City of New York Environmental Quality Review as
amended.

 

1.2.4                                                Collection Vehicle shall mean a vehicle used by DSNY or its authorized
representatives to collect MSW.

 

1.2.5                                                Container shall mean a container in which MSW will be
transported by barge, rail car, or truck from a Transfer Station or Solid Waste
Management Facility to a Disposal Facility.

 

1.2.6                                                Contract shall mean the contract awarded by DSNY to the
Contractor pursuant to this Invitation for Bids.

 

1.2.7                                                Contractor shall mean the qualified responsive and responsible
bidder to which the Contract is awarded.

 

C-2

 

1.2.8                                                Delivery Information shall mean all of the information about a delivery of
MSW to a Transfer Station or Solid Waste Management Facility required to be
included on a Delivery Receipt.

 

1.2.9                                                Delivery Receipt shall mean DSNY Forms DS66 and DS66A, the documents
on which all of the information about the delivery of a load of MSW by a
Collection Vehicle to a Transfer Station or Solid Waste Management Facility is
recorded.

 

1.2.10                                          Disposal Facility shall mean a facility to which the bidder transports
the putrescible solid waste received at a Transfer Station or Solid Waste
Management Facility for final disposal.

 

1.2.11                                          Exhibit shall mean an Exhibit to the Detailed
Specifications

 

1.2.12                                          Fiscal Year shall mean the time period from July 1st through
June 30th of the following year, for example, Fiscal Year 2002 covers the
time period from July 1st 2001 through June 30th 2002.

 

1.2.13                                          Host Community Agreement shall mean an agreement between the owner and
operator of a Disposal Facility and a state or locality authorizing the
Disposal Facility to operate and accept MSW regardless of origin.

 

1.2.14                                          Letter of Intent shall mean a letter from the owner and the operator
of a Transfer Station, a Solid Waste Management Facility, a Disposal Facility,
or a transporter to the bidder expressing both the owner’s and the operator’s
commitment to the bidder with respect to the handling of MSW which shall:

 

a.                                                               Expressly state that the owner and
operator will accept MSW, or transport it from the City;

 

b.                                                              Include all of the conditions and
restrictions which may be imposed upon the acceptance or transport of MSW from
the City either by the owner and the operator, or by any regulatory agency or
authority which has jurisdiction over the Transfer Station, Solid Waste
Management Facility, Disposal Facility, or the transporter;

 

c.                                                               State the daily tonnage of MSW that the
owner and the operator anticipate accepting during the term of the Contract and
any extensions thereof;

 

d.                                                              Identify all of the regulatory agencies
and authorities to which the Transfer Station, Solid Waste Management Facility,
Disposal Facility, or the transporter is subject; and

 

C-3

 

e.                                                               Identify the specific language in its
Permits and Authorizations and, if applicable, Host Community Agreement which
authorizes the owner and the operator to accept MSW from the City.

 

1.2.15                                          MSW shall mean municipal solid waste.

 

1.2.16                                          DSNY shall mean the New York City Department of Sanitation.

 

1.2.17                                          Operations Plan shall mean a plan which describes in detail how the
bidder will manage each shipment of MSW.

 

1.2.18                                          Order to Commence Work shall mean the document that DSNY sends to a
Contractor directing it to commence work under the Contract.

 

1.2.19                                          Permits and Authorizations shall mean all of the permits, licenses and other
authorizations required from any federal, state or local government, agency or
authority as a condition for the operation of a Transfer Station, Solid Waste
Management Facility or Disposal Facility, or for the transport of MSW.

 

1.2.20                                          PPB shall mean the New York City Procurement Policy Board.

 

1.2.21                                          Price per Ton shall mean the amount that DSNY will pay the
Contractor for the acceptance, processing, transport, and disposal of each ton
of MSW delivered by a Collection Vehicle to the Contractor’s Transfer Station
or Solid Waste Management Facility.

 

1.2.22                                          Recyclables shall mean certain recyclable materials including but
not limited to paper, corrugated cardboard, and metal containers that are
designated for collection by the DSNY under a separate program pursuant to the
provisions of the New York City Administrative Code as amended.

 

1.2.23                                          Section shall mean a section of the Detailed
Specifications, unless the context in which the term “Section” is used clearly
identifies a different document.

 

1.2.24                                          SEQR shall mean the State of New York Environmental Quality Review Act as
amended.

 

1.2.25                                          Solid Waste Management Facility shall mean a solid waste management
facility located outside of the City of New York, no more than 50 miles from
the egress points from the City designated in Exhibit 1, at which
putrescible solid waste is received either for the purpose of subsequent
transfer to another location for final disposal, or for final disposal.  A Solid Waste Management Facility which
accepts MSW for final disposal shall not transfer the MSW to another location
for final disposal in the absence of an Act of God.

 

1.2.26                                          TPD shall mean tons per day.

 

C-4

 

1.2.27                                          Transfer Station shall mean a solid waste management facility at which
putrescible solid waste is received for the purpose of subsequent transfer to
another location for final disposal.

 

1.2.28                                          Transportation Model shall mean DSNY’s transportation cost model, a
summary of which is attached to the Detailed Specifications as Exhibit 2.

 

1.2.29                                          USEPA shall mean the United States Environmental Protection Agency.

 

1.2.30                                          Weigh Scale shall mean a scale located at a Transfer Station, or
a Solid Waste Management Facility.

 

1.2.31                                          Weigh Scale Computer shall mean a computer that obtains weight readings
directly from a Weigh Scale, and is linked electronically to both the Weigh
Scale and the DSNY’s mainframe computer.

 

1.2.32                                          Weigh Scale Malfunction shall mean that a Weigh Scale or a Weigh Scale
Computer does not operate in accordance with its specifications, or otherwise
fails to operate in accordance with the requirements of this Contract.

 

1.3                               Description of DSNY Operations.  The
following information is for illustrative purposes only.  The actual deliveries of MSW to a Transfer
Station or Solid Waste Management Facility may vary from these quantities and
frequencies.

 

1.3.1                                                Citywide Operations.  DSNY
collects refuse from residences, other City Agencies, and certain
not-for-profit institutional facilities throughout the City, which, for
administrative purposes, DSNY subdivides into 59 districts.  Eighteen of these districts are in the
borough of Brooklyn.  During Fiscal Year
2002 DSNY collected from the 18 Brooklyn districts approximately 4,000 TPD.

 

Cleaning and collection operations generally occur
on an eight hour day, two worker shift. 
The operation takes place six days per week, two or three times per
collection site, depending upon the location. 
For each shift, there are one or more loads of MSW per vehicle.  Generally, DSNY does not engage in cleaning
and collection operations on Sundays and City Holidays.  From the second Monday in April until
the conclusion of the second Saturday in November, this shift begins at 6
a.m.  During the rest of the year this
shift begins at 7 a.m.; at that time DSNY spreads collection operations over
three eight hour shifts in order to maintain personnel coverage around the
clock in the event of an Act of God such as a hurricane or snow emergency which
causes it to abandon its collection operations.

 

DSNY or its authorized representatives collect this
MSW in four types of vehicles: packer trucks, front-loading collection trucks,
hoist-fitted chassis vehicles, and roll-on, roll-off container vehicles.  Packer trucks are rearloading having one or
more

 

C-5

 

compartments which are primarily used for waste
collected from garbage cans and bags placed at curbside.  Frontloading collection trucks have
mechanical arms to lift and unload bins into the top of the vehicle, and hoist-filled
chassis vehicles have a hoist and unloading mechanism mounted on the frame for
the unloading of the bins.  Roll-on,
roll-off container vehicles carry 10 to 40 cubic yard containers that are
dumped mechanically.  During Fiscal Year
2002 the Department had a total of approximately 1,700 Collection Vehicles
dedicated to collection operations (exclusive of the Department’s recycling
operations).  A chart that provides the
dimensions of DSNY’s Collection Vehicles is attached as Exhibit 3.

 

Each Collection Vehicle delivers its load to
privately owned putrescible Solid Waste Management Facilities located in
Brooklyn, Bronx, Queens, Long Island and New Jersey.  Currently, approximately 60% of the daily loads are dumped during
the eight hour collection shift, and 40% of the loads are relayed to the
dumping location by a single Sanitation Worker on a subsequent shift.  The factors determining whether a load is
dumped on a shift include the distance from the route to the dump location, and
the time available to dump a truck on shift.

 

1.3.2                                                Brooklyn Operations.  DSNY and its
authorized representatives currently deliver approximately 4,000 tons per day
of MSW to privately owned putrescible transfer facilities.  Attached as Exhibit 4 are the tables
and charts showing the variations in tonnage in Department collected MSW
delivered to the private transfer stations during Fiscal Year 2002.  At present, the private transfer facilities
are open to receive deliveries of MSW during three shifts, i.e., 24 hours a
day, Monday through Saturdays.  The
transfer facilities are closed on Sundays, and on City Holidays observed by
DSNY.

 

II.                                     DETAILS FOR
BIDDERS

 

2.1.                            Bidder Qualifications and Experience.

 

2.1.1                                                Operating Authorizations.

 

2.1.1.1                                       As of the bid opening date, the Transfer
Station or Solid Waste Management Facility shall have received all of the
Permits and Authorizations required to accept MSW collected by DSNY and its
authorized representatives.

 

2.1.1.2                                       Disposal Facilities shall have all of the
Permits and Authorizations, and a Host Community Agreement, if such an
agreement is required, or such other authorizations as may be required to
accept MSW from the City as of the bid opening date.

 

C-6

 

2.1.1.3                                       The bidder shall obtain all of the Permits
and Authorizations required for the modes of transport for the MSW by the date
set forth for the commencement of the Contract in DSNY’s Order to Commence
Work.

 

2.1.2                                                Bidder’s Experience.  At a
minimum, each bidder, or a principal of the bidder shall have three years of
experience in the acceptance, processing, transportation, or disposal of
MSW.  The bidder, a principal of the
bidder, or a subcontractor shall also have not less than three years of
experience in the mode of transportation (i.e., barge, rail, or truck) which
the bidder plans to use for transporting MSW to Disposal Facilities.  As used in this Section, the term “principal
of the bidder” shall mean a person who owns 10% or more of the stock of the
bidder, or who serves as a full time officer of the bidder with an agreement of
employment that has a period of duration of at least one year from the date of,
the bid opening.  If the bidder is a
joint venture or partnership, then the experience of the joint venture or
partnership may be determined by ascertaining whether either of the constituent
entities or a partner satisfies this requirement, or if any principal of such
constituent entities satisfies this requirement.

 

2.1.3                                                Fitness and Integrity.  Each bidder,
each subcontractor, and all of their affiliates, as defined in the Mayor’s
Office of Contracts “Vendors Guide to VENDEX” (attachment “F” Module), shall
meet all of the standards with respect to responsibility, fitness and integrity
set forth in the PPB Rules, and those which may be established by the New York
City Business Integrity Commission and the New York City Department of
Investigation.

 

2.2                               Contract Term.  All
Contracts awarded pursuant to this solicitation shall be for a term of three
years commencing on the date set forth in DSNY’s Order to Commence Work.  DSNY, at its sole option and discretion, may
extend a Contract for two additional terms of up to one year each.  All of the terms and conditions of the
Contract shall apply throughout any and all extensions.  If DSNY decides to exercise its option to
extend the Contract, DSNY will notify each Contractor of its decision not less
than 30 days prior to the expiration date of the Contract.

 

2.3                               Contract Award.

 

2.3.1                                                Appropriation of Funds.  If funds are
not appropriated, or otherwise made available to support the continuation of
services under this Contract in any fiscal period after the initial fiscal
period, DSNY will either terminate the Contract, or continue it at a reduced
funding level, and level of services. 
Such action will not affect the rights of DSNY, the City, or the
Contractor under any termination clause in the Contract.

 

2.3.2                                                Annual Adjustment to a Contract. 
On the first anniversary of DSNY Order to Commence Work, DSNY will
increase the Price per Ton by 2%.  On
each

 

C-7

 

subsequent anniversary, DSNY will increase the Price per Ton by 2% not
compounded.

 

2.3.3                                                Least Total Cost.  To ensure
that DSNY chooses the responsive and responsible bidder or bidders who offer
the services sought through this solicitation at the least cost to the City,
for allocation purposes DSNY will adjust the prices of all bids by DSNY’s cost
of transporting the MSW to the Transfer Station or Solid Waste Management
Facility as determined by DSNY’s Transportation Model which is described in Exhibit 2.  The Transportation Model takes into account
factors such as the distance a Collection Vehicle will travel to the Transfer
Station or Solid Waste Management Facility to deliver MSW, personnel costs, Collection
Vehicle operating costs, the weight of MSW per Collection Vehicle, relay
requirements, and tolls.

 

2.3.4                                                Transfer Station and Solid Waste Management Facility Capacity. 
DSNY reserves the right to inspect each Transfer Station and Solid Waste
Management Facility to verify that the Transfer Station or Solid Waste
Management Facility is able to accept, process, transport, and dispose of the
tonnage of MSW bid.  DSNY, in its sole
discretion, reserves the right to reduce the tonnage that will be awarded to
the bidder to an amount the DSNY reasonably believes that the Transfer Station
or Solid Waste Management Facility will be able to manage, even if that tonnage
is less than the amount bid by the bidder.

 

2.3.5                                                Disposal Facility Capacity.  DSNY
reserves the right to inspect each Disposal Facility to verify that each
facility is able to accept, process, and dispose of the tonnage of MSW that the
Disposal Facility is designated to receive by the bidder in its bid.  DSNY, in its sole discretion, reserves the right
to reduce the tonnage that will be awarded to the bidder to an amount the DSNY
reasonably believes that the Disposal Facilities designated in the bid will be
able to manage, even if that tonnage is less than the amount bid by the bidder.

 

2.3.6                                                Environmental Review.  In
accordance with the CEQR and SEQRA process, (if applicable) DSNY will conduct
an environmental review of the transport of MSW to and from the Transfer
Stations and Solid Waste Management Facilities that the apparent responsive and
responsible low bidder(s) have identified in its (their) bid(s).  The purpose of this review is to determine
whether the acceptance of MSW by the Transfer Station or Solid Waste Management
Facility may have a potentially significant adverse impact on the environment.  If an environmental review finds that an
award of the tonnage bid by any bidder may have an adverse environmental
impact, DSNY, in its sole discretion, reserves the right to reduce the tonnage
that will be awarded to

 

C-8

 

the bidder in order to avoid or mitigate such adverse impact on the
environment.

 

2.3.7                                                Multiple Awards.  An award to
more than one bidder may be necessary to obtain the total capacity of the
required services.  The lowest cost responsive
and responsible bidder shall be the bidder whose bid price, after the
adjustments described in Sections 2.3.3 through 2.3.6, represents the lowest
cost per ton to the City for disposal of MSW. 
If the Transfer Station or Solid Waste Management Facility is determined
after the adjustments described above to be the lowest cost responsive and
responsible bidder for all or part of its maximum Deliverable Tonnage of MSW
per Day and such tonnage is less than the daily TPD of MSW that DSNY may
deliver pursuant to this solicitation, then DSNY will award Contracts to more
than one bidder to achieve the capacity necessary to meet the City’s waste
disposal needs under this solicitation. 
If DSNY awards multiple Contracts, DSNY will allocate the difference
between the Transfer Station or Solid Waste Management Facility capacity of the
lowest cost responsive and responsible bidder and DSNY’s disposal needs in the
overall best interest of the city as follows:

 

The next Contract will be awarded, to the next lowest cost responsive
and responsible bidder for all or part of its maximum Deliverable Tonnage of
MSW per Day whose bid price represents the next lowest cost per ton to the City
for disposal of MSW.  This process will
continue with a Contract award to each successive lowest cost responsive and
responsible bidder until DSNY has allocated all of the MSW for which bids are
sought pursuant to this solicitation.

 

III.                                 DESCRIPTION OF
MSW PROCESSING

 

3.1                               General Description.  This
solicitation seeks the services of one or more Contractors who (a) own,
operate, or have an agreement with the owner and the operator for the use of a
Transfer Station located in the City within the borough in which the MSW is
collected, or a Solid Waste Management Facility located outside of the City, no
more than 50 miles from the egress points from the City designated in Exhibit 1,
which will accept MSW collected by DSNY and its authorized representatives; and
(b) will accept, process, transport, and dispose of the MSW at permitted
and authorized Disposal Facilities located outside of the City in accordance
with all applicable federal, state and local laws, rules and regulations and
the requirements of the Detailed Specifications for the term of the Contract
and any extensions thereof.

 

C-9

 

3.2                               Transfer Station and Solid Waste Management Facility
Operations

 

3.2.1                                                Transfer Station and Solid Waste Management Facility
Requirements.  Each Transfer Station and Solid Waste
Management Facility shall meet the requirements set forth hereinafter during
the term of the Contract and any extensions thereof:

 

3.2.1.1                                       Accept a minimum of 100 TPD of MSW
collected by DSNY and its authorized representatives in the borough of
Brooklyn;

 

3.2.1.2                                       As of the bid opening date, the Transfer
Station or Solid Waste Management Facility shall have received all of the
Permits and Authorizations required by the state and locality in which the
Transfer Station or Solid Waste Management Facility is located to accept the
amount of MSW bid.

 

3.2.1.3                                       If not owned by the bidder, be the
subject of an agreement between the owner and the operator, and the bidder that
allows the bidder to use the Transfer Station or Solid Waste Management
Facility for the acceptance of MSW collected by DSNY and its authorized
representatives for the term of the Contract and any extensions thereof; and

 

3.2.1.4                                       Operate in compliance with all federal,
state and local laws, rules and regulations to which it is subject.

 

3.2.2                                                Loads To Be Processed Per Hour.  The Transfer
Station or Solid Waste Management Facility shall process a minimum number of
Collection Vehicles per hour according to the following table.

 

	
  Tonnage Amount Bid

  	
   

  	
  Minimum
  Number of

  Collection Vehicles

  	
   

  
	
  100 to 1,000 tons per day

  	
   

  	
  10 trucks per hour

  	
   

  
	
  1,001 to 2,000 tons per day

  	
   

  	
  15 trucks per hour

  	
   

  
	
  2,001 to 3,000 tons per day

  	
   

  	
  20 trucks per hour

  	
   

  
	
  Over 3,000 tons per day

  	
   

  	
  25 trucks per hour

  	
   

  

 

As used in this Section, and in the Detailed
Specifications, the term “Processing a Collection Vehicle” shall mean
weighing it in, unloading its contents, weighing it out, recording all computer
data, and processing all required documentation.

 

At all times prior to the award of a Contract, DSNY
has the right to verify that the Transfer Station or Solid Waste Management
Facility is able to accept and manage the tonnage bid, and to reduce the amount
to be awarded to any bidder to the amount that DSNY determines, in its
discretion, that the Transfer Station or Solid Waste Management Facility is
able to accept and manage.  After the
award of a Contract, DSNY has the right at any time without notice to inspect
the Transfer Station or Solid Waste Management

 

C-10

 

Facility and verify that the facility continues to
be able to accept and manage the tonnage that was awarded to the Contractor,
and DSNY may reduce the TPD of MSW delivered to the amount that DSNY reasonably
believes that the Transfer Station or Solid Waste Management Facility is able
to accept and manage.  In the event of
such a reduction, the Contractor shall be liable to DSNY for all costs related
to the delivery of MSW to an alternative Transfer Station or Solid Waste
Management Facility including but not limited to the difference in the Price
per Ton, and DSNY’s personnel and transportation costs.

 

3.2.4                                                MSW Quantities Delivered to Transfer Stations and Solid Waste
Management Facilities.  During the term of the
Contract, DSNY estimates that it may deliver a minimum of approximately 100 TPD
of MSW to the Transfer Station or Solid Waste Management Facility designated by
a bidder, depending upon the amount awarded in the Contract, which will need to
be transported to and disposed of at a Disposal Facility located outside of the
City.  The tonnage set forth in the
Detailed Specifications is an approximate quantity, and is used solely to
provide a uniform basis for the comparison of the bids.  It is not to be considered as part of the
Contract.

 

3.2.4.1                                       It is expressly understood that DSNY
makes no representations or guarantees with respect to the tonnage and
composition of MSW to ‘be delivered to any Transfer Station or Solid Waste
Management Facility either on a daily basis, or an annual basis.

 

3.2.4.2                                       DSNY and its authorized representatives
may deliver MSW on any calendar day, 24 hours per day, to the Transfer Station
or Solid Waste Management Facility.  The
Contractor shall accept all of the MSW delivered to it by DSNY and its
authorized representatives for disposal. 
DSNY may, at its sole discretion, waive this provision if there is no
adverse operational impact, and DSNY and the Contractor agree on a day-to-day
operating schedule for the Transfer Station or Solid Waste Management
Facility of less than 24 hours per day.

 

3.2.4.3                                       The actual tonnage delivered to a
Transfer Station or Solid Waste Management Facility on any given day will
vary.  Peak tonnages, exceeding the
daily average tonnages allocated to the Transfer Station or Solid Waste
Management Facility by as much as 50% to 75%, can be expected to occur on
certain days during Holidays weeks, during weeks following snow storms or other
weather events, and on other occasions when regular DSNY collection is
disrupted or altered for any reason. 
Regardless the tonnage amount of its contract award, a Transfer Station
or Solid Waste Management Facility must accept all the MSW that DSNY delivers,
including peak tonnages, unless the tonnage of MSW

 

C-11

 

that DSNY delivers exceeds the permitted capacity of
the Transfer Station or Solid Waste Management Facility.

 

3.2.4.4                                       DSNY and its authorized representatives
are not required to deliver any MSW to a Transfer Station or Solid Waste
Management Facility on any given day, or at any time during the term of this Contract
or any extensions thereof.  In its sole
discretion, DSNY’s may cease delivery of MSW, at any time, for any reason,
without prior notice.  If DSNY and its
authorized representatives do not make any deliveries of MSW for at least 10
consecutive calendar days, the Contractor has no obligation to accept any
further deliveries MSW unless and until DSNY provides the Contractor with one
calendar day’s notice that DSNY and/or its authorized representatives will
resume delivery of MSW.

 

3.2.4.5                                       Notwithstanding the provisions of
Section 3.2.4.4, from 12 hours following the Contractor’s receipt of
notice from DSNY an Act of God that results in DSNY’s abandonment of its
collection operations to address the condition created by such Act of God
including but not limited to a weather emergency such as a snow emergency or a
hurricane until the earlier of: (a) 30 days after the cessation of the Act
of God, or (b) the date identified in DSNY’s notice to the Contractor as
the date upon which such deliveries pursuant to such Act of God (any such
delivery, an “Act of God Delivery”) may cease the DSNY may deliver and the
Transfer Station or Solid Waste Management Facility shall accept an Act of God
Delivery on any calendar day, 24 hours per day, including Sundays and City Holidays.
DSNY may, at its sole discretion, waive this provision if there is no adverse
operational impact.

 

3.2.4.6                                       A change in the amount of MSW delivered
to any Transfer Station or Solid Waste Management Facility shall not change the
Price per Ton that DSNY shall pay the Contractor.

 

3.2.5                                                Transfer Station and Solid Waste Management Facility Testing
Period.  During a 30 day period preceding full
operation, DSNY reserves the right without penalty to phase-in its deliveries
by delivering quantities of MSW that are less than the tonnage awarded to the
Contractor.  In DSNY’s sole discretion,
it may extend this testing period for up to an additional 30 days.

 

3.2.6                                                Title to MSW.  Title to,
and risk of loss of MSW shall pass to the Contractor upon its acceptance of the
MSW.  Acceptance of MSW shall be deemed
to occur when the MSW is dumped on the Contractor’s Transfer Station’s or Solid
Waste Management Facility’s tipping floor by a Collection Vehicle.

 

3.2.7                                                Queuing, Delay, and Rejection of Loads. 
Except as otherwise required by law, or as provided in
Section 3.2.8, no Contractor may reject any delivery of

 

C-12

 

MSW by a Collection Vehicle.  If
any of the conditions described hereinafter are present following the arrival
of a Collection Vehicle at a Transfer Station or Solid Waste Management
Facility, DSNY may choose to divert the MSW to another Transfer Station or
Solid Waste Management Facility and the Contractor shall be liable to DSNY for
the difference between DSNY’s cost of delivering the MSW to the Contractor’s
Transfer Station or Solid Waste Management Facility and all costs related to
delivery of the MSW to an alternative Transfer Station or Solid Waste
Management Facility including but not limited to the difference in Price per
Ton, and DSNY’s personnel and transportation costs:

 

3.2.7.1                                       The Transfer Station or Solid Waste
Management Facility is closed at the time of the arrival of a Collection
Vehicle;

 

3.2.7.2                                       The Contractor refuses to permit an
arriving Collection Vehicle to unload any portion of its contents at the
Transfer Station, or Solid Waste Management Facility except as provided in
Section 3.2.8;

 

3.2.7.3                                       DSNY receives a request from the
Contractor to divert any delivery to another Transfer Station or Solid Waste
Management Facility;

 

3.2.7.4                                       In the reasonable belief of DSNY, a
processing delay or excessive queuing of Collection Vehicles occurs; or

 

3.2.7.5                                       The Contractor allows other customers
that arrive after a Collection Vehicle to unload before the Collection Vehicle
is allowed to unload.

 

3.2.8                                                Inadvertent Delivery of Recyclables. 
Notwithstanding anything to the contrary contained in the Detailed
Specifications, no Contractor shall accept a delivery of a load of Recyclables
from a Collection Vehicle.  In the
unlikely event that such a mistaken delivery occurs, the Contractor shall
permit the Collection Vehicle to pass over the Weigh Scale without off-loading
such Recyclables.  Unless the Collection
Vehicle off loads the Recyclables on the tipping floor, in no event shall DSNY
pay for, or be responsible for the payment for the delivery of any Recyclables.

 

3.2.9                                                Voided Loads.  If for any
reason (including the inadvertent delivery of Recyclables) a Collection Vehicle
passes over the Weigh Scale without off-loading its contents, the Contractor
shall ensure that the load is voided, and DSNY shall incur no charge for the
voided load.  The Contractor shall be
responsible for providing Delivery Receipts for voided loads in accordance with
Section 3.3.6.

 

3.2.10                                          Load Inspection.  DSNY
reserves the right to divert a Collection Vehicle from the Transfer Station or
Solid Waste Management Facility tipping floor to

 

C-13

 

another part of the Transfer Station or Solid Waste Management Facility
to allow the inspection of the contents of the Collection Vehicle by an
individual or individuals accompanied by an authorized DSNY employee, or by a
City police officer for the purpose of locating lost or stolen items, or for
any other reason related to an ongoing police investigation.

 

3.2.11                                          Transfer Station and Solid Waste Management Facility Safety
Requirements.  In addition to all requirements established
by law, the Contractor shall:

 

3.2.11.1                                 Maintain safe travel conditions on all
Transfer Station or Solid Waste Management Facility roads and rights of way on
which Collection Vehicles may be expected to travel.  The conditions on all such roads and rights of way at a minimum
shall include but are not limited to: (a) adequately paved surfaces;
(b) suitable lighting of such roads and rights of way from dusk until
dawn, and during inclement weather, and (c) immediate removal and
clearance of all hazards including but not limited to ice, snow, oil, dirt, and
standing water from the roads and rights of way;

 

3.2.11.2                                 Provide sufficient personnel to direct
each and every Collection Vehicle entering the Transfer Station or Solid Waste
Management Facility.  Such personnel
shall assist Collection Vehicle drivers in safe backing and turning maneuvers,
and shall direct and control traffic to ensure that Collection Vehicles may
safely enter and exit the Transfer Station or Solid Waste Management Facility;

 

3.2.11.3                                 Post and maintain suitable traffic
control signs including but not limited to stop, yield, and speed limit signs;

 

3.2.11.4                                 Be responsible for ensuring that the
Contractor, its employees, agents, subcontractors, and representatives, shall
not operate any Collection Vehicles or any other DSNY equipment during the term
of the Contract and any extensions thereof.

 

3.2.12                                          Observed Transfer Station and Solid Waste Management Facility
Deficiencies.  DSNY reserves the right to inspect each
Transfer Station or Solid Waste Management Facility at any time without notice
to the Contractor for compliance with operational and safety requirements.  If a Contractor receives a notice of a
violation of any provision of Section 3.2 from DSNY, and fails to remedy
any deficiency identified in the notice within five working days from the date
of such notice, DSNY may, at its discretion, terminate the Contract for
default.

 

C-14

 

3.2.13                                          Closure of a Transfer Station or Solid Waste Management
Facility.  Notwithstanding anything to the contrary
contained in Article 11, Section 11.12 of the Supply and Service
Agreement (Module D), the Contractor shall have no right to apply to DSNY for
termination of its Contract if the Transfer Station or Solid Waste Management
Facility is closed for any length of time for any reason.  If a Transfer Station or Solid Waste
Management Facility is closed, the Contractor shall arrange for the processing
and acceptance of the City’s MSW at another Transfer Station or Solid Waste
Management Facility, and shall be responsible for any additional costs incurred
by DSNY as a result of such closure including but not limited to the difference
in the Price per Ton, and DSNY’s personnel and transportation costs, and the
cost of performing an environmental review, if required.  Failure to do so, may, at DSNY’s discretion,
result in the termination for cause of this Contract for an act of default.

 

3.3                               Weigh Scales and the Weighing of MSW at a Transfer Station.

 

3.3.1                                                Weigh Scales and the Weighing of MSW. 
The Contractor shall have one or more operational Weigh Scales at each
Transfer Station or Solid Waste Management Facility that shall have a length
equal to or greater than 60 feet, and shall be able to accommodate all of the
dimensions of all of the Collection Vehicles shown in Exhibit 3.  The Contractor shall weigh all incoming and
outgoing Collection Vehicles that transport MSW to a Transfer Station or Solid
Waste Management Facility, record the weight prior to unloading the MSW, and
after unloading the MSW, and give the weight to DSNY in accordance with
Section 3.3.2.  Throughout the term
of the Contract and any extensions thereof, the Contractor shall calibrate each
Weigh Scale from time to time, but in no event less than once every 30 days,
and provide the records of the calibration to DSNY within five business days of
receipt.  In addition, the Contractor
shall equip the Transfer Station or Solid Waste Management Facility with a
Weigh Scale Computer.  The Weigh Scale
Computer shall: (a) record the data required by Exhibit 5 (the “Delivery
Data”); and (b) deliver records of the recorded weight to DSNY
by electronic transmission on an hourly basis to the location designated in
writing by DSNY’s representative.  These
records shall be the official record of the weight of each load of MSW
delivered to the Transfer Station or Solid Waste Management Facility by DSNY
and its authorized representatives.  The
Weigh Scale Computer shall print the Delivery Data for each load of MSW onto a
Delivery Receipt, and onto all copies of such Delivery Receipt, a copy of which
is attached to the Detailed Specifications as Exhibit 6.

 

3.3.2                                                Weigh Scale Data.  For each
load of MSW delivered by a Collection Vehicle, the Contractor shall
electronically transmit the data set forth in Exhibit 5 of the
Detailed Specifications in the format designated in Exhibit 5 to DSNY on

 

C-15

 

an hourly basis.  The Weigh
Scale Computer shall assign the next load number to each load, in sequence,
without any omitted load numbers.  For
each invoice period, the Weigh Scale Computer shall transfer this data to a
floppy disk, or to an otherwise mutually acceptable portable computer data
storage medium, and the Contractor shall deliver it to DSNY along with such
invoice.

 

3.3.3                                                Certification of Weigh Scales.  The
Contractor shall be solely responsible for obtaining, or requiring the owner
and the operator of the Transfer Station or Solid Waste Management Facility to
obtain all of the required certifications and seals for the Weigh Scales at no
cost to DSNY.  During the term of the
Contract and any extensions thereof the Contractor shall provide DSNY with
documentation showing that the Contractor or the owner and the operator of the
Transfer Station or Solid Waste Management Facility have renewed the required
certifications and seals prior to the expiration of the existing certifications
and seals.

 

3.3.3.1                                       Within New York State.  Weigh Scales
at any Transfer Station or Solid Waste Management Facility located within the
State of New York shall meet the standards and specifications of
Article 16 of the New York State Agriculture and Markets Law as amended
with respect to weights and measures.

 

3.3.3.2                                       Within New York City.  No less
often than once every 12 calendar months, each Weigh Scale at a Transfer
Station within the City shall be certified and sealed by the New York City
Department of Consumer Affairs and the resulting documentation shall be
provided to DSNY within five working days of receipt by the Contractor, or by
the owner or the operator of the Transfer Station

 

3.3.3.3                                       Outside New York State.  Weigh Scales
at a Transfer Station or Solid Waste Management Facility located outside the
State of New York shall meet the standards and specifications of the state and
locality in which they are located.

 

3.3.4                                                Weigh Scale Observation and Testing. 
DSNY may observe the weighing of MSW and test the accuracy and precision
of any scale at a Transfer Station, or Solid Waste Management Facility
including the Weigh Scale Computer at any time without prior notice.  DSNY may authorize a representative or agent
to conduct the observation and testing, and assign the representative or agent
to the Transfer Station or Solid Waste Management Facility for that purpose.

 

C-16

 

3.3.5                                                Weigh Scale or Weigh Scale Computer Malfunction.

 

3.3.5.1                                       A Contractor shall immediately notify
DSNY of a Weigh Scale or Weigh Scale Computer Malfunction (a “Weigh Scale
Malfunction”) including but not limited to:

 

3.3.5.1.1                                          Failure of the Weigh Scale or the Weigh
Scale Computer to operate to specifications;

 

3.3.5.1.2                                          Failure to assign a sequential number to
each load delivered by DSNY or its authorized representatives;

 

3.3.5.1.3                                          Failure to provide a complete and legible
Delivery Receipt; or

 

3.3.5.1.4                                          Failure to calibrate and seal the Weigh
Scale as required by state or local law, rule or regulation, or to have the
required certifications and seals for the Weigh Scale renewed.

 

3.3.5.2                                       During any Weigh Scale Malfunction, the
Contractor shall accept DSNY’s reasonable estimate of the weight of the MSW as
the official record of the measurement. 
DSNY, at its option, may make its reasonable estimate at the sole
expense of the Contractor by weighing the Collection Vehicle at a DSNY facility,
or by using a weight derived from the daily average of all MSW delivered to the
Transfer Station or Solid Waste Management Facility by Collection Vehicles
during a period that DSNY determines is reasonable.  If a Weigh Scale Malfunction which causes the Contractor to be
unable to provide a complete Delivery Receipt continues for a period of 24
hours or longer, DSNY may, at its sole option, require a DSNY Supervisor to be
stationed at the Transfer Station or Solid Waste Management Facility to observe
Collection Vehicle deliveries of MSW during the remaining period of the Weigh
Scale Malfunction.  In addition to
liquidated damages and all other remedies available to DSNY, at law or in
equity, the Contractor shall be liable for all expenses incurred by DSNY during
the period that the Supervisor is stationed at the Transfer Station or Solid
Waste Management Facility including but not limited to the Supervisor’s salary
and benefits.  Alternatively, DSNY may
choose to deliver the MSW to another Transfer Station or Solid Waste Management
Facility, and the Contractor shall be liable for the difference between DSNY’s
cost of delivering such MSW to the Contractor’s Transfer Station or Solid Waste
Management Facility and all costs related to the delivery of the MSW to the
alternative Transfer Station or Solid Waste Management Facility including but
not limited to the difference in the Price per Ton, and personnel and
transportation costs.

 

3.3.6                                                Delivery Receipts.  After a
Collection Vehicle delivering MSW has been weighed by a Weigh Scale both prior
to and after dumping its load, the Weigh

 

C-17

 

Scale Computer shall record and print all Delivery Information on a
Delivery Receipt.  Prior to the
departure of the Collection Vehicle from the Transfer Station or Solid Waste
Management Facility, the Contractor shall obtain the signatures and print the
names of the Collection Vehicle driver and of the Contractors representative on
the Delivery Receipt, and shall give the Collection Vehicle driver a copy of
the Delivery Receipt.  No Delivery
Receipt shall be complete unless the Delivery Receipt includes: (a) all
Delivery Information with respect to the delivery printed by the Weigh Scale
Computer, and (b) the signatures and printed names of both the Collection
Vehicle driver and the Contractor’s representative, each of which shall be
obtained by the Contractor.  DSNY has
the right to withhold payment for any delivery for which the Contractor fails
to provide a complete Delivery Receipt including Delivery Receipts for any
loads voided in accordance with Section 3.2.9.

 

3.4                               Disposal Facility Operations

 

3.4.1                                                Disposal of MSW.  The
Contractor shall transport the MSW delivered by DSNY to, and dispose of it at
Disposal Facilities located outside of the City during the term of the Contract
and any extensions thereof in accordance with all of the applicable federal,
state and local laws, rules and regulations. 
The Contractor shall:

 

3.4.1.1                                       Bear all costs associated with the
disposal of MSW including but not limited to tipping fees, and the cost of
obtaining the use of each Disposal Facility;

 

3.4.1.2                                       Prepare each Disposal Facility to accept
MSW; and

 

3.4.1.3                                       Ensure that each Disposal Facility
complies with the terms of the Detailed Specifications, with all applicable
federal, state and local laws, rules and regulations, and is authorized to
accept MSW from the City.

 

3.4.2                                                Disposal Facility Requirements.  Each
Disposal Facility shall meet the requirements set forth hereinafter during the
term of the Contract and any extensions thereof:

 

3.4.2.1                                       Be located outside of the City;

 

3.4.2.2                                       Be subject to the jurisdiction of the
USEPA;

 

3.4.2.3                                       Possess all Permits and Authorizations
from the state and locality in which it is located which are required to
operate and accept the MSW tonnage which may be sent to it;

 

C-18

 

3.4.2.4                                       Be in compliance with, and operate in
accordance with all of the laws, rules and regulations applicable in the state
and locality in which it is located;

 

3.4.2.5                                       If not owned by the bidder, be the
subject of an agreement between the owner and the operator and the bidder to
use the Disposal Facility for the term of the Contract and any extensions
thereof; and

 

3.4.2.6                                       Be the subject of a Permit, Host
Community Agreement, or other authorization that authorizes the acceptance of
MSW at the Disposal Facility regardless of origin.

 

3.4.3                                                Disposal Facility Capacity.  The total
MSW disposal capacity at the Disposal Facilities shall be at least equal to the
tonnage of MSW being bid.  The
Contractor shall maintain this capacity of its Disposal Facilities throughout
the term of the Contract and any extensions thereof.

 

Following
the bid opening, and after the award of the Contract, DSNY has the right at any
time without notice to inspect the Disposal Facilities and verify that the
facilities continue to have the capacity to dispose of the tonnage that was
awarded to the Contractor, and DSNY may reduce the tonnage that will be
delivered to the Contractor’s Transfer Station or Solid Waste Management
Facility to an amount that DSNY reasonably believes that the Disposal
Facilities will be able to manage, even if that tonnage is less than the amount
awarded to the Contractor. In the event of such a reduction, the Contractor
shall be liable to DSNY for the difference between DSNY’s cost of delivering
such MSW to the Contractors Transfer Station or Solid Waste Management Facility
and all costs related to the delivery of MSW to an alternative Transfer Station
or Solid Waste Management Facility including but not limited to the difference
in the Price per Ton, personnel and transportation costs.

 

3.5                               Transporting MSW to a Disposal Facility

 

3.5.1                                                Transport Generally.  The
Contractor may transport the MSW to a Disposal Facility, by barge, rail car, or
truck or a combination of these modes of transportation.  The Contractor shall provide all barges,
Containers, rail cars, trucks, and other equipment that will be used to
transport the MSW to a Disposal Facility either directly or by subcontracting
with one or more transporters and suppliers of equipment, and shall have access
to a sufficient amount of transport equipment and transporters, and backup
equipment and transporters for each selected mode of transportation to ensure
that there is no downtime in connection with operations.  The Contractor shall pay all costs of
transporting the MSW including but not limited to equipment rental charges,
transporter charges, gas, maintenance, taxes, fees, fines, and tolls.

 

C-19

 

3.5.2                                                Storage Time.  MSW storage
time in or on a barge, Container, rail car, truck, or any other equipment used
for the transport of MSW shall not exceed the permissible limit under any
applicable federal, state or local laws, rules or regulations.

 

3.5.3                                                Sanitation.  The
Contractor shall maintain, and ensure that its transporters and subcontractors
maintain all barges, Containers, rail cars, trucks and other equipment used for
the transport of MSW in a clean and sanitary condition to prevent odors,
insects, rodents, vermin, vectors, or other nuisance conditions.  The Contractor, or its transporters or
subcontractors shall furnish and use its own equipment for this cleaning
operation.

 

3.5.4                                                Transport by Barge.  If the MSW
is transported by barge, the Contractor and its transporters and subcontractors
shall adhere to all federal, state and local laws, rules and regulations
applicable to transport by barge.

 

3.5.5                                                Transport by Rail.  If the MSW
is transported by rail, the Contractor and its transporters and subcontractors
shall adhere to all federal, state and local laws, rules and regulations
applicable to rail transport.

 

3.5.6                                                Transport by Truck.  If the MSW
is transported by truck:

 

3.5.6.1                                       Within the City, the Contractor and its
transporters and subcontractors shall ensure that all trucks adhere to
authorized truck routes within the City and do not deviate from these routes
unless specifically directed to do so by government authorities re-routing
traffic.  To the maximum extent
possible, trucks shall not travel on any local streets, or through any
residential area;

 

3.5.6.2                                       Outside of the City, the Contractor and
its transporters and subcontractors shall adhere to the laws, rules and
regulations governing truck transport in the states and localities through
which the trucks will travel and shall not deviate from these routes unless
specifically directed to do so by government authorities re-routing traffic;

 

3.5.6.3                                       The Contractor shall route, and ensure
that each of its transporters and subcontractors routes trucks on primary
highways, and to the maximum extent possible, away from local streets and
residential areas.  The Contractor shall
also route and ensure that each of its transporters and subcontractors routes
trucks away from environmentally sensitive areas such as parks, historic sites,
and wetlands to the maximum extent possible, in conformance with all applicable
federal, state and local laws, rules and regulations;

 

C-20

 

3.5.6.4                                       The Contractor shall load, and ensure
that each of its transporters and subcontractors loads each truck so that it is
within the weight limits established by the states and localities through which
the truck will travel; and

 

3.5.6.5                                       The Contractor shall ensure that both
doors of the truck cab clearly and visibly bear the name, address, and
telephone number of the transporter or subcontractor and a unique number in
lettering at least four inches high.

 

3.5.7                                                Safety.  The Contractor shall be
responsible for its own, and for each of its transporters’ and subcontractors’
safety, and for transporting MSW in conformance with all federal, state and
local laws, rules and regulations including but not limited to speed limits and
tonnage restrictions.  The Contractor
shall ensure that its own MSW transporting equipment and that of each of its
transporters and subcontractors is equipped with adequate fire extinguishing
equipment appropriate for the mode of transportation which is being used.

 

3.5.8                                                Inspection and Enclosure of Barges, Containers, Rail Cars,
Trucks, and Other Equipment.  As part of
the Contractor’s preventative maintenance program, the Contractor and its
transporters and subcontractors shall maintain all barges, Containers, rail
cars, trucks, and other equipment used for the transport of MSW.  The Contractor and its transporters and
subcontractors shall cover the MSW, whether in a barge, Container, rail car,
truck, or another type of transport equipment so that no material spills,
leaks, or is otherwise released.  The
Contractor shall inspect each barge, Container, rail car, truck, or other
equipment used for transporting the MSW prior to its departure from the
Transfer Station or Solid Waste Management Facility.  As part of each inspection, the Contractor shall ensure that all
doors and other apertures are secure. 
All MSW shall remain covered until it is unloaded at the Disposal
Facility.

 

3.5.9                                                MSW Spills.  If MSW
spills while a load is in transit, the Contractor shall implement its emergency
spill clean-up plan for that mode of transport, and shall immediately notify
the state police and other appropriate authorities as well as any federal,
state or local agencies responsible for supervising and monitoring clean-up
activities.  Failure to implement an
emergency spill clean-up plan within one hour of the spill, or to commence
clean-up operations within three hours of the spill may be cause for DSNY to
terminate the Contract for default.  The
Contractor shall immediately notify DSNY by telephone upon occurrence of the
spill, and shall provide DSNY with periodic reports on the status of the
clean-up operations.  The Contractor
shall pay all of the costs and expenses of the clean-up.

 

C-21

 

3.6                               General Operations Requirements.

 

3.6.1                                                Local Agent.  The
Contractor shall have an agent in New York City that shall be authorized to
accept all notices, and any service of process in connection with the Contract.

 

3.6.2                                                Local Office.  The
Contractor shall have an office at the Transfer Station or Solid Waste
Management Facility that serves as the base of operations for the
Contractor.  The Contractor shall
maintain in such office copies or originals of all records relating to the Contract
including but not limited to those records required pursuant to
Section 3.6.3.

 

3.6.3.                                             Record Keeping and Reporting.  The
Contractor shall maintain, in accordance with generally accepted accounting
principles, consistently applied, accurate, readily available, and auditable
records and accounts, with supporting documentation of: (a) all Weigh
Scale data; (b) the MSW tonnage delivered by the DSNY; (c) the
tonnage and site of disposal of all MSW delivered by the DSNY; (d) all receipts
and expenditures in connection with the performance of its obligations under
the Contract; (e) all financial accounts maintained, and transactions
undertaken in connection with the Contract relating to the disposition of the
MSW, and the invoices, receipts and expenditures therefor. The Contractor shall
maintain all records for at least six years after the date of the termination
of the Contract.

 

3.6.4                                                Access to Information.  The City or
its representatives shall have the right to conduct independent sampling and
analysis of any information including but not limited to records and accounts
at any time without notice.

 

3.6.5                                                Backup Equipment.  At no
additional expense to the City or DSNY, the Contractor shall provide sufficient
backup equipment to manage and provide services for all phases of the
Contract.  If any equipment provided
pursuant to the Detailed Specifications becomes unavailable or inoperable, the
Contractor shall promptly mobilize backup equipment to ensure smooth, continuous
operation.

 

3.6.6                                                The Contractor’s Responsibility for the Acts of Others. 
The Contractor shall be responsible for the acts of any person or firm
engaged to act on its behalf.  If an
obligation is imposed on the Contractor in the Detailed Specifications, the
Contractor shall ensure that its employees, agents, representatives,
subcontractors, and any person or firm acting on its behalf carry out and
fulfill the obligation.

 

3.6.7                                                Provision Required in Subcontracts. 
To ensure the performance of the services during the term of the
Contract, the Contractor shall insert the following language into each
agreement with the owner and the operator of a

 

C-22

 

Transfer Station, a Solid Waste Management Facility, a Disposal
Facility and any other processing facility which may be used in connection with
the Contract which is not owned and operated by the Contractor:

 

The parties to this Agreement acknowledge and agree that the New York
City Department of Sanitation (“DSNY”) is a third-party beneficiary of this
Agreement.

 

Accordingly,

 

If                                                                                                                   

NAME OF CONTRACTOR

 

(the “Contractor”) fails or is otherwise prevented from delivering
municipal solid waste for disposal under this Agreement for any reason,
including insolvency, then,

 

                                                                                                                   

NAME OF THE OWNER OF

THE TRANSFER STATION,

SOLID WASTE MANAGEMENT FACILITY.

DISPOSAL FACILITY OR

OTHER PROCESSING FACILITY

 

(the “Owner”) shall permit DSNY or its authorized agents and
representatives to deliver municipal solid waste from the City of New York to
the facility upon the same terms and conditions contained herein for the
delivery of municipal solid waste by the Contractor (including payment of the
same fees), until such time as the Contractor resumes operation and performance
under this Agreement.  The Owner agrees
that if DSNY declares the Contractor to be in default of its obligations under
its contract with the DSNY or terminates or otherwise cancels the contract, the
Owner shall, at the option of DSNY, execute a contract with DSNY to permit the
delivery of municipal solid waste from the City of New York to the facility on
terms and conditions not less favorable to the City of New York than those
contained in this Agreement.

 

IV.                                ITEMS
TO BE SUBMITTED BY BIDDERS

 

4.1                               The Bid Package.  The bidder
shall submit an original bid package, in a sealed container which is clearly
labeled as the original bid package (which shall be the formal and public bid),
and one copy of the bid package in a container which is clearly labeled as a

 

C-23

 

duplicate of the bid package. 
DSNY may deem a bid package which omits any of these items to be
non-responsive, and may reject the bid. 
The bid package shall contain:

 

4.1.1                                                Bid Sheet.  The Bid
Sheet.

 

4.1.2                                                Tax Affirmation.  The bidder
shall provide the Tax Affirmation.

 

4.1.3                                                Bid Security.  A Bid Bond
or Certified Check in the amount specified in Schedule A of the General
Specifications - General Conditions.

 

4.1.4                                                Supply and Service Employment Report. 
A Supply and Service Employment Report shall be completed by the bidder,
and each subcontractor identified in its bid.

 

4.1.5                                                Experience Questionnaires.  An
Experience Questionnaire shall be completed by the bidder, each member of a
joint venture or partnership (if applicable), and each subcontractor identified
in its bid.

 

4.1.6                                                VENDEX Questionnaires.  The bidder,
all of the principals of the bidder, each-corporation which has an ownership
interest in the bidder, each corporation which is affiliated with the bidder,
each corporation in which the bidder has an ownership interest, and each
subcontractor identified in the bid and all of the principals of each
subcontractor shall complete and submit to DSNY a separate VENDEX
Questionnaire.  A VENDEX Questionnaire
is included with the solicitation.

 

4.2                                 Bid Support Materials. 
For DSNY
to deem the bid responsive, each bidder shall submit two copies of the bid
support materials set forth hereinafter. 
DSNY may deem a bid which omits any of these items to be non-responsive,
and may reject it.  All bid support
materials shall be submitted in a sealed container.  Each container shall clearly identify the bid that it
accompanies, and whether it contains original or duplicate documents.  It shall include:

 

4.2.1                                                Chart.  A chart for the Transfer
Station or Solid Waste Management Facility, and each Disposal Facility
summarizing the following information:

 

4.2.1.1                                       A list of the names, addresses, and
telephone numbers of each Transfer Station or Solid Waste Management Facility,
and each Disposal Facility identified in its bid including its owner, and
operator, and a contact person at the facility;

 

4.2.1.2                                       The USEPA region in which the facility is
located;

 

4.2.1.3                                       The name, address and telephone number of
each federal, state and local regulatory agency and authority which has
jurisdiction over the facility,

 

C-24

 

or from which a Permit or
Authorization is required, and the name, title and telephone number of a
contact person at each agency or authority;

 

4.2.1.4                                       A list of all existing Permits and Authorizations
from regulatory agencies and authorities, stating the name of the agency or
authority which issued each Permit and Authorization, the date of issuance, the
date of expiration, and any conditions or restrictions in the Permit or
Authorization;

 

4.2.1.5                                       Any other relevant information.

 

4.2.2                                                Transfer Station or Solid Waste Management Facility
Throughput Chart.  A chart showing: (a) the daily
putrescible solid waste tonnage throughput managed at the Transfer Station or
Solid Waste Management Facility during the past calendar year, and (b) the
daily shift totals by shift for all inbound and outbound tonnage during the
second week of each month for the 12 months preceding the bid opening date.

 

4.2.3                                                Disposal Facility Throughput Chart. 
A chart for each Disposal Facility setting forth the total amount of
solid waste from all sources, categorized by type received, during each
calendar year from 1998 through 2001, and for January 2002 through
present.

 

4.2.4                                                Transfer Station or Solid Waste Management Facility and
Disposal Facility Capacity.  A chart for
each Transfer Station or Solid Waste Management Facility, and Disposal Facility
setting forth: (a) the Transfer Station’s or Solid Waste Management
Facility’s, or Disposal Facility’s total acreage; (b) the facility’s total
capacity including the maximum daily, weekly and monthly capacity authorized
for the receipt of MSW under the facility’s Permits and Authorizations;
(c) the Permit(s) or Authorization(s) in which such maximum capacities are
set forth; (d) the average amount of MSW currently accepted by the
Transfer Station or Solid Waste Management Facility, or Disposal Facility on a
daily, weekly, and monthly basis; (e) the amount of the City’s MSW that
the bidder proposes to deliver to each facility; and (f) any other
relevant information.

 

4.2.5                                                Descriptive Materials.  Descriptive
company materials and histories for the bidder and each of the subcontractors
identified in its bid demonstrating that the bidder complies with the
experience requirements set forth in Section 2.1.2.

 

4.2.6                                                A Preliminary Operations Plan.  The
preliminary Operations Plan shall be submitted in a binder.  The preliminary Operations Plan shall
describe in detail how the bidder intends to manage each shipment of MSW from
the time of delivery by DSNY or its authorized representatives to the Transfer
Station

 

C-25

 

or Solid Waste Management Facility until the time of final
disposal.  At its discretion, DSNY may
request that the bidder modify all or parts of the preliminary Operations Plan,
and submit the revised preliminary Operations Plan to DSNY for its review and
approval within 10 days of the date of such request.  If the bidder does not submit a revised preliminary Operations
Plan to DSNY within said time period, DSNY may determine that the bid is
non-responsive, and reject the bid.  The
preliminary Operations Plan shall include:

 

4.2.6.1                                       Copies of Permits and Authorizations. 
Copies of every Permit and Authorization that has been obtained for the
Transfer Station or Solid Waste Management Facility and each Disposal Facility,
and all documentation accompanying each Permit and Authorization.

 

4.2.6.2                                       Letter of Intent From the Owner and the Operator of a
Transfer Station or Solid Waste Management Facility. 
For any Transfer Station or Solid Waste Management Facility named in the
bid which is not owned and operated by the bidder, the bidder shall submit a
Letter of Intent from the owner and the operator of the Transfer Station or
Solid Waste Management Facility containing all of the information set forth in
Section 1.2.14.

 

4.2.6.3                                       Transfer Station or Solid Waste Management Facility
Operations and Maintenance Plan.  An
operations and maintenance plan for the Transfer Station or Solid Waste
Management Facility that at a minimum:

 

4.2.6.3.1                                          If the facility is located within the
State of New York, complies with the mandates of the New York State Department
of Environmental Conservation Solid Waste Management Facility Regulations (6
NYCRR Part 360) as amended, and the mandates set forth in the rules and
regulations adopted by any local agencies regulating the Transfer Station or
Solid Waste Management Facility.

 

4.2.6.3.2                                          If the facility is located outside of the
State of New York, complies with the law, rules and regulations governing the
operation of the Transfer Station or Solid Waste Management Facility in the
state and locality in which it is located.

 

4.2.6.3.3                                          If the facility is located outside of the
State of New York, includes a list and a map showing the truck routes approved
for use by vehicles operated by DSNY and its authorized representatives
traveling from the egress points from the City designated in Exhibit 1.

 

C-26

 

4.2.6.4                                       Transfer Station or Solid Waste Management Facility Blueprint. 
A blueprint, for the Transfer Station or Solid Waste Management Facility
that is current as of the bid opening date.

 

4.2.6.5                                       Proof of Ability to Transport MSW to a Disposal Facility. 
Evidence that the bidder or its subcontractors possess the necessary
equipment to transport MSW from the Transfer Station or Solid Waste Management
Facility (if applicable) to each Disposal Facility.  This evidence may include a Letter of Intent from one or more
transporters to supply the equipment or services required.

 

4.2.6.6                                       Disposal Facility Information.  The name,
address and telephone number of the owner, the operator, and a contact person
for each Disposal Facility named in the bid;

 

4.2.6.7                                       Letter of Intent From the Owner and the Operator of a
Disposal Facility.  For each Disposal Facility named in the bid
which is not owned and operated by the bidder, the bidder shall submit a Letter
of Intent from the owner and the operator of such Disposal Facility containing all
of the information set forth in Section 1.2.14.

 

4.2.6.8                                       State and Locality Permits and Authorizations, and Host
Community Agreements.  For each Disposal Facility named in its bid,
a copy of a state or local Permit or Authorization, or a Host Community
Agreement acceptable to DSNY which authorizes the Disposal Facility to accept
MSW regardless of origin.  In addition
the bidder shall include the name, title, address, and telephone number of one
or more persons employed by the jurisdiction issuing such Permit,
Authorization, or Host Community Agreement which authorizes the acceptance of
MSW regardless of origin whom DSNY may contact to verify such
authorization.  The bidder shall also
include an opinion letter from an attorney familiar with the laws, rules,
regulations, Permit and Authorization requirements, and the Host Community
Agreement applicable to the Disposal Facility that states that the Disposal
Facility may accept MSW regardless of origin including but not limited to the
specific language in such Permit, Authorization, or Host Community Agreement,
if applicable, which authorizes the acceptance of MSW regardless of
origin.  Such letter shall also set
forth any limitations or restrictions imposed by such regulatory agency or
authority on the acceptance of MSW for disposal by the facility.

 

4.3                               Items to be Submitted after Receipt of Notice of Award.

 

4.3.1                                                Insurance and Bonds.  Within 10
days after receipt of the Notice of Award the bidder shall submit any
performance bonds, payment bonds, and

 

C-27

 

certificates of insurance required by Schedule A of the General
Specifications - General Conditions. 
Failure to produce these items may result in a determination by DSNY
that the Notice of Award will be rescinded for failure to provide the required
bonds, or insurance.

 

4.3.2                                                Final Operations Plan.  Within 20
days after receipt of the Notice of Award the bidder shall submit an original
and one copy of the final Operations Plan. 
At its discretion, DSNY may request that the bidder modify all or parts
of the final Operations Plan and submit a revised final Operations Plan to DSNY
for its review and approval within five days of the date of such request.  Failure to submit a revised Operations Plan
within said time period, may result in a determination by DSNY that the Notice
of Award will be rescinded for failure to provide the required revised final
Operations Plan.  Upon DSNY’s acceptance
of the Contractor’s final Operations Plan, the final Operations Plan shall
become effective.  The final Operations
Plan shall include:

 

4.3.2.1                                       Revised Preliminary Operations Plan. 
The information required to be included in the preliminary Operations
Plan by Section 4.2.6, revised as appropriate;

 

4.3.2.2                                       Agreements with the Owner and the Operator of the Transfer
Station or Solid Waste Management Facility, and the Disposal Facility and MSW
Transporters.  Agreements between the bidder and the owner
and the operator of the Transfer Station or Solid Waste Management Facility,
each Disposal Facility and each transporter, if it is not owned and operated by
the bidder, which shall be for the term of the Contract and any extensions
thereof.  The Agreements shall include
at a minimum:

 

4.3.2.2.1                                          A statement that the owner and the operator
shall accept MSW from the City, or transport it;

 

4.3.2.2.2                                          All of the conditions and restrictions
which may be imposed upon the acceptance or transport of MSW from the City
either by the owner and the operator, or by any regulatory agency or authority
with jurisdiction over the Transfer Station, Solid Waste Management Facility,
Disposal Facility, or transporter;

 

4.3.2.2.3                                          The daily tonnage of MSW that the owner
and the operator anticipate accepting; and

 

4.3.2.2.4                                          The specific language in the facility’s
or the transporter’s Permits and Authorizations, or Host Community Agreement,
if applicable, which authorizes the owner and the operator to accept MSW from
the City.

 

C-28

 

4.3.2.3                                       Permits and Authorizations.  Copies of
all federal, state and local Permits and Authorizations necessary to perform
the work and services sought by this solicitation including those for the
Transfer Station or Solid Waste Management Facility, the Disposal Facility, and
the transport of MSW.

 

4.3.2.4                                       Host Community Agreement.  A copy of
the Host Community Agreement, if applicable, that authorizes the Disposal
Facility to accept MSW regardless of origin.

 

4.3.2.5                                       Transfer Station or Solid Waste Management Facility Emergency
Contingency Plan.  A copy of a plan to cope with emergencies at
the Transfer Station or Solid Waste Management Facility including but not
limited to power failures, fires, and the delivery of radioactive material.

 

4.3.2.6                                       Modes of MSW Transport, Containers, and Related Equipment. 
A complete description of all modes of MSW transport including but not
limited to barges, Containers, rail cars, trucks, and related equipment which
will be used to transport MSW from the Transfer Station or Solid Waste
Management Facility to a Disposal Facility. 
Each final Operations Plan shall identify the modes of MSW transport,
the names and addresses of all transporters (including but not limited to the
owners of barge transporters, railroads, and trucking companies) and the name, title,
address and telephone number of a contact person at each transporter.  The size, type, and capacity of barges,
Containers, rail cars, trucks, and other equipment which will be used for the
transport of MSW, and the schedule for transporting each shipment of MSW
from the Transfer Station or Solid Waste Management Facility to the Disposal
Facility shall also be included.

 

4.3.2.7                                       Barge, Rail or Truck Routes.  Details of
the routes that each mode of transport may take from the Transfer Station or
Solid Waste Management Facility to each Disposal Facility including but not
limited to the local streets which may be used if MSW is transported by truck
at any time.

 

4.3.2.8                                       Transport Emergency Clean-Up Plan. 
An emergency clean-up plan appropriate to each mode of MSW transport
describing in detail the procedures that the Contractor, transporter or
subcontractor shall follow if MSW spills during transport.

 

4.4                               Changes After Contract Award.

 

4.4.1                                                Changes in the Disposal Facility, Transporters, Modes of
Transporting MSW, or Subcontractors.  After award
of a Contract or the commencement

 

C-29

 

of work, the Contractor may only add, substitute or replace a Disposal
Facility, a transporter, the modes of transporting MSW, or any other
subcontractor with the prior written approval of DSNY.

 

4.4.1.1                                       To request such approval, the Contractor
shall submit a written request to DSNY accompanied by VENDEX Questionnaires
completed by the new Disposal Facility, the new transporter or any other
subcontractor, and its principals, and all of the applicable information and
documents listed in Sections 4.1.4, 4.1.5, 4.2.1, 4.2.2, 4.2.3 and 4.2.6.9, and
a Letter of Intent or an Agreement between the Contractor and the proposed
subcontractor, and any additional information or forms which may be requested
by DSNY, the New York City Business Integrity Commission, or the New York City
Department of Investigation.

 

4.4.1.2                                       DSNY, at its sole discretion, may refuse
to approve the Contractor’s request for a change.

 

4.4.1.3                                       If DSNY approves the Contractor’s
request, the Contractor shall be responsible for any additional costs to the
Contractor, and any additional costs that DSNY may incur as a result of the
changes.  The Contractor shall reimburse
DSNY for all additional costs incurred as a result of the change including but
not limited to personnel and transportation costs incurred by DSNY as a result
of the change.

 

4.4.2                                                Revised Final Operations Plan.  Within 20
calendar days of receipt of DSNY’s approval of the change, the Contractor shall
submit to DSNY a revised final Operations Plan with updated information
reflecting the addition, substitution, or replacement of the subcontractor.

 

4.4.3                                                Changes In Ownership.  After the
commencement of work, there may only be a change in the controlling interest of
any corporation, or a dissolution or change in the composition of any joint
venture or partnership providing services pursuant to this Contract with the
prior written approval of DSNY.

 

4.4.3.1                                       To request such approval, the Contractor
shall submit a written request to DSNY accompanied by VENDEX Questionnaires
which shall reflect the proposed change in the controlling interest of the
corporation, or the dissolution or change in the composition of the joint
venture or partnership, and any additional information and forms which may be
requested by DSNY, the New York City Business Integrity Commission, or the New
York City Department of Investigation.

 

4.4.3.2                                       DSNY, at its sole discretion, may refuse
to approve the Contractor’s request for a change.  DSNY, further reserves the right to terminate this Contract
pursuant to Article II of the agreement for convenience in the

 

C-30

 

event that the change in
the controlling interest in the corporation, or the dissolution or change in
the composition of the joint venture or partnership provides a basis for
determining that the Contractor does not meet all of the standards with respect
to responsibility, fitness and integrity set forth in the PPB Rules, and those
which may be established by the New York City Business Integrity Commission and
the New York City Department of Investigation.

 

4.4.4                                                Modifications of Permits and Authorizations. 
The Contractor shall provide DSNY with written notice of any change,
revision or modification of any Permit or Authorization issued to a Transfer
Station, Solid Waste Management Facility, or Disposal Facility within 48 hours
of the change, revision or modification. 
The Contractor shall provide DSNY with a copy of the change, revision or
modification within 20 days of receipt thereof, and a revised final Operations
Plan with updated information reflecting the change, revision or modification
of such Permit or Authorization.  In
addition, if such change, revision or modification was made in the Permit or
Authorization of the Disposal Facility, the Contractor shall provide an opinion
letter from an attorney familiar with the laws, rules and regulations, Permit
and Authorization requirements, and the Host Community Agreement, if
applicable, for Disposal Facility that sets forth the effect of such change,
revision or modification upon the opinion letter issued pursuant to
Section 4.2.6.9.

 

V.                                    PAYMENT INFORMATION

 

5.1                               Payment.

 

5.1.1                                                Basis for Payment.  DSNY shall
pay the Contractor the difference between:

 

5.1.1.1                                       The Price Per Ton based upon the net
weight of the MSW delivered by Collection Vehicles to the Transfer Station or
Solid Waste Management Facility during the period covered by the invoice; and

 

5.1.1.2                                       Any amounts that are due or owing to DSNY
by the Contractor under the terms of the Contract, including but not limited to
liquidated damages as set forth in Section 5.2.

 

5.1.1.3                                       DSNY shall only pay the Contractor at the
Price per Ton regardless of the amount of MSW delivered during any shift, or on
any day.

 

5.1.2                                                Invoicing.  For each
month during the term of the Contract, there shall be two invoice periods.  The first period shall extend from the first
of the month through the fifteenth of the month, and the second period shall
extend from the sixteenth of the month through the last day of the month.  No later than 10

 

C-31

 

calendar days following the end of the invoice period, the Contractor
shall submit an invoice for the services performed during the invoice period,
in exactly the form attached to the Detailed Specifications as Exhibit 7,
which shall contain all of the information included in such form.  If DSNY requests that the Contractor provide
additional information related to the Contract as part of its invoice, the
Contractor shall be obligated to provide the information.  DSNY may reject any invoice which does not
comply with these requirements, and the Contractor shall resubmit the corrected
or complete invoice during the next invoice period, clearly identifying the
invoice as being the resubmission of a previously rejected invoice.

 

5.1.3                                                Monthly Reporting Requirements.  Within 10
days after the end of each month, the Contractor shall submit a written report
to DSNY setting forth the tonnage and site of final disposal of all MSW
delivered to it by DSNY and its authorized representatives during the preceding
month.

 

5.1.4                                                Annual Reporting Requirements.  Within 20
business days of each anniversary of the commencement of work under the
Contract, the Contractor shall submit a written report to DSNY setting forth
the amount of the MSW delivered to each Disposal Facility during each month of
the reporting period, and providing such other information concerning the final
disposal of the MSW delivered to it by DSNY and its authorized representatives
as may be requested by DSNY.

 

5.2                               Liquidated Damages.

 

5.2.1                                                Liquidated Damages.  DSNY will
adjust the Contractor’s payment by liquidated damages of $300 for each time the
Contractor fails to comply with any of the terms of the Contract including but
not limited to those listed below:

 

5.2.1.1                                       Insufficient or untimely performance of
the Contract;

 

5.2.1.2                                       Failure to accept deliveries within the
times set forth in the Contract, or to process the number of Collection
Vehicles per hour set forth in Section 3.2.3;

 

5.2.1.3                                       Rejection of a delivery of MSW;

 

5.2.1.4                                       Violation of the Weigh Scale requirements
of Section 3.3;

 

5.2.1.5                                       Providing incomplete or illegible
Delivery Receipts including handwritten or manual Delivery Receipts without the
prior authorization of DSNY;

 

C-32

 

5.2.1.6                                       Failure to maintain complete records of
MSW deliveries, or to submit records or other information as set forth in the
Contract;

 

5.2.1.7                                       Overflow of MSW storage facilities;

 

5.2.1.8                                       Failure to update the final Operations
Plan as required by Sections 4.4.2 and 4.4.4; or

 

5.2.1.9                                       Violation of any of the transport
requirements of Section 3.5.

 

5.2.2                                                Liquidated Damages Not a Penalty. 
The parties agree that liquidated damages are not intended as a penalty,
but as an acknowledgment by the parties that actual damages in each case are
difficult or impossible to ascertain. 
DSNY’s failure to impose damages for any specific violation of the
Contract shall not be deemed a waiver of any provision of the Contract, nor
shall it be deemed a waiver of any right to impose damages as to other, or
future violations of any kind, nor of any other remedy +at law or in equity.

 

5.2.3                                                Payment of Liquidated Damages.  Any
liquidated damages due to DSNY shall become due and payable on the first day of
the month following the date upon which DSNY imposes them.  DSNY may exercise its right of set-off, and
deduct the amount of outstanding liquidated damages against amounts due and
owing the Contractor from DSNY.  If the
sum due and owing to the Contractor for performance under the Contract in any
month is less than the amount of liquidated damages payable to DSNY, the
Contractor shall pay the difference upon demand by DSNY.  Any liquidated damages unpaid to DSNY for
more than one month shall be subject to interest at prime rate in effect at the
Federal Reserve Bank of New York upon the date that the interest payment
obligation arose plus 2%.

 

C-33

 

NO TEXT ON
THIS PAGE

 

C-34

EXHIBIT 1

 

 

[MAP OF MANHATTAN]

 

 

[MAP OF BRONX]

 

 

[MAP OF QUEENS]

 

 

[MAP OF STATEN ISLAND]

 

EXHIBIT 2

 

 

New York City Department Of
Sanitation Transportation Model

 

NEW YORK CITY DEPARTMENT OF SANITATION

TRANSPORTATION MODEL

 

For contract awards and for operational management purposes, DSNY uses
a transportation modeling tool (the “Transportation Model”).  The Transportation Model identifies the
allocation mix that represents the lowest total cost to the City to transport
municipal solid waste (“MSW”) and recyclable materials (“Recyclables”)
from a sanitation district to a facility belonging to a vendor that accepts the
City’s MSW or Recyclables.

 

BACKGROUND

 

The two major costs for disposing of the city’s MSW and Recyclables are
the bid price per ton of the company that accepts the MSW or the Recyclables,
and the cost of transporting the material to a company’s Acceptance
Facility.  DSNY pays the private
companies who accept MSW or Recyclables based upon the tonnage DSNY delivers,
and DSNY incurs transportation costs in making deliveries to the vendor’s facility.  To estimate DSNY’s transportation cost, DSNY
developed the Transportation Model. 
DSNY will use the Transportation Model to award contracts during the
initial bid solicitation.  DSNY may also
use the Transportation Model to redistribute districts when collection patterns
change, or when a vendor’s contract terminates and DSNY must reassign the
amounts that a vendor was receiving among the remaining vendors.

 

For operational reasons, DSNY does not split any of its sanitation
districts.  If each bidder could accept
all of the material that DSNY could deliver, the lowest combination of bid
price and the transportation cost between each district and the facility would
determine the contract awards.  But
bidders do not have unlimited capacity – each bidder can accept only a specific
amount of MSW or Recyclables.  DSNY
visits the vendor’s facilities to verify that the facility can accept and
dispose of the amount of MSW or Recyclables named in the bid.

 

The Transportation Model considers four basic factors: (1) the bid
price per ton; (2) DSNY’s transportation cost per ton; (3) the tonnage of MSW
or Recyclables that each district produces; and (4) the bidder’s capacity
limits.  The combination of options that
permit DSNY to deliver MSW or Recyclables to facilities at the lowest total
cost to
the City will determine the contract awards.

 

TRANSPORTATION MODEL FACTORS

 

Distance Measurement (Dumping On-Shift or Off-Shift)

 

The starting point will be either the center of a district or the
district’s garage location, depending on each district’s historical collection
and dumping patterns.  If the collection
crew normally delivers the collected material to a facility (on-shift), DSNY
measures distance from the center of the district.  But if trucks usually return to the garage to await a second
shift of relay personnel to drive the truck to a facility (off-shift), DSNY
measures the distance from the

 

1

 

garage.  The transportation cost estimate for each
district will be a blended measurement of on-shift and off-shift deliveries,
depending on the district’s historical patterns.

 

Estimated Driving Distances and Travel Speed

 

DSNY uses latitude and longitude coordinates taken from MAPINFO (a
mapping software package) to derive the coordinates for each facility and each
district.  Once the coordinates have
been established, MAPINFO computes distances including bridges, and tunnel
crossings to produce a table giving the distances between each facility and
each district garage, and between each facility and the center of each
district.  The travel speed is also
taken into account.

 

Fuel Costs

 

DSNY periodically updates the Transportation Model to include current
fuel prices.

 

Bridge, Tunnel and Turnpike Costs and Queuing

 

Additional costs are associated with transporting materials on bridges,
in tunnels, and on turnpikes that charge tolls.  Besides the toll costs, time spent queuing at the toll booths has
an impact on the cost to DSNY to deliver materials.  DSNY assesses bridge, tunnel, and turnpike costs based on dollars
per bridge, dollars per tunnel, or dollars per exit path on the turnpike.

 

Truckshift Productivity - (Tons per Truckload)

 

The more tons per load, the less effect transportation costs per load
have on the cost per ton and on the total cost of the delivery.  The fewer tons per load, the more pronounced
the effect transportation costs have on the costs per ton and the total cost of
the delivery.  Some districts yield
heavily loaded trucks, while others produce lighter loads.

 

Personnel Costs

 

This is the added personnel cost of using a relay driver to drive a
truck from the district garage to the bidder’s facility and back to the
district garage after the first shift has collected the MSW or the
Recyclables.  DSNY periodically updates
salary levels.

 

Maintenance Costs

 

These are the additional truck maintenance costs caused by driving
between the district and the facility.

 

ASSIGNING DISTRICTS - EXAMPLES

 

Linear/Integer programming is a complex algorithm that determines the
optimal combination of options that minimize total cost within capacity
constraints.  The Transportation Model
uses this technique to determine the combination of districts and vendors that
represent

 

2

 

the lowest total cost to
the City for disposing of MSW and Recyclables. 
The examples given below apply equally to MSW and Recyclables.

 

Example A.

 

DSNY has 59 sanitation districts and many independent sources of large
amounts of MSW and Recyclables, such as schools and the courts.  Although not every bid solicitation is for
59 districts, the example given below is based upon that number.  In a Citywide procurement for MSW Acceptance
Facilities, 59 sanitation districts generate MSW, and each of the 59 districts
must be assigned to a bidder.  If 10
bidders submit bids, the Transportation Model will be run as follows:

 

(1)                                  The Transportation Model uses MAPINFO to calculate the distance from
each district to each bidder’s MSW Acceptance Facility.

 

(2)                                  Using the distance calculated above, the Transportation Model
calculates the transportation cost per ton between each district and each MSW
Acceptance Facility, using the factors described in the Transportation Model
Factors section above.  There are 590
different combinations of districts and facilities.

 

(3)                                  The Transportation Model then calculates an Allocation Factor for every
possible combination of a bidder and a district using the following formula:

 

	
  Allocation

  Factor

  	
   

  	
  =

  	
   

  	
  Bid Price per ton

  +

  DSNY’s Transportation Cost per Ton

  	
   

  	
  X

  	
   

  	
  Average
  Daily Amount of MSW Collected in the District (based upon DSNY historical
  data.)

  

 

The result is 590 Allocation
Factors.  Since DSNY cannot send the MSW
from a district that produces 100 tons of MSW a day to a bidder that can only
accept 75 tons, some of these 590 combinations may be impossible.

 

(4)                                  The Transportation Model then runs many thousands of possible
combinations of bidders and districts, using the Allocation Factors, until it
finds the combination  bidders and districts that
represent the lowest total cost to the City.

 

The Transportation Model will assign tonnage from districts to the
lowest responsive, responsible bidder or bidders in order to achieve the lowest total
cost to the City.

 

Example B.

 

The Transportation Model can yield some counter intuitive assignments
of districts to bidders.  In this
example, the bidders are located in the Bronx and New Jersey.  The lowest responsive, responsible bidder is
Bidder-1.

 

Bidder-1, located in the
Bronx near the East River, can accept 50 tons of MSW per day.  Bidder-1’s facility is in District A, which
produces 40 tons of MSW per day, and next to District B, which produces 10 tons
of MSW a day.  Without the
Transportation Model,

 

3

 

assigning these two districts
to Bidder-1 might seem to yield the lowest cost.  This might be the lowest cost for these two districts, but it
would not yield the lowest total cost to the City.

 

If each bidder is assigned
the districts closest to them, nearby districts will quickly fill the
facilities near the river.  This may
leave some other districts having to send large amounts of MSW to a facility
that is miles into New Jersey.  Because
these loads would have to go a very long distance and require crews to work
offshift, such deliveries would raise the total cost to the City significantly,
wiping out any savings achieved by assigning District A and District B to
Bidder-1.

 

The Transportation Model
considers such factors, and sends District A and District B to a more distant
facility and two other districts with 25 tons each to Bidder-1, resulting in
the lowest
total cost to the City.

 

4

EXHIBIT 3

 

 

New York City Department of
Sanitation Transportation Model

 

	
   

  	
   

  	
  HEIGHT

  	
   

  	
  LENGTH

  	
   

  	
  WIDTH

  	
   

  	
  TURNING

  RADIUS

  	
   

  	
  TARE

  WEIGHT

  	
   

  	
  EXTENDED

  HOPPER

  DUMP

  POSITION

  	
   

  	
  WHEEL

  BASE

  	
   

  	
  LENGTH

  FOR

  SCALE

  	
   

  
	
  COLL. TK. ALLEY 10 YD.

  	
   

  	
  11’ 2”

  	
   

  	
  21’10”

  	
   

  	
  7’ 4”

  	
   

  	
  27’ 1”

  	
   

  	
  10.0

  	
   

  	
  16’ 3”

  	
   

  	
  10’ 0”

  	
   

  	
  13’ 6”

  	
   

  
	
  COLL. TK. ALLEY 20 YD.

  	
   

  	
  10’ 8”

  	
   

  	
  26’ 9”

  	
   

  	
  8’ 6”

  	
   

  	
  27’ 8”

  	
   

  	
  12.9

  	
   

  	
  16’ 8”

  	
   

  	
  13’ 7”

  	
   

  	
  17’ 6”

  	
   

  
	
  COLL. CABLE TK. 25 YD.

  	
   

  	
  11’ 6”

  	
   

  	
  32’ 8”

  	
   

  	
  8’ 9”

  	
   

  	
  29’ 0”

  	
   

  	
  19.2

  	
   

  	
  21’ 0”

  	
   

  	
  15’ 1”

  	
   

  	
  21’ 0”

  	
   

  
	
  COLL. BPX TK. 25 YD.

  	
   

  	
  11’ 6”

  	
   

  	
  34’10”

  	
   

  	
  8’10”

  	
   

  	
  29’ 0”

  	
   

  	
  21.7

  	
   

  	
  17’11”

  	
   

  	
  15’ 1”

  	
   

  	
  21’ 0”

  	
   

  
	
  COLL. TK. 20 YD.

  	
   

  	
  11’ 3”

  	
   

  	
  29’ 9”

  	
   

  	
  8’10”

  	
   

  	
  26’6” – 29’0”

  	
   

  	
  15.9 – 16.3

  	
   

  	
  17’ 7”

  	
   

  	
  14’ 6”

  	
   

  	
  17’ 8”

  	
   

  
	
  COLL. TK. 25 YD.

  	
   

  	
  11’ 6”

  	
   

  	
  34’ 7”

  	
   

  	
  8’10”

  	
   

  	
  29’0” – 34’2”

  	
   

  	
  18.3 – 19.5

  	
   

  	
  18’ 0”

  	
   

  	
  15’ 4”

  	
   

  	
  21’ 0”

  	
   

  
	
  DUMP TK 16 YD.

  	
   

  	
  10’ 0”

  	
   

  	
  29’10”

  	
   

  	
  8’ 7”

  	
   

  	
  <45’

  	
   

  	
  14.7

  	
   

  	
  18’ 6”

  	
   

  	
  18’ 6”

  	
   

  	
  24’ 0”

  	
   

  
	
  DUMP TK 18 YD.

  	
   

  	
  10’ 5”

  	
   

  	
  29’10”

  	
   

  	
  8’ 7”

  	
   

  	
  40’ 4”

  	
   

  	
  14.9

  	
   

  	
  18’ 8”

  	
   

  	
  18’ 6”

  	
   

  	
  25’ 0”

  	
   

  
	
  DUMP TK 20 YD.

  	
   

  	
  9’ 6”

  	
   

  	
  20’ 4”

  	
   

  	
  8’ 5”

  	
   

  	
  40’ 4”

  	
   

  	
  15.0

  	
   

  	
  18’10”

  	
   

  	
  18’ 7”

  	
   

  	
  25’ 0”

  	
   

  
	
  E.Z. PACKS

  	
   

  	
  12’ 7”

  	
   

  	
  32’ 4”

  	
   

  	
  8’ 8”

  	
   

  	
  34’ 0”

  	
   

  	
  18.7

  	
   

  	
  15’10”

  	
   

  	
  17’ 6”

  	
   

  	
  23’ 4”

  	
   

  
	
  RO/RO

  	
   

  	
  11’ 0”

  	
   

  	
  36’ 0”

  	
   

  	
  9’ 0”

  	
   

  	
  <48’

  	
   

  	
  16.2

  	
   

  	
  16’ 6”

  	
   

  	
  21’ 7”

  	
   

  	
  28’ 0”

  	
   

  
	
  TRACTOR TRAILER

  	
   

  	
  11’ 0”

  	
   

  	
  61’10”

  	
   

  	
  8’ 8”

  	
   

  	
  <40’

  	
   

  	
  32.1

  	
   

  	
  N/A

  	
   

  	
  42’ 6”

  	
   

  	
  56’ 0”

  	
   

  

 

EXHIBIT

 

EXHIBIT 4

 

[Tables and Charts Showing the Variations in Tonnage Delivered to the
Private Transfer Stations

During Fiscal Year 2002]

 

EXHIBIT 5

 

 

	
  A.       Department Truck Upload

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  (1)

  	
   

  	
  Record Type

  	
   

  	
  1-1

  	
   

  	
  A1

  	
   

  	
  ‘D’
  (department truck)

  
	
  (2)

  	
   

  	
  Dump Date

  	
   

  	
  2-9

  	
   

  	
  N8

  	
   

  	
  yyymmdd
  (=out date)

  
	
  (3)

  	
   

  	
  Dump time

  	
   

  	
  10-15

  	
   

  	
  N6

  	
   

  	
  hhmmss (=out
  date)

  
	
  (4)

  	
   

  	
  Load Number

  	
   

  	
  16-19

  	
   

  	
  N4

  	
   

  	
  0001-1000
  (manual load

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1001-9000 (computer load)

  
	
  (5)

  	
   

  	
  Weight Type

  	
   

  	
  20

  	
   

  	
  N1

  	
   

  	
  1=computer
  actual

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  2=entered
  (from scale readout)/man

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  3=entered
  stat w. est. Net wgt/man

  
	
  (6)

  	
   

  	
  Laden Weight

  	
   

  	
  21-25

  	
   

  	
  N5

  	
   

  	
  in pounds

  
	
  (7)

  	
   

  	
  Timestamp In

  	
   

  	
  26-39

  	
   

  	
  N14

  	
   

  	
  yyyymmddhhmmss

  
	
  (8)

  	
   

  	
  Unladen Wgt

  	
   

  	
  40-44

  	
   

  	
  N5

  	
   

  	
  in pounds

  
	
  (9)

  	
   

  	
  Receipt
  Number

  	
   

  	
  45-51

  	
   

  	
  N7

  	
   

  	
   

  
	
  (10)

  	
   

  	
  Scale ID

  	
   

  	
  52-55

  	
   

  	
  A4

  	
   

  	
  to be
  determined

  
	
  (11)

  	
   

  	
  Weigmaster
  ID

  	
   

  	
  56-61

  	
   

  	
  A6

  	
   

  	
   

  
	
  (12)

  	
   

  	
  Net Weight

  	
   

  	
  62-65

  	
   

  	
  N4

  	
   

  	
  in tons
  99v99 (for weight type=3 only)

  
	
  (13)

  	
   

  	
  Truck ID

  	
   

  	
  66-72

  	
   

  	
  A7

  	
   

  	
  xxxx999

  
	
  (14)

  	
   

  	
  Material
  Type

  	
   

  	
  73-74

  	
   

  	
  N2

  	
   

  	
   

  
	
  (15)

  	
   

  	
  Filler

  	
   

  	
  75-150

  	
   

  	
  A76

  	
   

  	
  blanks

  
	
   

  	
   

  	
   

  	
   

  	
  Total

  	
   

  	
  150

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  B.       Non-Department Truck Upload

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  (1)

  	
   

  	
  Record Type

  	
   

  	
  1-1

  	
   

  	
  A1

  	
   

  	
  ‘N’ (non-DS
  truck)

  
	
  (2)

  	
   

  	
  Dump Date

  	
   

  	
  2-9

  	
   

  	
  N8

  	
   

  	
  yyyymmdd
  (=out date)

  
	
  (3)

  	
   

  	
  Dump time

  	
   

  	
  10-15

  	
   

  	
  N6

  	
   

  	
  hhmmss (=out
  date)

  
	
  (4)

  	
   

  	
  Load Number

  	
   

  	
  16-19

  	
   

  	
  N4

  	
   

  	
  0001-1000
  (manual load)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1001-9000 (computer load

  
	
  (5)

  	
   

  	
  Weight Type

  	
   

  	
  20-20

  	
   

  	
  N1

  	
   

  	
  1=computer
  actual

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  2=entered
  (from scale readout)/man

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  3=entered
  stat w. est. Net wgt/man

  
	
  (6)

  	
   

  	
  Laden Weight

  	
   

  	
  21-25

  	
   

  	
  N5

  	
   

  	
  in pounds

  
	
  (7)

  	
   

  	
  Timestamp In

  	
   

  	
  26-39

  	
   

  	
  N14

  	
   

  	
  yyyymmddhhmmss

  
	
  (8)

  	
   

  	
  Unladen Wgt

  	
   

  	
  40-44

  	
   

  	
  N5

  	
   

  	
  in pounds

  
	
  (9)

  	
   

  	
  Receipt
  Number

  	
   

  	
  45-51

  	
   

  	
  N7

  	
   

  	
   

  
	
  (10)

  	
   

  	
  Scale ID

  	
   

  	
  52-55

  	
   

  	
  A4

  	
   

  	
  to be
  determined

  
	
  (11)

  	
   

  	
  Weigmaster
  ID

  	
   

  	
  56-61

  	
   

  	
  A6

  	
   

  	
   

  
	
  (12)

  	
   

  	
  Net Weight

  	
   

  	
  62-65

  	
   

  	
  N4

  	
   

  	
  in tons
  99v99 (for weight type=3 only)

  
	
  (13)

  	
   

  	
  Account Type

  	
   

  	
  66-67

  	
   

  	
  A2

  	
   

  	
   

  
	
  (14)

  	
   

  	
  Permit
  Number

  	
   

  	
  68-72

  	
   

  	
  A5

  	
   

  	
   

  
	
  (15)

  	
   

  	
  Cubic Yards

  	
   

  	
  73-74

  	
   

  	
  N2

  	
   

  	
   

  
														

 

 

	
  (16)

  	
   

  	
  Badge Number

  	
   

  	
  75-79

  	
   

  	
  N5

  	
   

  	
   

  
	
  (17)

  	
   

  	
  Badge Entry
  Code

  	
   

  	
  80-80

  	
   

  	
  A1

  	
   

  	
  ‘S’=scanned,
  ‘e’=entered

  
	
  (18)

  	
   

  	
  Project Code

  	
   

  	
  81-83

  	
   

  	
  N3

  	
   

  	
  when
  applicable

  
	
  (19)

  	
   

  	
  License
  Plate

  	
   

  	
  84-93

  	
   

  	
  A10

  	
   

  	
   

  
	
  (20)

  	
   

  	
  Container ID

  	
   

  	
  94-103

  	
   

  	
  A10

  	
   

  	
   

  
	
  (21)

  	
   

  	
  Filler

  	
   

  	
  104-150

  	
   

  	
  A47

  	
   

  	
  blanks

  
	
   

  	
   

  	
   

  	
   

  	
  Total

  	
   

  	
  150

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

Note:      Common data in
positions 2-65, application specific in positions 1 and 1-150

 

EXHIBIT 6

 

[Delivery Receipt]

 

EXHIBIT 7

 

[Contractor’s Invoice]

 

 

MODULE D:

 

SERVICE AND SUPPLY AGREEMENT

 

TERMS OF THE AGREEMENT

 

 

SUPPLY AND
SERVICE AGREEMENT - NEW YORK CITY 

DEPARTMENT OF SANITATION

 

TABLE OF CONTENTS

 

	
  ARTICLE
  1 - THIS AGREEMENT AND ITS DEFINITIONS

  	
   

  
	
   

  	
  1.1

  	
  Parts
  of the Contract

  	
   

  
	
   

  	
  1.2

  	
  Conflicts

  	
   

  
	
   

  	
  1.3

  	
  Definitions

  	
   

  
	
   

  	
   

  
	
  ARTICLE
  2 - PERIOD OF PERFORMANCE AND TIME PROVISIONS

  	
   

  
	
   

  	
   

  	
   

  
	
  ARTICLE 3 - SCOPE
  OF CONTRACT WORK

  	
   

  
	
   

  	
  3.1

  	
  Contract Work to be
  Performed

  	
   

  
	
   

  	
  3.2

  	
  Contract
  Changes

  	
   

  
	
   

  	
   

  
	
  ARTICLE 4 -
  PAYMENT AND LIQUIDATED DAMAGES

  	
   

  
	
   

  	
   

  	
   

  
	
  ARTICLE 5 -
  LIABILITY OF CONTRACTOR

  	
   

  
	
   

  	
  5.1

  	
  General
  Liability

  	
   

  
	
   

  	
  5.2

  	
  Protection of City Property

  	
   

  
	
   

  	
  5.3

  	
  Infringements

  	
   

  
	
   

  	
  5.4

  	
  Indemnification

  	
   

  
	
   

  	
   

  	
   

  
	
  ARTICLE
  6 - INSURANCE, PAYMENT AND PERFORMANCE BONDS

  	
   

  
	
   

  	
  6.1

  	
  Performance And Payment
  Bonds (When Called For by the Solicitation Documents)

  	
   

  
	
   

  	
  6.2

  	
  Insurance Agreements in
  General

  	
   

  
	
   

  	
  6.3

  	
  Retained
  Percentage If Required in Schedule A

  	
   

  
	
   

  	
   

  	
   

  
	
  ARTICLE 7 -
  PROVISIONS RELATING TO LABOR

  	
   

  
	
   

  	
  7.1

  	
  Supervision by Contractor

  	
   

  
	
   

  	
  7.2

  	
  Prohibited Acts

  	
   

  
	
   

  	
  7.3

  	
  Notice
  of Labor Disputes

  	
   

  
	
   

  	
  7.4

  	
  New
  York State Labor Law

  	
   

  
	
   

  	
  7.5

  	
  Minimum Wage And
  Working Conditions

  	
   

  
	
   

  	
  7.6

  	
  Non-Discrimination (E.O.
  50)

  	
   

  
	
   

  	
  7.7

  	
  Equal Employment And
  Affirmative Action Compliance for Non-Construction Consultants

  	
   

  
	
   

  	
  7.8

  	
  City
  Administrative Code Non-discrimination Requirements

  	
   

  
	
   

  	
   

  
	
  ARTICLE 8 - BOOKS AND
  RECORDS

  	
   

  
	
   

  	
  8.1

  	
  Maintenance

  	
   

  
	
   

  	
  8.2

  	
  Retention
  of Records

  	
   

  
	
   

  	
  8.3

  	
  No Removal of
  Records From Premises

  	
   

  
	
   

  	
  8.4

  	
  Audit
  by DSNY And the City

  	
   

  
					

 

D-i

 

	
  ARTICLE 9 -
  REPRESENTATIONS AND WARRANTIES

  	
   

  
	
   

  	
  9.1

  	
  Procurement
  of Contract

  	
   

  
	
   

  	
  9.2

  	
  Conflict
  of Interest

  	
   

  
	
   

  	
  9.3

  	
  Fair Practice

  	
   

  
	
   

  	
   

  	
   

  
	
  ARTICLE 10 -
  COVENANTS OF THE CONTRACTOR

  	
   

  
	
   

  	
  10.1

  	
  Employees of the Contractor

  	
   

  
	
   

  	
  10.2

  	
  Independent Contractor
  Status

  	
   

  
	
   

  	
  10.3

  	
  Confidentiality

  	
   

  
	
   

  	
  10.4

  	
  Compliance
  With Law

  	
   

  
	
   

  	
  10.5

  	
  Investigation
  Clause

  	
   

  
	
   

  	
  10.6

  	
  Assignment of this
  Contract

  	
   

  
	
   

  	
  10.7

  	
  Subcontracting

  	
   

  
	
   

  	
  10.8

  	
  Publicity

  	
   

  
	
   

  	
  10.9

  	
  Participation
  in an International Boycott

  	
   

  
	
   

  	
  10.10

  	
  Inventions,
  Patents And Copyrights

  	
   

  
	
   

  	
  10.11

  	
  Anti-trust

  	
   

  
	
   

  	
  10.12

  	
  Political
  Activity

  	
   

  
	
   

  	
  10.13

  	
  Clean
  Air Provisions

  	
   

  
	
   

  	
   

  	
   

  
	
  ARTICLE
  11 - TERMINATION

  	
   

  
	
   

  	
  11.1

  	
  Termination for Convenience

  	
   

  
	
   

  	
  11.2

  	
  Termination
  for Cause

  	
   

  
	
   

  	
  11.3

  	
  Conversion
  of Termination for Cause to Termination for Convenience

  	
   

  
	
   

  	
  11.4

  	
  Termination
  Generally

  	
   

  
	
   

  	
   

  
	
  ARTICLE
  12 - RESOLUTION OF DISPUTE ARISING OUT OF CONTRACT ADMINISTRATION

  	
   

  
	
   

  	
   

  
	
  ARTICLE 13 - MISCELLANEOUS

  	
   

  
	
   

  	
  13.1

  	
  Choice of Law,
  Consent to Jurisdiction and Venue

  	
   

  
	
   

  	
  13.2

  	
  General Release

  	
   

  
	
   

  	
  13.3

  	
  Claims and Actions Thereon

  	
   

  
	
   

  	
  13.4

  	
  No
  Claim Against Officers, Agents or Employees

  	
   

  
	
   

  	
  13.5

  	
  Waiver

  	
   

  
	
   

  	
  13.6

  	
  Notice

  	
   

  
	
   

  	
  13.7

  	
  All Legal
  Provisions Deemed Included

  	
   

  
	
   

  	
  13.8

  	
  Severability

  	
   

  
	
   

  	
  13.9

  	
  Section Headings

  	
   

  
	
   

  	
  13.10

  	
  No Estoppel

  	
   

  
	
   

  	
   

  
	
  ARTICLE
  14 - APPROVALS

  	
   

  
	
   

  	
  14.1

  	
  Approval by the City
  of New York

  	
   

  
	
   

  	
  14.2

  	
  Contract
  Subject to Review by the Financial Control Board

  	
   

  
	
   

  	
  14.3

  	
  Other Approvals or
  Authorization

  	
   

  
					

 

D-ii

 

	
  ARTICLE
  15 - CONTRACT SUBJECT TO THE PPB RULES

  	
   

  
	
   

  	
   

  
	
  ARTICLE 16 - ENTIRE
  AGREEMENT

  	
   

  
	
   

  	
   

  
	
  ARTICLE 17 - MACBRIDE
  PRINCIPALS

  	
   

  

 

D-iii

 

DEPARTMENT OF SANITATION

CITY OF NEW YORK

SUPPLY AND SERVICE AGREEMENT

 

THIS CONTRACT made
and entered into this19 day of September, 2003 by and between the City of New
York acting by and through the Department of Sanitation (“DSNY”), located at 125 Worth
Street, New York, N.Y. 10013, Room 710, and (the “Contractor”) IESI NY CORPORATION
located at 2 Commerce St., Bayonne, NJ 
07002.

 

WITNESSETH:

 

The parties in consideration of
the mutual agreements contained in this Agreement, agree as follows:

 

ARTICLE 1 - THIS AGREEMENT AND ITS DEFINITIONS

 

1.1          Parts of the Contract

 

Except
for titles, subtitles, headings, section headings, tables of contents, and
indexes (all of which are printed in this Agreement and any other document
included in the Contract merely for convenience) the following, except for such
portions thereof as may be specifically excluded, are part of the Contract:

 

	
  1.1.1

  	
   

  	
  This Agreement and all of its exhibits;

  
	
   

  	
   

  	
   

  
	
  1.1.2

  	
   

  	
  The Advertisement;

  
	
   

  	
   

  	
   

  
	
  1.1.3

  	
   

  	
  The Information for Bidders;

  
	
   

  	
   

  	
   

  
	
  1.1.4

  	
   

  	
  All Addenda issued by the Commissioner prior to the receipt of bids;

  
	
   

  	
   

  	
   

  
	
  1.1.5

  	
   

  	
  The Bid;

  
	
   

  	
   

  	
   

  
	
  1.1.6

  	
   

  	
  The General Conditions;

  
	
   

  	
   

  	
   

  
	
  1.1.7

  	
   

  	
  Schedule
  A;

  
	
   

  	
   

  	
   

  
	
  1.1.8

  	
   

  	
  The Scope of Work (which may also be referred to as the
  Specifications), included in the solicitation package as Module C;

  
	
   

  	
   

  	
   

  
	
  1.1.9

  	
   

  	
  The Contract Drawings (if any);

  

 

D-1

 

	
  1.1.10

  	
   

  	
  The Procurement Policy Board Rules of the City, as amended.  In the event of a conflict between the
  Procurement Policy Board Rules and any other provision of this Contract the
  Procurement Policy Board Rules shall take Precedence.

  
	
   

  	
   

  	
   

  
	
  1.1.11

  	
   

  	
  All provisions required by law to be inserted in this Contract,
  whether actually inserted or not;

  
	
   

  	
   

  	
   

  
	
  1.1.12

  	
   

  	
  The Budget Director’s Certificate or Mayor’s Certificate as to
  funding;

  
	
   

  	
   

  	
   

  
	
  1.1.13

  	
   

  	
  Payment and Performance Bonds, if required by the solicitation;

  

 

D-2

 

	
  1.3.10

  	
   

  	
  City
  Chief Procurement Officer.  The New York City Chief Procurement
  Officer, the person delegated authority by the Mayor of the City of New York
  to coordinate and oversee procurement activities within mayoral agency staff
  including the Agency Chief Contracting Officers (ACCOs) and any offices which
  have oversight responsibility for the procurement of construction, computer
  and computer services.

  
	
   

  	
   

  	
   

  
	
  1.3.11

  	
   

  	
  City. 
  The City of New York.

  
	
   

  	
   

  	
   

  
	
  1.3.12

  	
   

  	
  Commissioner.  The Commissioner of Sanitation of the City of New
  York, or his or her authorized representative.

  
	
   

  	
   

  	
   

  
	
  1.3.13

  	
   

  	
  Comptroller. 
  The Comptroller of the City of New York or his or her duly authorized
  representative.

  
	
   

  	
   

  	
   

  
	
  1.3.14

  	
   

  	
  Contract. 
  A written agreement between the City and a supplier, in an amount
  generally in excess of the small purchase limits, that gives rise to
  obligations that are enforced and recognized by law.  The parts of this Contract are listed in
  Section 1.1 of this Agreement.

  
	
   

  	
   

  	
   

  
	
  1.3.15

  	
   

  	
  Contract
  Drawings.  Those drawings specifically entitled as
  such and listed in the Specifications or in any addendum, or any detailed
  drawings furnished in connection with this Contract.

  
	
   

  	
   

  	
   

  
	
  1.3.16

  	
   

  	
  Contract
  Modification.  Any alteration in specifications, delivery
  point, rate of delivery, period of performance, price, quantity, or other
  provisions of any contract signed and approved by the proper authorities, as
  required by law or rule.  It must be
  written, and, if required, approved by Corporation Counsel.  In addition, all contract changes, change
  orders, amendments, modifications and time extension shall be presented to
  the Comptroller for registration.

  
	
   

  	
   

  	
   

  
	
  1.3.17

  	
   

  	
  Contract
  Work.  Everything required to be provided and
  performed by the Contractor under this Contract, as more particularly set out
  in the Specifications, including, but not limited to, work, services and
  supplies.

  
	
   

  	
   

  	
   

  
	
  1.3.18

  	
   

  	
  Contracting
  Officer.  Any person duly authorized to enter into
  or to administer contracts and make written determinations with respect
  thereto. The term also includes an authorized representative acting within
  limits of authority.

  
	
   

  	
   

  	
   

  
	
  1.3.19

  	
   

  	
  Contractor. 
  The entity that has contracted with DSNY to perform this Contract, its
  successors, personal representatives, executors, administrators, assigns, and
  any successor contractor that is substituted for the Contractor to which this
  Contract was initially awarded.  Although
  the Contractor may be a corporation, a firm, a consultant, an individual, or
  a joint venture, the neutral 

  

 

D-3

 

	
   

  	
   

  	
  pronoun it is used to refer to the Contractor in this Agreement when
  a pronoun is appropriate.

  
	
   

  	
   

  	
   

  
	
  1.3.20

  	
   

  	
  Detailed
  Specifications.  The detailed work requirements tailored
  to the Contract and attached in Module C.

  
	
   

  	
   

  	
   

  
	
  1.3.21

  	
   

  	
  DSNY.  The Department of Sanitation of the City of New
  York, acting by and through the Commissioner of the Department of Sanitation
  or his or her duly authorized representative.

  
	
   

  	
   

  	
   

  
	
  1.3.22

  	
   

  	
  Engineer
  or Architect.  The DSNY engineer or architect in
  charge of the Contract Work.

  
	
   

  	
   

  	
   

  
	
  1.3.23

  	
   

  	
  E.O.
  50.  Executive Order No. 50, dated April 25, 1980.

  
	
   

  	
   

  	
   

  
	
  1.3.24

  	
   

  	
  Final
  Acceptance.  Final acceptance of the Contract Work
  by the Commissioner, as evidenced by the Commissioner’s signature upon a
  certificate of completion and acceptance filed in the Office of the
  Comptroller, a copy of which will be sent to the Contractor.  Final Acceptance shall be deemed to have taken
  place as the date stated in the certificate of completion and acceptance.

  
	
   

  	
   

  	
   

  
	
  1.3.25

  	
   

  	
  Information
  for Bidders.  The information for bidders attached to
  the solicitation package as Module A, including the Bid-Specific
  Information for Bidders and the Standard Supply and Service Information for
  Bidders.

  
	
   

  	
   

  	
   

  
	
  1.3.26

  	
   

  	
  Law(s).  The Constitution of the State of New York, the New
  York City Charter, the New York City Administrative Code, a statute of the
  United States or the State of New York, a local law of the City of New York,
  and any ordinance, rule or regulation having the force of law.

  
	
   

  	
   

  	
   

  
	
  1.3.27

  	
   

  	
  Materialman.  Any person, firm or corporation, other than
  employees of the Contractor, that contracts with the Contractor or any
  subcontractor to fabricate or deliver, or that actually fabricates or
  delivers, plants, materials or equipment to be incorporated in the Contract
  Work.

  
	
   

  	
   

  	
   

  
	
  1.3.28

  	
   

  	
  May.  Denotes the permissive.

  
	
   

  	
   

  	
   

  
	
  1.3.29

  	
   

  	
  Must.  Denotes the imperative.

  
	
   

  	
   

  	
   

  
	
  1.3.30

  	
   

  	
  Notice
  of Dispute.  A notice from the Contractor to the
  Commissioner notifying DSNY of the existence of a dispute.

  
	
   

  	
   

  	
   

  
	
  1.3.31

  	
   

  	
  Notice
  to Commence Work.  A notice sent by DSNY to the Contractor
  directing the Contractor to begin performing the Contract Work.

  
	
   

  	
   

  	
   

  
	
  1.3.32

  	
   

  	
  PPB.  Acronym used to refer to the Procurement Policy
  Board.

  

 

D-4

 

	
  1.3.33

  	
   

  	
  Procurement
  Policy Board.  A board appointed by the Mayor and
  Comptroller pursuant to Section 311 of the New York City Charter, having
  authority and oversight with regard to the implementation of Chapter 13 of
  the New York City Charter and related statutes, codes, regulations, etc.

  
	
   

  	
   

  	
   

  
	
  1.3.34

  	
   

  	
  Schedule
  A.  A list of Contract-specific information, including
  (as applicable), but not limited to: (a) the term of this Contract; (b)
  insurance requirements; (c) bid security requirements; (d) payment, and
  performance security requirements; (e) retention provisions; (f) liquidated
  damages provisions; (g) subcontracting provisions; and (h) other requirements
  specific to this Contract.

  
	
   

  	
   

  	
   

  
	
  1.3.35

  	
   

  	
  Scope
  of Work.  The detailed work requirements attached
  as Module
  C, which may also be referred to as the Specifications.  The terms Specifications and Scope of Work
  are used interchangeably.

  
	
   

  	
   

  	
   

  
	
  1.3.36

  	
   

  	
  Shall.  Denotes the imperative.

  
	
   

  	
   

  	
   

  
	
  1.3.37

  	
   

  	
  Site.  An area upon which, or in which, the Contractor
  performs the Contract Work, and such other adjacent areas as may be
  designated by DSNY.

  
	
   

  	
   

  	
   

  
	
  1.3.38

  	
   

  	
  Solicitation
  Documents.  The entire package of documents that is
  issued for the purpose of soliciting bids or proposals to enter into a
  Contract with DSNY.

  
	
   

  	
   

  	
   

  
	
  1.3.39

  	
   

  	
  Specifications.  All the directions, requirements and standards of
  performance applying to the Contract Work detailed in this Contract,
  including, but not limited to, some or all of the following: (a) the Detailed
  Specifications; (b) any special provisions; (c) any general specifications
  and provisions applicable to work of the type called for in this Contract;
  and (d) Contract Drawings (if any). 
  The terms Specifications and Scope of Work are used interchangeably.

  
	
   

  	
   

  	
   

  
	
  1.3.40

  	
   

  	
  Supplier
  or supplier.  See Contractor.

  

 

ARTICLE 2 - PERIOD OF PERFORMANCE AND
TIME PROVISIONS

 

The period of performance of
this Contract is as shown in Schedule A, and/or the Specifications,
commencing on the date shown in DSNY’s written Notice to Commence Work.

 

ARTICLE 3 - SCOPE OF CONTRACT WORK

 

D-5

 

3.1          Contract Work to be
Performed

 

The Contractor agrees to
perform all the Contract Work as set forth in the Solicitation Documents and
the Contractor’s bid or proposal submitted in response to the Solicitation
Documents.

 

3.2          Contract Changes

 

	
  3.2.1

  	
   

  	
  Changes may be made to this Contract only as duly authorized by the
  ACCO or his or her designee. 
  Contractors deviating from the requirements of an original purchase
  order or this Contract without a duly approved Change Order or written
  Contract modification or Contract amendment do so at their own risk.  All Changes Orders, Contract modifications
  and Contract amendments will become a part of this original Contract.  Any extra work so ordered by DSNY must be
  performed by the Contractor.  Contract
  changes will be made only for extra work and services necessary to complete
  the Contract Work included in the original scope of this Contract, and for
  non-material changes to the scope of the Contract Work.  Contract changes are not permitted for any
  material alteration in the scope of the Contract Work.  Contract changes may include any Contract
  revision deemed necessary by the Agency Chief Contracting Officer.

  
	
   

  	
   

  	
   

  
	
  3.22

  	
   

  	
  The Contractor may be entitled to a price adjustment for extra work
  performed or to be 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 to time for performance. 
  Adjustments to price shall be validated for reasonableness by using
  appropriate price and cost analysis.

  
	
   

  	
   

  	
   

  
	
  3.2.3

  	
   

  	
  Any changes in contract amount due to authorized additional or
  omitted work require appropriate price and cost analysis to determine
  reasonableness.  In addition, except
  for non-construction requirements contracts, all changes that cumulatively
  exceed the greater of 10% of the original contract amount or $100,000 shall
  be approved by the CCPO.

  

 

ARTICLE 4 - PAYMENT AND LIQUIDATED
DAMAGES

 

4.1           The City agrees to pay and the Contractor agrees to
accept, as full consideration for the complete and satisfactory performance of
the Contract Work required under this Contract, the amount set forth in its bid
(as it may have been adjusted pursuant to the PPB Rules).  Payment(s) shall be made within 30 days
after the filing with the Comptroller of voucher(s) for such payment(s).  The Commissioner shall file such voucher(s)
with the Comptroller within 30 days after the receipt of invoices for such
payment(s).  In the event any items in
the filing may be questioned or disputed by the Commissioner, these items may
be deleted from the billing until their resolution and the remainder of the
billing shall be processed within the above period(s).

 

D-6

 

4.2           The Contractor shall submit numbered invoices for
payment in accordance with the payment schedule established in the
Specifications.  Such invoices shall set
forth the Contract Work for which payment is requested, and approval thereof by
DSNY shall be a prerequisite to payment. 
All payment shall be subject to such provisions for set off as may be
set forth in this Agreement and in the Specifications.

 

4.3           Payments shall be made out of such monies as may be
reserved by the Comptroller for the purpose provided in this Contract.  This Contract and all payments under this
Contract shall be subject to audit by DSNY and post audit by the Comptroller in
accordance with the New York City Charter and Administrative Code.  The City is exempt from the payment of any
federal, New York State, and City sales or excise taxes.

 

4.4          Pricing

 

	
  4.4.1

  	
   

  	
  The Contractor shall, whenever required during this Contract,
  including but not limited to the time of bidding or proposing, submit cost 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 this Contract has been completed.

  
	
   

  	
   

  	
   

  
	
  4.4.2

  	
   

  	
  The price of any Change Order or Contract modification or Amendment
  subject to the conditions of Section 4.6.1 shall be adjusted to exclude
  any significant sums by which the City finds that such price was based on
  cost or price data furnished by the supplier which was inaccurate,
  incomplete, or not current as of the date agreed upon between the parties.

  
	
   

  	
   

  	
   

  
	
  4.4.3

  	
   

  	
  Time for Certification. 
  The Contractor must certify that the cost or pricing data submitted
  are accurate, complete, and current as of a mutually determined date.

  
	
   

  	
   

  	
   

  
	
  4.4.4.

  	
   

  	
  Refusal to Submit Data. 
  When any Contractor refuses to submit the required data to support a
  price, the Contracting Officer shall not allow the price.

  
	
   

  	
   

  	
   

  
	
  4.4.5

  	
   

  	
  Certificate of Current Cost or Pricing Data. 
  Form of Certificate.  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.

  

 

4.5          Most Favorable Customer Clause:
The Contractor warrants and represents that the prices, warranties, conditions,
benefits and terms set forth in this Contract are at least equal to or more
favorable to the City than the prices, warranties, benefits and terms now
charged or offered by the Contractor, or that may be charged or offered by the
Contractor for the same or substantially similar products as described in this
Contract.  If at any time from the bid
opening date until final acceptance has been made under this Contract, the
Contractor provides prices, warranties, benefits, terms more favorable than those

 

D-7

 

provided to the
City under this Contract, then the Contractor shall promptly thereafter notify
the City of such fact and take such steps to amend this Contract to the changed
more favorable prices, warranties, conditions, benefits or terms, provided that
the City shall have the right and option to decline any such change(s).  If the Contractor is of the opinion that
apparently more favorable price, warranty, benefit or terms charged or offered
a customer during the time indicated above is not in fact more favored
treatment, the Contractor will promptly notify the Commissioner in writing
setting forth in detail the reason that it believes said apparently more
favored treatment is not in fact more favored treatment.

 

4.6          Assessment of Liauidated Damages:
If provided for in either the Scope of Work or in Schedule A, liquidated
damages for failure to perform the Contract Work in compliance with the terms
of this Contract shall be assessed by DSNY against the Contractor in accordance
with those provisions for the period(s) (day, hour, etc.), or a fraction
thereof, given in the Scope of Work and/or in Schedule A.  In view of the difficulty of accurately ascertaining
the loss which the City will suffer because of a failure to perform and/or
complete the Contract Work, liquidated damages, in the amount set forth in the
Scope of Work and/or in Schedule A, are fixed and agreed upon as
liquidated damages and not as a penalty.

 

Liquidated damages received
under this Contract 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 under Section 5.4, of the Contractor’s obligation to
indemnify the City, or of any other remedy provided for by this Contract or by
Law.

 

The Comptroller will deduct
and retain out of the monies which may become due under this Contract the
amount of any such liquidated damages. 
In case the amount of liquidated damages which may become due are less
than the damages suffered by the City, the Contractor will be liable to pay the
difference upon demand by DSNY.

 

4.7          Right of Setoff:  The City and DSNY shall have the right of
setoff against any unpaid amount due to the Contractor under this Contract or
any other agreement between DSNY and the Contractor as a partial remedy for any
of the Contractor’s breaches of any representation, warranties, or agreements
set forth in this Contract, including but not limited to the performance of the
Contract Work.  This right of setoff
shall survive the termination of this Contract.

 

4.8          Prompt
Payment: 
The Prompt Payment provisions set forth in the PPB Rules in effect at
the time of this solicitation will be applicable to payments 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 applicable sections of the PPB Rules.  The Contractor must submit a proper invoice
to receive payment, except where this Contract provides that the Contractor
will be paid at predetermined intervals without having to submit an invoice for
each scheduled payment.  Determinations
of interest due will be made in accordance with the provisions of the PPB Rules
and General Municipal Law 3-a.

 

D-8

 

ARTICLE 5 -
LIABILITY OF CONTRACTOR

 

5.1          General Liability

 

	
  5.1.1

  	
   

  	
  The Contractor shall be solely responsible for all physical injuries
  or death to its agents, servants, or employees or to any other person and for
  all damage to any property sustained during its operations and Contract Work
  under this Contract resulting from any act of omission or commission or error
  in judgment of any of its officers, trustees, employees, agents, servants, or
  independent contractors.  The
  Contractor shall be solely responsible for the safety and protection of all
  of its employees whether due to the negligence, fault or default of the
  Contractor or not.

  
	
   

  	
   

  	
   

  
	
  5.1.2

  	
   

  	
  In the event that any claim is made or any action is brought against the
  City arising out of negligence or careless acts or any employee of the
  Contractor either within or without the scope of his or her employment, or
  arising out of the Contractor’s negligent performance of this Contract, or
  any act included in Section 5.1.1, above, then the City shall have the
  right to withhold further payments hereunder for the purpose of set-off in
  sufficient sums to cover that claim or action.  The rights and remedies of the City provided for in this clause
  shall not be exclusive and are in addition to any other rights and remedies
  provided by law or this Contract.

  

 

5.2          Protection of City
Property

 

	
  5.2.1

  	
   

  	
  The Contractor assumes the risk of, and shall be responsible for any
  loss or damage to City property, including property and equipment leased by
  the City, used in the performance of this Contract, and caused, either
  directly or indirectly, by the acts, conduct, omissions or lack of good faith
  of the Contractor, its officers, managerial personnel employees, or any
  person, firm, company, agent or others engaged by the Contractor as expert,
  consultant, specialist or subcontractor hereunder.

  
	
   

  	
   

  	
   

  
	
  5.2.2

  	
   

  	
  In the event any such City property is lost or damaged except for
  normal wear and tear, or to the extent that such property is consumed in the
  performance of this Contract, then the City shall have the right to withhold
  further payments hereunder for the purpose of set-off in sufficient sums to
  cover such loss or damage.

  
	
   

  	
   

  	
   

  
	
  5.2.3

  	
   

  	
  The Contractor agrees to indemnify the City and hold it harmless from
  any and all liability or claim for damages due to any such loss or damage to
  any such City property described in Section 5.1.1 above.

  
	
   

  	
   

  	
   

  
	
  5.2.4

  	
   

  	
  The rights and remedies of the City provided in this Agreement shall
  not be exclusive and are in addition to any other rights and remedies
  provided by law or by agreement.

  

 

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  5.2.5

  	
   

  	
  If City property is lost, damaged or destroyed as result of the
  operations of the Contractor or its subcontractors, in the performance of
  this Contract, or from its or their failure to comply with any of the
  provisions of this Contract, or by law, the Contractor shall indemnify and
  hold the City harmless from any and all costs and expense which the City may
  be subjected to which it may suffer or incur by reason thereof.

  

 

5.3          Infringements

 

The Contractor shall be
liable to DSNY and hereby agrees to indemnify and hold DSNY harmless for any
damage or loss or expense sustained by DSNY from any infringement by the
Contractor of any copyright, trademark or patent rights of design, system,
drawings, graphs, charts, specifications or printed matter furnished or used by
the Contractor in the performance of this Contract.

 

5.4          Indemnification

 

To the maximum extent
permitted by law, the Contractor covenants that it will protect, indemnify, and
hold DSNY harmless from and against all liabilities, actions, damages, claims,
demands, judgments, losses, costs, expenses, suits or actions for personal
injury to, or death of, any person or persons, or loss or damage to property
caused by: (a) the breach by the Contractor of any of its representations,
warranties, or agreements contained in this Agreement including misstatements
in filings relied upon for award; (b) the performance or non-performance of the
Contractor’s obligations under this Contract; (c) the negligent or intentional
acts or omissions of the Contractor, its officers, trustees, employees, agents,
servants, or independent contractors. 
The Contractor shall promptly notify DSNY of the assertion of any claim
against which such other party is indemnified hereunder, shall give the other
party the opportunity to defend such claim, and shall not settle such claim
without the written approval of the City’s Corporation Counsel.  The indemnification established under this
Section shall not preclude any remedies at law or in equity and shall
survive the termination of this Contract.

 

ARTICLE 6 -
INSURANCE, PAYMENT AND PERFORMANCE BONDS

 

6.1          Performance And Payment
Bonds (When Called For by the Solicitation
Documents)

 

	
  6.1.1

  	
   

  	
  The Contractor shall, prior to or at the same time of execution of
  this Contract, deliver to the City a performance bond and a payment bond as
  security for the payment of all persons performing labor or furnishing
  material in connection with this Contract, if payment and performance
  bonds are required in Schedule A.  The payment and performance bonds must have as surety a surety
  company or surety companies that are licensed by the State of New York,
  authorized to do business in the State of New York and approved by DSNY.  The payment and performance bonds shall be
  in the amount specified

  

 

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  in Schedule A and must be in the form included in the
  Invitation for Bid package.

  
	
   

  	
   

  	
   

  
	
  6.1.2

  	
   

  	
  In lieu of a payment and performance bonds, a Contractor may deposit
  with the Comptroller money, or obligations of the City which the Comptroller
  shall approve as of equal value with the amount of the Performance and
  Completion Bond, or a letter of credit in a form acceptable to DSNY through
  an institution approved by the City as the Comptroller may deem as
  appropriate.

  
	
   

  	
   

  	
   

  
	
  6.1.3

  	
   

  	
  Whenever a Contractor deposits obligations of the City in lieu of a
  performance and completion bond (a performance bond) and a labor and material
  bond (a payment bond), it shall be with the understanding that the
  Comptroller, or his or her successors, may sell and use the proceeds thereof,
  for any purpose for which the principal or surety on such bond would be liable
  under the terms of this Contract.  If
  money is deposited with the Comptroller, the Contractor shall not be entitled
  to receive interest on such money from the City.

  

 

6.2          Insurance Agreements in General

 

	
  6.2.1

  	
   

  	
  Required
  Insurance

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  The
  Contractor is required to obtain and to maintain the insurance described in Schedule A
  of the Insurance General Conditions, which is incorporated into
  this Contract.  Schedule A, and the
  Insurance General Conditions that set forth the detailed requirements for
  insurance, are incorporated into this Contract as if set forth herein.

  
	
   

  	
   

  	
   

  
	
  6.2.2

  	
   

  	
  Workers’
  Compensation and Disability Benefits

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  If
  employees engaged in the Contract Work are required to be insured by the
  provision of Chapter 615 of the Laws of 1922, the Workers’ Compensation Law,
  as amended, this Contract shall be void and of no effect unless the
  Contractor secures Workers Compensation Insurance (inclusive of disability
  benefits) for the benefit of those employees, and keeps the insurance in
  effect during the time of this Contract.

  

 

6.3          Retained Percentage If Required in Schedule A

 

	
  6.3.1

  	
   

  	
  As further security for the faithful performance of this Contract,
  the Commissioner shall deduct, and retain, until the substantial completion
  of the Contract Work, a percentage as indicated in the Schedule A of this
  Contract, of the value of Contract Work certified for payment in each partial
  payment voucher.  In case of a unit
  price contract, the percent retained shall be a 

  

 

D-11

 

	
   

  	
   

  	
  percentage of the estimated amount set forth in Schedule A to be paid to
  the Contractor under this Contract.

  
	
   

  	
   

  	
   

  
	
  6.3.2

  	
   

  	
  However, in contracts where full performance and payment bonds are
  not furnished as further security for the faithful performance of this
  Contract, the Commissioner shall deduct, and retain until the substantial
  completion of the Contract Work, 10% of the value of Contract Work certified
  for payment in each partial payment voucher, or, in case of a unit price
  contract, 10% of the estimated amount to be paid to the Contractor under this
  Contract.

  

 

ARTICLE 7 - PROVISIONS RELATING TO LABOR

 

7.1          Supervision by Contractor

 

	
  7.1.1

  	
   

  	
  The Contractor shall give its personal supervision to the Contract
  Work or have a competent manager, foreman or supervisor satisfactory to the
  Commissioner assigned to the Contract Work at all times during performance of
  this Contract.

  
	
   

  	
   

  	
   

  
	
  7.12

  	
   

  	
  In the performance of this Contract, the Contractor shall utilize
  competent and qualified persons.  All
  such persons are the employees of the Contractor and not of the City and the
  Contractor shall be responsible for their acts, personal conduct and work.

  
	
   

  	
   

  	
   

  
	
  7.1.3

  	
   

  	
  All Contract Work shall be performed in a skillful and workman-like
  manner.  The Commissioner may require,
  and the Contractor agrees to, the removal from the Contract Work of any of
  the Contractor’s personnel or its subcontractor’s personnel deemed
  incompetent, careless or otherwise objectionable by the Commissioner.  With or without cause, DSNY may cause any
  personnel supplied by the Contractor to be removed from the Contract Work by
  notifying the Contractor by phone that DSNY desires such removal.  The Contractor agrees to remove the
  identified personnel upon receipt of notification.

  
	
   

  	
   

  	
   

  
	
  7.1.4

  	
   

  	
  DSNY shall have the right to have representatives of DSNY, the City
  and State of New York, or the federal government present at the Site to
  observe the Contract Work being performed.

  

 

7.2          Prohibited
Acts

 

The Contractor shall not
employ any labor, or utilize materials or means which employment or utilization
during the course of this Contract may in any way tend to cause or result in
strikes, work stoppage, delays, suspensions of Contract Work or similar
troubles by workmen employed by the Contractor, or by any of the trades working
in or about the buildings and premises where Contract Work is being performed
under this

 

D-12

 

Contract, or by contractors
or their subcontractors pursuant to other agreements or contracts, or on any
other building premises owned or operated by the City, its agencies,
departments, boards or authorities.  Any
violation by the Contractor of these requirements shall be considered as proper
and sufficient cause for declaring the Contractor to be in default.

 

7.3          Notice of
Labor Disputes

 

Whenever the Contractor has
knowledge that any actual or potential labor dispute is delaying or threatens
to delay the timely performances of this Contract, the Contractor shall
immediately give notice to DSNY, including all relevant information with
respect thereto.

 

7.4          New York
State Labor Law

 

The Contractor agrees to
carry out all applicable provisions of the Labor Law of the State of New York
in the performance of this Contract.  If
DSNY anticipates that workers whose wages are covered by Labor Law
Section 220 or Labor Law Section 231 may perform Contract Work, those
wage rates are included in the Solicitation Documents and are incorporated into
this Contract.  However, if DSNY fails
to include those wage rates, and the Contractor has such workers, the
Contractor must pay those workers the required wage rates.

 

7.5          Minimum Wage And Working Conditions

 

	
  7.5.1

  	
   

  	
  Except for employees whose minimum wage is required to be fixed
  pursuant to Section 220 (d) of the Labor Law of the State of New York,
  or persons employed by the Consultant and any subcontractor in the
  manufacture or furnishing of the work, labor and services, used in the
  performance of this Contract will be paid not less than the federal minimum
  wage.

  
	
   

  	
   

  	
   

  
	
  7.5.2

  	
   

  	
  For any breach or violation of any of the provisions of
  Section 7.5.1, the Contractor shall be liable to the City for damages
  equal to the amount of any underpayment for wages due to any employee engaged
  in the performance of this Contract, which may be withheld from any amounts
  due under this Contract or may be recovered in suits brought by the
  Corporation Counsel in the name of the City. 
  Such damages are in addition to damages for any other breach of this
  Contract.  In addition, for violation of
  this Section 7.5.1, the Commissioner shall have the right to cancel this
  Contract and enter into other contracts for the completion of the Contract
  Work, charging any additional cost to the Contractor.  All sums withheld or recovered as
  deductions, rebates, refunds, or underpayment of wages for violation of the
  provisions of this Section 7.5.1 shall be held in a special deposit
  account and shall be paid without interest, on order of the City Commissioner
  of Labor, directly to the employees who have been paid less than minimum
  rates of pay required by Section 7.5.1 and on whose account such sums
  were withheld or recovered,

  

 

D-13

 

	
   

  	
   

  	
  provided
  that no claims by employees for such payments shall be entertained unless
  made within one year from the date of actual notice to the Contractor of the
  withholding or recovery of such sums by the City.

  
	
   

  	
   

  	
   

  
	
  7.5.3

  	
   

  	
  No part of the Contract Work will be performed or rendered by the
  Contractor in any plants, factories, buildings or surroundings or working
  under 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 Contract Work is to be
  performed shall be prima facie evidence of compliance with this Section.

  

 

7.6          Non-Discrimination (E.O. 50)

 

7.6.1                This Contract is subject to the requirements of Executive Order No. 50
(April 25, 1980) (E.O. 50) and its implementing rules and
regulations.  No Contract will be
awarded unless and until such requirements have been complied with in their
entirety.  By signing this Contract the Contractor
agrees that it:

 

	
  7.6.1.1

  	
   

  	
  will not discriminate 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, demotion, downgrading, transfer, training,
  rates of pay or other forms of compensation, layoff, termination, and all
  other terms and conditions of employment;

  
	
   

  	
   

  	
   

  
	
  7.6.1.2

  	
   

  	
  when it subcontracts, will not engage in any
  unlawful discrimination in selection of subcontractors on the basis of
  owner’s race, color, creed, national origin, sex, age, disability, martial
  status or sexual orientation;

  
	
   

  	
   

  	
   

  
	
  7.6.1.3

  	
   

  	
  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 regard to race,
  creed, color, national origin, sex, age, disability, marital status, sexual
  orientation;

  
	
   

  	
   

  	
   

  
	
  7.6.1.4

  	
   

  	
  will send to each labor organization or
  representative or 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 their implementing
  rules and regulations; and

  
	
   

  	
   

  	
   

  
	
  7.6.1.5

  	
   

  	
  will furnish all information and reports including
  an Employment Report before the award of this Contract that are required by
  E.O. 50, its implementing rules and regulations, and orders, of the

  

 

D-14

 

	
   

  	
   

  	
  Director of the Division of Labor Services (“DLS”),
  and will permit access to its books, records, and accounts by DSNY for the
  purposes of investigation to ascertain compliance with such for such rules
  and regulations for a period of six years after completion of the Contract
  Work.

  

 

7.6.2                The Contractor understands that in the event of its
noncompliance with the nondiscrimination clauses of this Agreement 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 its
implementing rules and regulations. 
After a hearing held pursuant to such rules, the Director of the Office
of Labor Services may direct the imposition by the Commissioner of any or all
of the following sanctions:

 

7.6.2.1                         disapproval of
the Contractor;

 

7.6.2.2                         suspension or
Termination of this Contract;

 

7.6.2.3                         declaring the
Contractor in default; or

 

7.6.2.4                         in lieu of any
of the foregoing sanctions, the Director of Labor Services may impose an
Employment Program.

 

7.6.3                The Contractor agrees to include the provisions of the
foregoing Sections in every subcontract or purchase order in excess of $50,000
to which it becomes a party unless exempted by E.O. 50 and its implementing
rules and regulations, so that such provisions will be binding upon each
subcontractor.  The Contractor will take
such action with respect to any subcontract or purchase order as may be
directed by the Director of the Office of Labor Services as a means of
enforcing such provision including sanctions for noncompliance.

 

7.6.4                The Contractor further agrees that it will refrain
from entering into any contract or contract modification subject to E.O. 50 and
its implementing rules and regulations with a subcontractor who is not in
compliance with the requirements of E.O. 50 and its implementing rules and
regulations.

 

7.7          Equal Employment And Affirmative Action Compliance for
Non-Construction Consultants

 

7.7.1                As required by
Section 220-e of the New York State Labor Law, the Contractor agrees:

 

7.7.1.1                         that in the
hiring of employees for the performance of work under this Contract and any
subcontract hereunder, no contractor, subcontractor, nor any person acting on
behalf of such contractor

 

D-15

 

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;

 

7.7.1.2                         that no
contractor, subcontractor, nor any person acting on his or her behalf shall, in
any manner, shall 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;

 

7.7.1.3                         That there may
be deducted from the amount payable to the Consultant by the City under this
Contract a penalty of five hundred dollars ($500) for each person for each
calendar day during which such a person is discriminated against or is
intimidated in violation of the provisions of this Contract; and

 

7.7.1.4                         that this
Contract can be canceled or terminated by the City and all monies due or to
become due hereunder may be forfeited, for a second or any subsequent violation
of the terms or conditions of this Section 7.7.1 of the Agreement.

 

7.7.2                The provisions of this Section 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.

 

7.8          City Administrative Code
Non-discrimination Requirements.  As required
by Section 6-108 of the New York City Administrative Code:

 

7.8.1                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 employ or to refuse
to continue in any employment any person on account of race, color, or creed of
such person.

 

7.8.2                It shall be unlawful for any person or any servant,
agent, or employee of any person, described in Section 7.8.1 above, 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.

 

7.8.3                Disobedience of the foregoing provisions shall be
deemed a violation of a material provision of this Contract.

 

D-16

 

7.8.4                Any person, or the employee, manager or owner who
shall violate any of the provisions of this Section 7.8 shall, upon
conviction thereof, be punished by a fine of not more than one hundred dollars
or by imprisonment of not more than thirty days, or both.

 

ARTICLE 8 - BOOKS AND RECORDS

 

8.1          Maintenance

 

The Contractor agrees to
maintain separate and accurate books, records, documents and other evidence and
to use accounting procedures and practices which sufficiently and properly
reflect all direct and indirect costs of any nature expended in the performance
of this Contract.

 

8.2          Retention of Records

 

The Contractor agrees to
retain all books, records, and other documents relevant to this Contract for
six years after the final payment or termination of this Contract whichever is
later.  City, New York State, and
federal auditors and any other persons duly authorized by DSNY shall have full
access to and the right to examine any of said materials during said period.

 

8.3          No Removal of Records From Premises

 

Where performance of this
Contract involves use by the Contractor of DSNY papers, files, data or records
at DSNY facilities or offices, the Contractor shall not remove any such papers,
files, data or records therefrom without the prior approval of DSNY’s
designated official.

 

8.4          Audit by
DSNY And the City

 

8.4.1                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 are subject to audit by the DSNY and by the Comptroller
pursuant to the powers and responsibilities as conferred upon DSNY and the
Comptroller by the New York City Charter and Administrative Code of the City of
New York, as well as all orders and regulations promulgated pursuant thereto.

 

8.4.2                The Contractor shall submit any and all documentation
and justification in support of expenditures or fees under this Contract as may
be required by DSNY and the Comptroller so that they may evaluate the
reasonableness of the charges and shall make its records available to DSNY and
to the Comptroller as they consider necessary.

 

8.4.3                All books, vouchers, records, reports, canceled checks
and any and all similar material may be subject to periodic inspection, review
and audit by the State

 

D-17

 

of New York, the
federal government and other persons duly authorized by the City.  Such audit may include examination and
review of the source and application of all funds whether from the City, any
state, the federal government, private sources or otherwise.

 

8.4.4                The Contractor shall not be entitled to final payment
under this Contract until all requirements have been satisfactorily met.

 

ARTICLE 9 - REPRESENTATIONS AND WARRANTIES

 

9.1          Procurement of Contract

 

9.1.1                The Contractor represents and warrants that no person
or selling agency has been employed or retained to solicit or secure this
Contract upon an agreement or understanding for a commission, percentage,
brokerage fee, contingent fee, or any other compensation.  The Contractor further represents and
warrants that no payment, gift or thing of value has been made, given or
promised to obtain this or any other agreement between the parties.  The Contractor makes such representations
and warranties to induce the City to enter into this Contract, and the City
relies upon such representations and warranties in the execution of this
Contract.

 

9.1.2                For a breach or violation of such representations or
warranties, the Commissioner shall have the right to annul this Contract
without liability, entitling the City to recover all monies paid under this
Contract and the Contractor shall not make claim for, or be entitled to
recover, any sum or sums due under this Contract.  This remedy, if effected, shall not constitute the sole remedy
afforded the City for the falsity or breach, nor shall it constitute a waiver
of the City’s right to claim damages or refuse payment or to take any other action
provided for by Law or pursuant to this Contract.

 

9.2          Conflict of Interest

 

The Contractor represents
and warrants that neither it nor any of its directors, officers, members,
partners or employees, have 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 Contract Work provided in this
Contract.  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 officials or other officer or
employee of DSNY or the City, 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 or her personal interest or the interest of any
corporation, partnership or association in which he or she is, directly or
indirectly, interested nor shall any such person have any interest, direct or
indirect, in this Contract or in its proceeds.

 

D-18

 

9.3          Fair
Practice.  The
Contractor and each person signing on behalf of any Contractor represents,
warrants and certifies, under penalty of perjury, that to the best of its
knowledge and belief:

 

	
  9.3.1

  	
   

  	
  The prices in this Contract have been arrived at independently
  without collusion, consultation, communication, or agreement, for the purpose
  of restricting competition, as to any matter relating to such prices with any
  other bidder or proposer, or with any competitor that did not submit a bid.

  
	
   

  	
   

  	
   

  
	
  9.3.2

  	
   

  	
  Unless otherwise required by law, the prices which have been quoted
  in this Contract and on the bid submitted by the Contractor have not been
  knowingly disclosed by the Contractor prior to the bid opening, directly or
  indirectly, to any other bidder or proposer, or any competitor that did not
  submit a bid; and

  
	
   

  	
   

  	
   

  
	
  9.3.3

  	
   

  	
  No attempt has been made or will be made by the Contractor to
  indicate any other person, partnership or corporation to submit or not to
  submit a bid for the purpose of restricting competition.

  
	
   

  	
   

  	
   

  
	
  9.3.4

  	
   

  	
  The fact that the Contractor (a) has published price lists, rates, or
  tariffs covering items being procured, (b) has informed prospective customers
  of proposed or pending publication of new or revised price lists for such
  items, or (c) has sold the same items to other customers at the same prices
  being bid or proposed, does not constitute, without more, a disclosure within
  the meaning of the above.

  

 

D-19

 

ARTICLE 10 - COVENANTS OF THE CONTRACTOR

 

10.1        Employees of the
Contractor

 

All experts, consultants,
subcontractors, or employees of the Contractor who are employed by the
Contractor to perform Contract Work under this Contract are neither

 

employees of the City nor
under contract to the City and the Contractor alone 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 person, firm, company,
agency, association, corporation or organization engaged by the Contractor as
expert, consultant, subcontractor, independent contractor, specialist, trainee,
employee, servant, or agent or for taxes of any insurance, workers
compensation, disability benefits and social security, or, except as
specifically stated in this Contract to any person, firm or corporation.

 

10.2        Independent Contractor Status

 

The Contractor and DSNY
agree that the Contractor is an independent contractor, and not an employee of
DSNY or the City, and that in accordance with such status as independent
contractor, the Contractor covenants and agrees that neither it nor its
employees or agents will hold themselves out as, nor claim to be, officers or
employees of the City, or of any department, agency or unit thereof, by reason
hereof, and that they will not, by reason hereof, make any claim, demand or
application to or for any right of privilege applicable to an officer of or
employee of the City, including, but not limited to, Worker’s Compensation
coverage, unemployment insurance benefits, Social Security coverage or employee
retirement membership or credit.

 

10.3        Confidentiality

 

All of the reports,
information or data, furnished to or prepared, assembled or used by the
Contractor under this Contract are to be held confidential, and prior to
publication, the Contractor agrees that the same shall not be made available to
any individual or organization without the prior written approval of DSNY.  The provisions of this Section shall
remain in full force and effect following termination of, or cessation of the
Contract Work required by this Contract.

 

10.4        Compliance
With Law

 

The Contractor shall render
all Contract Work under this Contract in accordance with the applicable
provision of federal, City and State of New York, and local laws, rules and
regulations as are in effect at the time such Contract Work is rendered.

 

D-20

 

10.5        Investigation
Clause

 

10.5.1              The parties to this Contract agree to cooperate fully
and faithfully with any investigation, audit or inquiry conducted by a 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 or submitted proposal,
agreement, contract, lease, permit, or license that is the subject of the
investigation, audit or inquiry.

 

10.5.2              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
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 of New York, or any political subdivision or public authority thereof, or
the Port Authority of New York and New Jersey, or any local development
corporation within the City, or any public benefit corporation organized under
the Laws of the State of New York, or;

 

10.5.3              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 New York 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 of New York, or any political subdivision thereof or any
local development corporation within the City then;

 

10.5.4              The Commissioner, whose agency is a party in interest
to the transaction, submitted bid, submitted proposal, agreement, 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
should attach for the failure of a person to testify.

 

10.5.5              If any non-governmental party to the hearing requests
an adjournment, the Commissioner who convened the hearing may, upon granting
the adjournment, suspend any agreement, contract, lease, permit, or license,
pending the final determination pursuant to Section 10.5.7 below without
the City incurring any penalty or damages for delay or otherwise.

 

10.5.6              The penalties which may attach after a final
determination by the Commissioner may include but shall not exceed:

 

D-21

 

10.5.6.1                       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 or proposals for, or
transacting business with, or entering into or obtaining any agreement,
contract, lease, permit, or license with or from the City; and/or

 

10.5.6.2                       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 incurred prior to the cancellation or termination shall be paid by the
City.

 

10.5.7              The Commissioner shall consider and address in
reaching his or her determination and in assessing an appropriate penalty the
factors in Sections 10.5.7.1 and 10.5.7.2 below.  He or she may also consider, if relevant and appropriate, the
criteria established in Sections 10.5.7.3 and 10.5.7.4 below in addition to any
other information which may be relevant and appropriate:

 

10.5.7.1                       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 dissociation 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.

 

10.5.7.2                       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.

 

10.5.7.3                       The nexus of
the testimony sought to the subject entity and its agreements, contracts,
leases, permits or licenses with the City.

 

10.5.7.4                       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 10.5.6 above, provided that the party or entity has given actual
notice to the Commissioner upon the

 

D-22

 

acquisition
of the interest, or at the hearing called for in Section 10.5.4 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.

 

10.5.8              Definitions Used in this Section 10.5:

 

10.5.8.1                       The term “license”
or “permit”
as used in this Section 10.5 shall be defined as a license, permit,
franchise or concession not granted as a matter of right.

 

10.5.8.2                       The term “person”
as used in this Section 10.5 shall be defined as any natural person doing
business alone or associated with another person or entity as a partner,
director, officer, principal or employee.

 

10.5.8.3                       The term “entity”
as used in this Section 10.5 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.

 

10.5.8.4                       The term “member”
as used in this Section 10.5 shall be defined as any person associated
with another person or entity as a partner, director, officer, principal or
employee.

 

10.5.9              In addition to and notwithstanding any other provision
of this Contract the Commissioner may, in his or her sole discretion, terminate
this Contract upon not less than three days written notice in the event the
Contractor fails to promptly report in writing to the Commissioner of the
Department of Investigations (“DOI”) 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.

 

10.6        Assignment of this Contract

 

10.6.1              The Contractor shall not assign, transfer, convey,
sublet or otherwise dispose of this Contract, or of the Contractor’s power of
attorney or otherwise, any of its rights to receive monies due or to become due
under this Contract, unless the prior written consent of DSNY shall be
obtained.  Any such assignment,
transfer, convenience, sublease or other disposition without such consent shall
be void.

 

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10.6.2              In the event that the Contractor assigns, transfers,
conveys, sublets or otherwise disposes of this Contract as specified in
Section 10.6.1 above, without the prior written consent of DSNY, DSNY
shall revoke and annul this Contract and DSNY shall be relieved and discharged
from any and all liability and obligations growing out of this Contract to the
Contractor, its assignees, transferees or subleasees shall forfeit and lose all
monies theretofore earned under this Contract except so much thereof as may be
required to pay the Contractor’s employees.

 

10.6.3              The provisions of this Section 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.

 

10.6.4              This Contract may be assigned by the City to any
corporation, agencies or instrumentality having authority to accept such
assignment.

 

10.7        Subcontracting

 

10.7.1              The Contractor agrees not to enter into any
subcontracts for the performance of the obligations, in whole or in part, under
this Contract without the prior written approval of DSNY.  Two copies of each such proposed subcontract
shall be submitted to DSNY with the Contractor’s written request for approval.

 

10.7.2              All such subcontracts shall contain provisions
specifying:

 

10.7.2.1                       that the
Contract Work performed by the subcontractor must be in accordance with the
terms of this Contract between DSNY and the Contractor;

 

10.7.2.2                       that nothing
contained in a subcontract shall impair the rights of DSNY;

 

10.7.2.3                       that nothing
contained in a subcontract, or under this Contract between DSNY and the
Contractor, shall create any contractual relationship between the subcontractor
and DSNY; and

 

10.7.2.4                       that the
subcontractor specifically agrees to be bound by the confidentiality provision,
the MacBride Principles attached as Exhibit A, the Non-Discrimination (E.O. 50)
provisions, and the Investigations provisions set forth in this Contract
between DSNY and the Contractor.

 

10.7.3              The Contractor agrees that it is fully responsible to
DSNY for the acts and omissions of the subcontractors and of persons either
directly or indirectly

 

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employed by them as it is for the acts and omissions of persons
directly employed by it.

 

10.7.4              The approval required by Section 10.7.1 is
required in all cases other than individual employer employee contracts.

 

10.7.5              The Contractor shall not in any way be relieved of any
responsibility under this Contract by any subcontract.

 

10.8        Publicity

 

10.8.1              The prior written approval of DSNY is required before
the Contractor or any of its employees, servants, agents, or independent contractors
may, at any time either during or after completion or termination of this
Contract, make any statement to the press or issue any material for publication
through the media of communication bearing on the work performed or data
collected under this Contract.

 

10.8.2              If the Contractor publishes a work dealing with any
aspect of performance under this Contract, or of the results and
accomplishments attained in such performance, DSNY shall have a royalty fee,
non-exclusive and irrevocable license to reproduce, publish or otherwise use
and to authorize others to use the publication.

 

10.9        Participation in an International Boycott

 

10.9.1              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, of the regulations of the United
States Department of Commerce promulgated thereunder.

 

10.9.2              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, or
participation an international boycott in violation of the provisions of the
Export Administration Act of 1979, as amended, or the regulations promulgated
thereunder, the Comptroller may, at this option, render forfeit and void this
Contract.

 

10.9.3              The Contractor shall comply in all respects, with the
provisions of Section 6-114 of the Administrative Code of the City of New
York and the implementing rules and regulations issued by the Comptroller.

 

D-25

 

10.10      Inventions, Patents And Copyrights

 

10.10.1            Any discovery or invention arising out of or developed
in the course of performance of this Contract shall be promptly and fully
reported to DSNY, and if the Contract 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.

 

10.10.2            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 this Contract.

 

10.10.3            If any copyrightable material is developed under, or
in the course of performing this Contract, any federal agency providing federal
financial participation for this Contract shall have royalty-free, nonexclusive
and irrevocable right to reproduce, publish or otherwise use, and to authorize
and to authorize others to use, the work for governmental purposes.

 

10.10.4            In no event shall Sections 10.10.1, 10.10.2 and
10.10.3 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.

 

10.11      Anti-trust

 

10.11.1            The Contractor hereby assigns, sells and transfers to
the City all right, title and interest in and any claims and causes of action
arising under the anti-trust laws of the State of New York or of the United
Stated relating to the particular goods and services purchased or procured by
the City under this Contract.

 

10.12      Political
Activity

 

10.12.1            There shall be no partisan political activity or any
activity to further the election or defeat of any candidate for public,
political or party office as part of or in connection with this Contract.

 

10.12.2            No funds provided under this Contract shall be used,
for publicity or propaganda purposes, for the preparation, distribution or use
of any kit, pamphlet, booklet, publication, radio, television or film
presentation designed to support or defeat legislation pending before the Congress
of the United States, except in presentation to the Congress itself.

 

D-26

 

10.12.3            No funds provided under this Contract shall be used,
to pay the salary or expenses of any person to engage in any activity designed
to influence legislation or appropriations pending before the Congress of the
United States.

 

10.13      Clean Air
Provisions

 

10.13.1            If the amount of this Contract is in excess of
$100,000, the Contractor shall comply with all applicable standards, orders or
regulations issued pursuant to the Clean Air Act of 1970, as amended (42 U.S.C.
1857B, et. seq.) and the Federal Water Pollution Act (33 U.S.C. 1251, et. seq.)

 

10.13.2            If a harmful dust hazard is created in performing the
Contract Work under this Contract, for the elimination of which appliances or
methods have been approved by the Board of Standards and Appeals of the State
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 void.

 

10.13.3            In accordance with the provisions of
Section 1403.3.2.25, Noise Abatement Contract Compliance, of Part III of
Chapter 57 of the Administrative Code of the City of New York.

 

10.13.3.1                     Devices and activities which
will be operated, conducted, constructed or manufactured pursuant to this
Contract and which are subject to the provisions of the New York City Noise
Control Code shall be operated, conducted, constructed, or manufactured without
causing a violation of the code.

 

10.13.3.2                     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 Administrator of the Environmental
Protection Administration.  Regulations
promulgated pursuant to Section 1403.3.2.25 of the New York City Noise Control
Code after the bid or proposal openings for this Contract shall not alter its
terms, conditions and Specifications.

 

ARTICLE 11 - TERMINATION

 

11.1        Termination for Convenience

 

11.1.1              At any time during the period of this Contract DSNY,
upon ten days’ written notice to the Contractor, may cancel this Contract and
terminate the Contract Work in whole or in part.  In such event the Contractor shall be paid whatever

 

D-27

 

sum has become due to the Contractor for Contract Work performed prior
to the effective date of the cancellation without further liability to the
City.

 

11.1.2              The Contractor shall be entitled to apply to DSNY to
have this Contract terminated by DSNY by reason of any failure in the
performance of this Contract (including any failure by the Contractor to make
progress in the prosecution of Contract Work that 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 restricted to: acts of God or of the public
enemy, acts of the government in either its sovereign or contractual capacity,
fires, flood, epidemics, quarantine restrictions, strikes, freight embargoes,
or any other cause beyond the reasonable 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 in reaching the determination. 
If such a determination is made and this Contract terminated by DSNY
pursuant to such application by the Contractor, such termination shall be
deemed to be without cause.

 

11.1.3              All payments pursuant to this Section 11.1 shall
be accepted by the Contractor in full satisfaction of all claims against the
City arising out of termination.

 

11.1.4              If the Commissioner terminates this Contract in whole
or in part as provided in Section 11.1, above, the City may procure, upon
such terms and in such manner deemed appropriate, supplies or services similar
to those so terminated, and the Contractor shall continue the performance of
this Contract to the extent it has not been terminated.

 

11.2        Termination for Cause

 

11.2.1              The Contractor may be declared in default by DSNY, and
DSNY may terminate this Contract in whole or in part by written notice to the
Contractor for, but not limited to, one or more of the following:

 

11.2.1.1                       The Contractor
becomes insolvent;

 

11.2.1.2                       The Contractor
makes an assignment for the benefit of creditors pursuant to the Statute of the
State of New York;

 

11.2.1.3                       A voluntary or
involuntary petition in bankruptcy be filed by or against the Contractor;

 

11.2.1.4                       A receiver or
receivers are appointed to take charge of the Contractor’s property or affairs;

 

D-28

 

11.2.1.5                       The Contractor
sublets, assigns, transfers, conveys or otherwise disposes of this Contract
other than as specified in this Contract;

 

11.2.1.6                       The Contractor
fails or refuses to proceed with the Contract Work when and as directed by the
Commissioner;

 

11.2.1.7                       The Contractor
is or has been unnecessarily or unreasonably or willfully delaying (a) the
performance and completion of the Contract Work, (b) the award of necessary
subcontracts, or (c) the placement of necessary material and equipment order;

 

11.2.1.8                       The Contractor,
without just cause, reduces its working force to a number which, if maintained,
would jeopardize the timely performance of this Contract, and fails or refuses
to increase such working force when ordered to do so by the Commissioner;

 

11.2.1.9                       The Contract
Work cannot be completed or is not completed within the time provided for in
this Contract or within the time to which such completion may have been
extended unless, however, the delay is caused by circumstances under the
Commissioner’s control;

 

11.2.1.10                     The Contractor abandons the
Contract Work;

 

11.2.1.11                     The Contractor is or has
been willfully or in bad faith violating any of the provisions of this
Contract;

 

11.2.1.12                     The Contractor fails to
secure and maintain all required insurance;

 

11.2.1.13                     Any statement or
representation of the Contractor in this Contract or in any document submitted
by the Contractor with respect to the work, the project, or this Contract (or
for purposes of securing this Contract) is untrue or incorrect when made; or

 

11.2.1.14                     The Contractor commits an
act of default (if any) listed in the Specifications.

 

11.2.2              In the event that the Commissioner terminates this
Contract in whole or in part as provided in Section 11.2.1 above, the City
may procure, upon such terms and in such manner deemed appropriate, supplies or
services similar to those so terminated. 
The Contractor shall be liable to the City for any excess costs for such
similar supplies or services, and the Contractor shall continue the performance
of this Contract to the extent it has not been terminated.

 

11.2.3              Before the Commissioner shall exercise his or her
right to declare the Contractor in default by reason of conditions set forth in
Sections 11.2.1.1, 11.2.1.5, 11.2.1.6, 11.2.1.7, 11.2.1.8 and 11.2.1.10,
the Commissioner shall

 

D-29

 

give the Contractor an opportunity to be heard, on two days’ written
notice, at which hearing the Contractor may have a stenographer present
provided, however, that a copy of such stenographic notes, if any, shall be
furnished to the Commissioner.

 

11.2.4              Notwithstanding any other provisions of this Contract,
the Contractor shall not relieved of liability to the City for damages
sustained by the City by virtue of the Contractor’s default, and the City may
withhold payments to the Contractor for the purpose of set off until such time
ash the exact amount of damages due to the City from the Contractor is
determined.

 

11.3        Conversion of Termination for Cause to
Termination for Convenience

 

If, after a declaration of
default under Section 11.2, it is determined that for any reason the
Contractor was not in default under that Section, or that such default was
excusable, the rights and obligations of the parties shall be the same as if a
notice of termination has been issued under Section 11.1.1 of this
Agreement.

 

11.4        Termination Generally

 

11.4.1              The provisions of this Agreement regarding
confidentiality of information shall remain in full force and effect following
any termination.

 

11.4.2              The rights and remedies of the City provided in this
Article and elsewhere in this Agreement shall not be exclusive and are in
addition to all other rights and remedies provided by law or under this
Contract.

 

ARTICLE 12 - RESOLUTION OF DISPUTE ARISING OUT OF 

CONTRACT ADMINISTRATION

 

12.1        Applicability - This section
shall apply to disputes between the City and a supplier that arise under, or by
virtue of, a contract between them.  All
contracts shall include a clause providing that all disputes of the kind
delineated herein shall be finally resolved in accordance with the provisions
of this section.

 

12.1.1              This section shall not apply to disputes concerning
matters dealt with in other sections of these 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.

 

12.1.2              For construction or construction-related services,
this section 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 supplier’s work to the Contract, and the acceptability and
quality of the

 

D-30

 

supplier’s work; such disputes arise when the Engineer makes a
determination with which the supplier disagrees.

 

12.2        General Provisions - All determinations
required by this section 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 section shall be
deemed a nondetermination without prejudice that will allow application to the
next level.

 

12.3        Work to Continue - During such time as any
dispute is being presented, heard, and considered pursuant to this section, 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
Agency Chief Contracting Officer or Engineer. 
Failure of the supplier to continue the work as directed shall
constitute a waiver by the supplier of any and all claims being presented
pursuant to this section and a material breach of Contract.

 

12.4        Presentation of Dispute to the Commissioner

 

12.4.1              Notice of
Dispute and Agency Response - The supplier 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 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 supplier relies in
support of its position, as well as a detailed computation demonstrating how
any amount of money claimed by the supplier in the dispute was arrived at.  Within thirty days after receipt of the
complete Notice of Dispute, the Agency Chief Contracting Officer or, in the
case of construction or construction-related services, the Engineer, 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 questions of relevancy shall be determined by the
Commissioner whose decision shall be final. 
Willful failure of the supplier to produce any requested material whose
relevancy the supplier has not disputed, or whose relevancy has been
affirmatively determined, shall constitute a waiver by the supplier of its
claim.

 

12.4.2              Commissioner’s
Inquiry - The
Commissioner shall examine the material and may, in his or her discretion,
convene an informal conference with the supplier and the Agency Chief
Contracting Officer and, in the case of construction or construction-related
services, the Engineer, to resolve the issue by mutual consent prior to
reaching a determination.  The
Commissioner may

 

D-31

 

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 supplier with a contract related to the work of this
Contract, and that supplier shall be bound by the decision of the
Commissioner.  Any supplier thus brought
into the dispute resolution proceeding shall have the same rights and
obligations under this section as the supplier initiating the dispute.

 

12.4.3              Commissioner’s
Determination -
Within thirty 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 supplier and Agency Chief Contracting Officer and, in the case of
construction or construction-related services, the Engineer, together with a
statement concerning how the decision may be appealed.

 

12.5        Finality of the Commissioner’s 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
section.  The City may not take a
petition to the CDRB.  However, should
the supplier take such a petition, the City may seek, and the CDRB may render a
determination less favorable to the supplier and more favorable to the City
than the decision of the Commissioner.

 

12.5.1              Presentation
of Dispute to the Comptroller - Before any dispute may be brought by the supplier
to the CDRB, the supplier must first present its claim to the Comptroller for
his or her review, investigation, and possible adjustment

 

12.5.2              Time,
Form, and Content of Notice - Within thirty days of receipt of a decision by the
Commissioner, the supplier 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: a) a
brief statement of the substance of the dispute, the amount of money, if any,
claimed and the reason(s) the supplier contends the dispute was wrongly decided
by the Commissioner; b) a copy of the decision of the Commissioner, and c) a
copy of all materials submitted by the supplier to the Agency, including the
Notice of Dispute.  The supplier may not
present to the Comptroller any material not presented to the Commissioner,
except at the request of the Comptroller.

 

12.5.3              Agency Response - Within thirty days of receipt of the
Notice of Claim, the Agency shall make available to the Comptroller a copy of
all material

 

D-32

 

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.

 

12.5.4              Comptroller
Investigation -
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 New York City Administrative 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 supplier.  Wilful failure of the supplier to produce
within fifteen 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.

 

12.5.5              Opportunity
of Comptroller to Compromise or Adjust Claim - The Comptroller shall have forty-five days from his
or her receipt of all materials referred to in the preceding Section to
investigate the disputed claim.  The
period for investigation and compromise may be further extended by agreement
between the supplier and the Comptroller, to a maximum of ninety days from the
Comptroller’s receipt of all the materials the supplier may not present its
petition to the CDRB until the period for investigation and compromise
delineated in this paragraph has expired. 
In compromising or adjusting any claim hereunder, the Comptroller may
not revise or disregard the terms of the Contract between the parties.

 

12.6        Contract Dispute Resolution Board - There shall
be a Contract Dispute Resolution Board composed of:

 

12.6.1              the chief administrative law judge of 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;

 

12.6.2              the City Chief Procurement Officer or his/her
designee, or in the case of disputes involving construction or
construction-related services, the Director of the Office of Construction 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

 

12.6.3              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,

 

D-33

 

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 represents persons, companies,
or organizations having disputes with the City.

 

12.7        Petition to CDRB - In the event
the claim has not been settled or adjusted by the Comptroller within the period
provided in this section, the supplier, within thirty days thereafter, may
petition the CDRB to review the Commissioner determination.

 

12.7.1              Form and
Content of Petition by Supplier - The supplier shall present its dispute to the CDRB
in the form of a Petition, which shall include a) a brief statement of the
substance of the dispute, the amount of money, if any, claimed and the
reason(s) the supplier contends that the dispute was wrongly decided by the
Commissioner; b) a copy of the decision of the Commissioner; c) copies of all
materials submitted by the supplier to the Agency; d) a copy of the decision of
the Comptroller, if any, and e) copies of all correspondence with, and material
submitted by the supplier to, the Comptroller’s Office.  The supplier 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 supplier shall submit a copy of the statement of
the substance of the dispute, cited in a) above, to both the Commissioner and
the Comptroller.

 

12.7.2              Agency
Response - Within
thirty days of receipt of the Petition by the Corporation Counsel, the Agency
shall respond to the statement of the supplier and make available to the Board
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 supplier.  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 days.

 

12.7.3              Further
Proceedings - The
Board shall permit the supplier to present its case by submission of memoranda,
briefs, and oral argument.  The Board
shall also permit the Agency to present its case in response to the supplier 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 supplier nor the Agency 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.

 

D-34

 

12.7.4              CDRB
Determination -
Within forty-five 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 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.

 

12.7.5              Notification
of CDRB Decision
- The CDRB shall send a copy of its decision to the Contractor, the Agency
Chief Contracting Officer, the Corporation Counsel, the Comptroller, the City
Chief Procurement Officer, the Office of Construction, the PPB, and, in the
case of construction or construction-related services, the Engineer.  A decision in favor of the supplier shall be
subject to the prompt payment provisions of the PPB Rules.  The Required Payment Date shall be thirty
days after the date the parties are formally notified of the CDRB’s decision.

 

12.7.6              Finality
of CDRB Decision
- 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 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 rule.

 

12.8        Termination, Cancellation, or Breach of Contract - Any
termination, cancellation, or alleged breach of the Contract prior to or during
the pendency of any proceedings pursuant to this section shall not affect or
impair the ability of the Commissioner or CDRB to make a binding and final
decision pursuant to this section.

 

ARTICLE 13 - MISCELLANEOUS

 

13.1        Choice of Law, Consent to
Jurisdiction and Venue

 

13.1.1              This Contract shall be deemed to be executed in the
City, 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.  The parties agree that any and all claims
asserted by or against the City arising under this Contract or related thereto
shall be heard and determined either in the courts of the United States located
in New York City (“Federal Courts”) or in the Courts of the
States of New York (“New York State Courts”) located in the City
and

 

D-35

 

County of New York.  To effectuate
this Contract and intent the Contractor agrees:

 

13.1.1.1                       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
address as the Contractor may provide to the City in writing;

 

13.1.1.2                       With respect to
any action between the City and the Contractor in a New York State Court, the
Contractor hereby expressly waives and relinquishes any rights it might
otherwise have (a) to move to dismiss on grounds of forum non convenes, (b) to
remove to Federal Court and (c) to move for a change of venue to a New York
State Court outside New York County;

 

13.1.1.3                       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
other wise have to move to transfer the action to a United States Court outside
the City;

 

13.1.1.4                       If the
Contractor commences any action against the City in a court located other than
in 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 reinstitute the action in New York City; and

 

13.1.1.5                       If one or more
provisions of this Contract are held unenforceable for any reason, each and all
other provision shall nevertheless remain in full force and effect.

 

13.2        General Release

 

13.2.1              The acceptance by the Contractor or its assignees of
the final payment under this Contract, whether by voucher, judgment of any
court of competent jurisdiction or any other administrative means, shall
constitute and operate as a general release to the City from any and all claims
of and liability to the Contractor arising out of the performing of this
Contract.

 

D-36

 

13.3        Claims and Actions Thereon

 

13.3.1              No action at law or proceeding in equity against DSNY
or the City 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, all as provided for in this Contract.

 

13.3.2              No action at law or proceeding in equity shall lie or
be maintained against DSNY or the City upon any claim based upon this Contract
or arising out of this Contract unless such action shall be commence within six
months after the date of final payment hereunder, or within six months of
termination or conclusion of this Contract, or within six months of accrual of
the cause of action, whichever is earliest.

 

13.3.3              In the event any claim is made or any action brought
in any way relating to this Contract, the Contractor shall diligently render to
DSNY and/or the City without additional compensation any and all assistance
which DSNY and/or the City may require of the Contractor.

 

13.3.4              The Contractor shall report to DSNY, in writing,
within three working days of the initiation by or against the Contractor of any
legal action or proceeding in connection with or relating to this Contract.

 

13.4        No Claim Against Officers, Agents 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 in connection with this Contract.

 

13.5        Waiver

 

Waiver by DSNY of a breach
of any provision of this Contract shall not be deemed to be a waiver of any
other subsequent breach and shall not be construed to be a modification of the
terms of this Contract unless and until the same shall be agreed to in writing
by DSNY or the City as required and attached to the original Contract.

 

13.6        Notice

 

13.6.1              DSNY designates the business address specified in the
Solicitation Documents and the Consultant designates the business address
specified in its bid as the places where all notices from one party to the
other party may be delivered or mailed. 
Actual delivery of any such notices to a party at the addresses given
above (whether in person or by means of a commercial delivery service that
provides signed receipts for delivery), or delivery by

 

D-37

 

certified mail, will be conclusive and deemed to be sufficient service
upon such party as of the date the notice was received by a party.  If certified mail or notice whose delivery
was attempted by a commercial delivery service is refused or returned to the
sending party as non-deliverable, the service of the notice will be deemed
conclusive and sufficient as of the date the U.S. Post Office has stamped the
certified mail as refused or undeliverable or the date on which the commercial
delivery service has stamped the notice as refused or undeliverable.

 

13.6.2              These addresses may be changed at any time by written
notice of the change of address to the other party in the manner as specified
in Section 13.6.1 above.  Nothing
in this Section 13 will be deemed to serve as a waiver of any requirements
for the service of notice or process in the institution of an action or
proceeding as provided by Law.

 

13.7        All Legal Provisions Deemed Included

 

13.7.1              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 in this Contract.  Furthermore, it is hereby stipulated that every
such provision is to be deemed to be inserted in this Contract, 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.

 

13.7.2              This Contract is subject to the MacBride Principles,
attached as Exhibit A.

 

13.8        Severability

 

If this Agreement contains any
unlawful provision not an essential part of this 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 this Agreement without affecting the binding force of
the remainder.

 

13.9        Section Headings

 

Section headings are
inserted only as a matter of convenience and for reference and in no way
define, limit or describe the scope or intent of this Agreement and in no way
affect this Contract.

 

13.10      No Estoppel

 

Neither the City nor any
department, officer, agency or employee thereof, shall be bound, precluded or
estopped by any determination, decision, approval, order, letter, payment or

 

D-38

 

certificate made or given
under or in connection with this Contract by the City, the Commissioner, the
DSNY Project Manager, or any other officer, agent or employee of the City,
either before or after the final completion and acceptance of the Contract Work
and payment therefor:  (a) from showing
the true and correct classification, amount, quality or character of the
Contract 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 Contract Work or any part thereof does not in fact
conform to the requirements of this Contract; and (b) from demanding and
recovering from the Contractor any overpayment made to the Contractor or such
damages as the City 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.

 

ARTICLE 14
- APPROVALS

 

14.1        Approval by the City of New York.  This Contract shall not become effective or binding unless;

 

14.1.1              the Comptroller shall have endorsed his or her
certificate that there remains unexpended and unapplied a balance of
appropriation of funds applicable hereto sufficient to pay the estimated expense
of executing this Contract and

 

14.1.2              approved by the Mayor pursuant to the provisions of
Executive Order No. 42, dated October 9, 1975 in the event the Executive Order
requires such approval and

 

14.1.3              certified by the Mayor (Mayor’s Fiscal Committee
created pursuant to Executive Order No. 43, dated October 14, 1975) that
performance thereof will be in accordance with the City’s financial plan.

 

14.2        Contract Subject to Review by the Financial Control Board.  The following categories of contracts requiring the payment of
funds or the incurring of costs by the City shall be submitted to the Financial
Control Board, prior to execution, for its review:

 

14.2.1              Any contract, other than Long-term Leases and
Collective Bargaining Agreements, of $10,000,000 or more.

 

14.2.2              Any Long-term Lease

 

14.2.3              Any Collective Bargaining Agreement or modification
thereof as defined and governed by the Collective Bargaining Agreement Review
and Approval Procedures adopted by the Financial Control Board on April 23, 1981,
as amended from time to time.

 

14.2.4              Amendments to a contract or a long-term lease:

 

D-39

 

14.2.4.1                       Any amendment
to a contract required to be submitted to the Financial Control Board pursuant
to this Part, other than a Long-term Lease or Collective Bargaining Agreement,
which modifies the time or times of payment, or increases the amount required
to be paid by the City and which amendment, when considered in the aggregate
with all prior unapproved amendments to such contract approved since a last
amendment, increase or may reasonably be anticipated to increase the base
contract amount by increments of 10% of the Contract price or $5,000,000,
whichever is higher.

 

14.2.4.2                       Any amendment
to a contract not initially required to be submitted to the Financial Control
Board pursuant to this Part, other than a Long-term Lease or Collective
Bargaining Agreement, which amendment, when considered in the aggregate with
the base contract, increases or may reasonably be anticipated to increase the
base contract amount up to and beyond $10,000,000.

 

14.2.4.3                       All subsequent
amendments to a contract not initially required to be submitted to the
Financial Control Board pursuant to this Part but which has been amended and such
amendment was required to be submitted to the Financial Control Board pursuant
to Section 3(l)(ii) of the contract regulation of the Financial Control
Board, which subsequent amendments, when considered in the aggregate with all
prior unapproved amendments to such contract, increase or may reasonably be
anticipated to increase the base contract as approved by increments of 1% of
the Contract price or $5 million, whichever is higher.

 

14.2.4.4                       Any amendment
to a Long-term Lease as defined in Section 2(f)(1) or (2) of the Financial
Control Board regulations, which: (a) modifies the term of the lease or renewal
period, (b) increases the amount required to be paid by the City as rent or
otherwise, (c) decreases the amount to be paid to the City pursuant to such
Lease, or (d) modifies the times or amounts of any payments under the lease.

 

14.2.4.5                       Any amendment
to a Long-term Lease as defined in Section 2(f)(3) of the Financial
Control Board regulations.

 

14.3        Other Approvals or Authorization.  The requirement of the Contractor 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.

 

D-40

 

ARTICLE 15 - CONTRACT SUBJECT TO THE PPB RULES

 

This Contract is subject to the
PPB Rules, as such rules may be amended from time to time.  In the event of a conflict between the PPB
Rules and a provision of this Contract, the PPB Rules shall take precedence.

 

ARTICLE 16 - ENTIRE AGREEMENT

 

This written Agreement,
including any attachment or references which have been incorporated in this
Contract, 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 the parties or to vary any
of the terms contained in this Contract.

 

ARTICLE 17 - MACBRIDE PRINCIPALS

 

17.1        MACBRIDE PRINCIPLES
PROVISIONS FOR NEW YORK CITY CONTRACTORS

 

Local Law No. 34 of 1991
became effective on September 10, 1991 and added section 6-115.1 to the
Administrative Code of the City of New York. 
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 or workplace opportunity.

 

17.1.1             PART A

 

In
accordance with section 6-115.1 of the Administrative Code of the City of New
York, the Consultant stipulates that such Consultant and any individual or
legal entity in which the Consultant holds a ten percent or greater ownership
interest and any individual or legal entity that holds a ten percent or greater
ownership interest in the Consultant 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 their
compliance with such principles.

 

17.1.2             PART B

 

For
purposes of this section, the following terms shall have the following
meanings:

 

17.1.2.1                       “MacBride
Principles” shall mean those principles relating to nondiscrimination in
employment and freedom of workplace opportunity which require employers doing
business in Northern Ireland to:

 

D-41

 

17.1.2.2                       increase the
representation of individuals from under represented religious groups in the
work force, including managerial, supervisor, administrative, clerical and
technical jobs;

 

17.1.2.3                       take steps to
promote adequate security for the protection of employees from under
represented religious groups both at the workplace and while traveling to and
from work;

 

17.1.2.4                       ban provocative
religious or political emblems from the workplace;

 

17.1.2.5                       publicly
advertise all job openings and make special recruitment efforts to attract
applicants from under represented religious groups;

 

17.1.2.6                       establish
layoff, recall and termination procedures which do not in practice favor a
particular religious group;

 

17.1.2.7                       abolish all job
reservations, apprenticeship restrictions and different employment criteria
which discriminate on the basis of religion;

 

17.1.2.8                       develop
training programs that will prepare substantial numbers of current employees
from under represented 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 under represented religious groups;

 

17.1.2.9                       establish
procedures to assess, identify and actively recruit employees from under
represented religious groups with potential for further advancement; and

 

17.1.2.10                     appoint a senior management
staff member to oversee affirmative action efforts and develop a timetable to
ensure their full implementation.

 

17.1.3             Enforcement of Part A.  The
Consultant agrees that the covenants and representations in Part A above are
material conditions to this contract. 
In the event the contracting entity receives information that the
Consultant who made this stipulation required by this section is in violation
thereof, the contracting entity shall review such information and give the Consultant
an opportunity to respond.  If the
contracting entity finds that a violation has occurred, the entity shall have
the right to declare the Consultant in default and/or terminate this contract
for cause and procure the supplies, services or work from another source in any
manner the entity deems proper.  In the
event of such termination, the Consultant shall pay to the entity, or the
entity in its sole discretion may withhold from any amounts otherwise payable
to the

 

D-42

 

Consultant, the difference between the contract price for the
uncompleted portion of this contract and the cost to the contracting entity of
completing performance of this contract either itself or by engaging another
consultant or consultants.  In the case
of a requirements contract, the Consultant shall be liable for such difference
in price for the entire amount of supplies required by the contracting entity
for the uncompleted term of its contract. 
In the case of a construction contract, the contracting entity shall
also have the right to hold the Consultant in partial or total default in
accordance with the default provisions of this contract, and/or may seek
debarment or suspension of the Consultant. 
The rights and remedies of the entity hereunder shall be in addition to,
and not in lieu of, any rights and remedies the entity has pursuant to this
contract or by operation of law.

 

IN WITNESS WHEREOF:
The DSNY Agency Chief Contracting Officer acting on behalf of the City, and the
Contractor, have executed four original copies of this Contract.  Two copies will remain with DSNY, the third
will be filed with the Comptroller, and the fourth will be delivered to the
Contractor.

 

	
   

  	
  THE CITY OF NEW YORK

  	
   

  
	
   

  	
  acting by
  and through the Department of Sanitation

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/  Ron Blenderman

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
  Agency Chief
  Contracting Officer

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
  THE CONTRACTOR

  	
   

  	
  (Corporate Seal)

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
   

  	
  /s/ Edward
  L. Apuzzi

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
  Name

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
  Vice
  President

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
  Title

  	
   

  	
   

  
								

 

D-43

 

ACKNOWLEDGMENT BY
AGENCY CHIEF CONTRACTING OFFICER

 

	
  State of New
  York

  	
  )

  	
   

  	
   

  	
   

  
	
   

  	
  )

  	
  ss:

  	
   

  	
   

  
	
  County of
  New York

  	
  )

  	
   

  	
   

  	
   

  

 

On this 19 day of September,
2003, before me personally came Ronald Blenderman to me known and known to me
to be the Agency Chief Contracting Officer of the Department of Sanitation of
the City of New York, the person described as such in and who as such executed
the foregoing instrument and he acknowledged to me that he executed the same as
Commissioner for the purpose therein mentioned.

 

	
   

  	
  Subscribed and sworn to before me

  this 19 day of September, 2003

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  /s/ Delores
  Henry

  	
   

  	
   

  
	
   

  	
  Notary
  Public

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Delores
  Henry

  
	
   

  	
   

  	
  Commissioner
  of Deeds, City of New York

  
	
   

  	
   

  	
  No.
  212422

  
	
   

  	
   

  	
  Cert.
  Filed in New York County

  
	
   

  	
   

  	
  Commission
  Expires 9/26/04

  
				

 

D-44

 

ACKNOWLEDGMENT OF A
PRINCIPAL OF A CORPORATION

 

	
  State of New
  Jersey

  	
  )

  	
   

  	
   

  	
   

  
	
   

  	
  )

  	
  ss:

  	
   

  	
   

  
	
  County of
  Hudson

  	
  )

  	
   

  	
   

  	
   

  

 

On this 16 day of September,
2003  ,before me personally came Edward
Grupi, who being by me duly sworn, did depose and say that he resides in the
city of Plainsboro, NJ; that he is the  
Vice President   of the
Corporation described as such in and which executed the foregoing instrument;
that he knows the seal of said Corporation; that it was so affixed by order of
the Board of Directors of said Corporation; and that he signed his or her name
thereto by like order.

 

 

	
   

  	
  Subscribed
  and sworn to before me

  this 16 day of Sept, 2003

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  /s/ Sandra
  Rufino

  	
   

  	
   

  
	
   

  	
  Notary
  Public

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Sandra
  Rufino

  
	
   

  	
   

  	
  Notary
  Public of New Jersey

  
	
   

  	
   

  	
  My
  Commission Expires

  
	
   

  	
   

  	
  March
  1, 2008

  
				

 

 

ACKNOWLEDGEMENT OF AN
INDIVIDUAL

 

	
  State of
                                       

  	
  )

  	
   

  	
   

  	
   

  
	
   

  	
  )

  	
  ss:

  	
   

  	
   

  
	
  County of
                                    

  	
  )

  	
   

  	
   

  	
   

  

 

On this
                                     
day of                                      ,
                         
before me personally appeared
                                         
to me known and known to me to be the person described as such in and who
executed foregoing instrument and acknowledgment that he executed the same.

 

	
  Subscribed
  and sworn to before me

  
	
  this
                        day
  of
                        ,

  
	
   

  
	
   

  	
   

  
	
  Notary
  Public

  

 

D-45

 

ACKNOWLEDGMENT OF A
PRINCIPAL IF A PARTNERSHIP

 

	
  State of
                                       

  	
  )

  	
   

  	
   

  	
   

  
	
   

  	
  )

  	
  ss:

  	
   

  	
   

  
	
  County of
                                    

  	
  )

  	
   

  	
   

  	
   

  

 

On this
                                     
day of                                      ,
                       
before me personally appeared
                                     
to me known and known to me to be one of the members of the firm of
                                     ,
described as such in and who as such executed the foregoing instrument and he
acknowledged to me that he executed the same as and for the act and deed of
said firm.

 

	
  Subscribed
  and sworn to before me

  	
   

  
	
  this 
                        day
  of                       ,             

  	
   

  
	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  Notary
  Public

  	
   

  
			

 

D-46

 

CONTRACT AUTHORITY

 

MAYOR’S CERTIFICATE NO: CBX
                                          DATED
                    

 

BUDGET DIRECTOR’S CERTIFICATE
NO.                              DATED                     

 

APPROPRIATION
CERTIFICATE 

DEPARTMENT OF SANITATION

 

In conformity with the
provisions of Section 93c-3.0 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 $34, 609,200.00 is
chargeable to the budget of the Department of Sanitation as follows:

 

	
  Agency:

  	
   827

  	
   

  	
  Budget Code:

  	
   

  	
  600

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Unit of
  Appropriation: 1124

  	
   

  	
   

  	
   

  	
  Object Code:

  	
   

  	
  O1.

  
								

 

I further hereby certify that
the specifications contained herein comply with the terms and conditions of the
BUDGET.

 

	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  /s/ Ron
  Blenderman

  	
   

  
	
   

  	
  for the
  Department of Sanitation

  

 

 

COMPTROLLER’S
CERTIFICATE

 

The City of New York,
                              ,
                            

In pursuance of the provisions
of Section 93c-3.0 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 this Contract,
$                         

 

	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  Comptroller
  of the City of New York

  

 

D-47

 

MODULE E:

 

SCHEDULE A:             Contract-Specific Requirements including Insurance
Requirements (Pages Numbered E1)

 

General Insurance Provisions (Pages Numbered E2)

 

Payment Bond Form (If Payment Security is Required)

 

Performance Bond Form (If Performance Security is Required)

 

 

SCHEDULE A

 

CONTRACT-SPECIFIC REQUIREMENTS

FOR SERVICE AND SUPPLY AGREEMENTS

 

	
  ITEM

  	
   

  	
  CONTRACT PERFORMANCE

  REQUIREMENTS

  	
   

  	
  REFERENCE

  
	
  Project
  Manager – Department Representative

  	
   

  	
  Mark Suppa

  Bureau Contracting Officer

  	
   

  	
  Tel:  (646) 885-5056

  Fax:  (212) 788-3906

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Term: Time
  for Completion  

  (The Time
  for Completion of individual phases of the Work Contract may also be
  provided when appropriate.)

  	
   

  	
  Time for
  Completion:  Three years with an
  option to renew for two additional one year terms.

  	
   

  	
  Agreement
  (Module D, Article 2) and Detailed Specifications (Module C)

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Liquidated
  Damages

  	
   

  	
  o    

  ý     

  	
  No

  Yes:  See Section 5.2 of Detailed
  Specifications for specific provisions. 
  All liquidated damages will be measured per the period given in the
  Detailed Specifications or a fraction thereof.

  	
   

  	
  Agreement
  (Module D, Article 4.6) and Detailed Specifications (Module C)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Subcontracting

  	
   

  	
  ý     

   

  	
  Permitted: 80%
  of the Contract Work may be subcontracted. 
  

  	
   

  	
  Agreement
  (Module D, Article 10.7)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
  o     

  	
  Not
  Permitted.

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Retained

  Percentage

  	
   

  	
  o     

  	
        %
  of each Partial Payment Voucher until       %
  of Total Contract Amount is reached.

  	
   

  	
  Agreement
  (Module D, Article 6.3)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Periodic
  Partial

  Payment for Work

  Performed

  	
   

  	
  ý     YES

  	
  o   NO

  	
   

  	
  See Module C

  
									

 

E1-1

 

SCHEDULE A

 

CONTRACT-SPECIFIC REQUIREMENTS

FOR SERVICE AND SUPPLY AGREEMENTS

 

	
  REQUIRED
  INSURANCE

  (In Most Cases)

  	
   

  	
  REFERENCE

  
	
  ý

  	
  Automobile
  Liability: CA 0001 [Ed. 06/92] covering Automobile
  Liability, Code 1 “Any Insurance” and Endorsements CA 2232 (Ed 4/92) and CA 0112
  (Ed 6/91) or Equivalent, Combined Single Limit - Bodily Injury and Property
  Damage

  $1,000,000 each occurrence  

  	
   

  	
  General
  Conditions (Module E, Section 5)

  
	
  If
  Automobile Liability, above, is checked, the following types of automobile
  coverage must be provided:

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  ý 
  comprehensive form

  ý hired

  	
  ý 
  owned

  ý 
  non-owned

  	
   

  	
   

  
					

 

	
  OPTIONAL INSURANCE

   

  DEPENDING ON THE SERVICES OR
  SUPPLIES

  BEING PROCURED.

  	
   

  	
  REFERENCE

  
	
  o

  	
  Professional
  Liability:  per CNA Design
  Professionals -1-87503A (ed 8/83) or equivalent as applicable for all design
  and engineering service afforded under this contract except as approved by

  	
   

  	
  General
  Conditions  (Module E, Section 4)

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
  (Name)

  $    ,000,000
  per claim 

  $     ,000,000
  aggregate 

  $                        
  maximum deductible [except as specifically approved pursuant to General
  Conditions, Module E, Section 7(h).

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
  o

  	
  Builder’s
  Risk (All Risk/Completed Value) 100% of Total Contract Amount

  	
   

  	
  General
  Conditions (Module E, Section 6)

  
	
   

  	
   

  	
   

  	
   

  
	
  If indicated
  by an ý
  below, the following additional hazards must be covered by insurance, or
  additional types of insurance provided, with the City of New York and the
  Department of Sanitation named as additional insureds:

  	
   

  	
   

  
							

 

E1-2

 

SCHEDULE A

 

CONTRACT-SPECIFIC REQUIREMENTS

FOR SERVICE AND SUPPLY AGREEMENTS

 

	
  ITEM

  	
   

  	
  CONTRACT SECURITY REQUIREMENTS

  	
   

  	
  REFERENCE

  
	
  Bid Security Requirements
  (a Bid Bond is one form of Bid Security)

  	
   

  	
  o

  ý

  	
  Not Required

  Required: Bid Deposit
  equal to 2% of the Bidder’s proposed annualized capacity times the bid Price
  Per Ton, or annualized Bid Contract Price (cash or certified check), or a Bid
  Bond equal to 10% of the Bidder’s proposed annualized capacity times the bid
  Price Per Ton.

  	
   

  	
  Information for Bidders
  (Module A, Section 30)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Performance Security /
  Performance Bonds

  	
   

  	
  o

  ý

  	
  Not required

  Required: 50% of the
  Bidder’s proposed annualized capacity times the bid Price Per Ton.

  	
   

  	
  Information for Bidders
  (Module A, Section 31) and Agreement (Module D, Article 6.1)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Payment Security / Payment
  Bonds

  	
   

  	
  ý

  o

  	
  Not Required

  Required: % of the
  Contract Price

  	
   

  	
  Information for Bidders
  (Module A, Section 32) and Agreement (Module D, Article 6.1)

  
	
  Other Security
  Requirements

  	
   

  	
  o

  	
  Other security (Describe)

  	
   

  	
  Agreement (Module D,
  Article 6.1)

  

 

E1-3

TABLE OF CONTENTS

 

	
  1.

  	
  Workers’ Compensation Insurance:

  	
   

  
	
   

  	
   

  	
   

  
	
  2.

  	
  Employer’s Liability Insurance:

  	
   

  
	
   

  	
   

  	
   

  
	
  3.

  	
  Commercial General Liability:

  	
   

  
	
   

  	
   

  	
   

  
	
  4.

  	
  Automobile Liability:

  	
   

  
	
   

  	
   

  	
   

  
	
  5.

  	
  Professional Liability:

  	
   

  
	
   

  	
   

  	
   

  
	
  6.

  	
  Builders All Risk:

  	
   

  
	
   

  	
   

  	
   

  
	
  7.

  	
  Insurance Agreement:

  	
   

  
	
   

  	
   

  	
   

  
	
  8.

  	
  Protection of City Property:

  	
   

  

 

E2-i

 

CERTIFICATE OF INSURANCE

(Front)

 

	
  NAME AND ADDRESS OF INSURED:

  	
   

  	
  FOR CITY
  USE ONLY

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Date:

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
  Agency:

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  ADDITIONAL
  INSURED:

  	
   

  	
  Agency Code:

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  N.Y.C./   Department of Sanitation

  (Agency
  Name)

  	
   

  	
  Contract #

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Accepted By:

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Title:

  	
   

  	
   

  
											

 

The agent/broker
authorized to do business in the state of New York, certifies that insurance of
the kinds and types and for limits of liability herein stated, covering the
work herein designated, has been procured by and finished on behalf of the
insured contractor and is in full force and effect for the periods listed
below.

 

	
  TYPE OF
  INSURANCE

  	
   

  	
  POLICY

  NUMBER

  	
   

  	
  EFFECTIVE

  DATE

  	
   

  	
  EXPIRATION

  DATE

  	
   

  	
  LIMITS OF

  LIABILITY

  (In Thousands)

  	
   

  	
  LIMITS OF

  LIABILITY

  (In Thousands)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  A: Commercial General
  Liability

  ( )Per Occurrence

  ( ) Claims Made

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  B: Excess Liability

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  C: Professional Liability

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  D: Worker’s Compensation

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  LIMITS
  AS REQUIRED

  BY LAW

  	
   

  	
  LIMITS
  AS REQUIRED

  BY LAW

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  E. Employer’s Liability

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  F: Automobile Liability

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  G: Builders’ Risk

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  %
  of final

  contract amount

  	
   

  	
  %
  of final

  contract amount

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  H: Railroad Protective
  Liability

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  I: Marine Protection &
  Indemnity

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  J: Jones Act

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  LIMITS
  AS REQUIRED

  BY LAW

  	
   

  	
  LIMITS
  AS REQUIRED

  BY LAW

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  K: Longshore Harborworkers

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  L: Other (Specify)

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  LOCATION AND DESCRIPTION OF WORK:

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

These certificates described herein may not be canceled
without a cancellation of a policy to which it is attached.  Such cancellation may issued by the company
or the insured giving thirty (30) days notice in writing to New York City’s
Comptroller’s Office & Contracting Agencies.  No policy referred to herein shall be changed, cancelled or
terminated for any reason including expiration of the policy or nonpayment of
the premiums unless thirty (30) days written notice has been received by the
contracting agency and the Comptroller’s office.

 

Policy coverage MUST agree with coverage stated on this
certificate.  False statements of
coverage are punishable under SECTION 2110 of the New York State Insurance
Law.  As indicated in the Standard
Specifications of the contract, lines of coverage are NOT to be amended with
deducible causes of any kind without prior written approval of the (City of New
York.

 

 

CERTIFICATE OF INSURANCE

(Back)

 

	
  INSURANCE COMPANIES

  	
   

  	
  ADDRESS

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  

 

	
   

  	
  Broker’s Name:

  	
   

  	
   

  
	
   

  	
  Address:

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  License #:

  	
   

  	
   

  
	
   

  	
  Telephone #: ( )

  	
   

  	
   

  
	
   

  	
  Contact Person:

  	
   

  	
   

  
							

 

 

GENERAL CONDITIONS FOR SERVICE AND
SUPPLY AGREEMENTS 

INSURANCE PROVISIONS

 

1.                                      Workers’ Compensation Insurance:

 

Pursuant to Section 57 of
the New York State Workers Compensation Law, the Contractor must offer proof of
workers compensation and disability benefits coverage on behalf of all
employees who are to provide labor or service under this contract, two
certificates of such insurance or authority for self-insurance shall be
furnished to DSNY.

 

2.                                      Emplover’s Liability Insurance:

 

Before performing any work
on the Contract, the Contractor shall procure Employer’s Liability Insurance
affording compensation because of bodily injury by accident or disease
sustained by any employee of the insured arising out of and in the course of
his/her employment by the insured.  Two
certificates of such insurance or authority for self-insurance shall be
furnished to DSNY. Certificates confirming renewals of insurance, shall
be presented not less than 30 days prior to the expiration date of
coverage until all operations under the contract are deemed completed.

 

3.                                      Commercial General Liability:

 

Before commencing work at
the sites, the Contractor shall procure a commercial general liability
insurance policy in the contractor’s name and naming the City of New York,
Department of Sanitation as additional insured and endorsed to cover liability
assumed by the contractor under the indemnity provisions of this Agreement.
This insurance policy must be maintained during the life of the contract and
shall protect the City, the Department of Sanitation, and the contractor and
his/her subcontractors performing work at the site from claims for property
damage and/or bodily injury which may arise from operations under this
contract, whether such operations are performed by him/herself or anyone
directly or indirectly employed by him. Two (2) certificates of insurance shall
be furnished in a manner acceptable to the Department of Sanitation, together
with copies of all endorsements as pertain to the requirements of this
contract. (Limits above are as provided in GC 00 01 (ED 10/93).

 

The policy shall contain no
exclusions or endorsements which are not acceptable to the City and shall be of
a form and by an insurance company acceptable to the City.

 

Contractor, at his option,
may carry, in lieu of liability insurance provided above, comprehensive,
general liability insurance with a limit per accident equal to the amount
required in Schedule A.

 

E2-1

 

Sanitation and
the City and each officer, agent and the employee of the City or Department of
Sanitation against all claims against any of them, for personal injury or
wrongful death or property damage arising out of the negligent performance of
professional services or caused by an error, omission or negligent act of the
Contractor’s Engineer or anyone employed by the Contractor’s Engineer.

 

All subcontractors to the
contractor’s Engineer providing professional services under this contract shall
also provide evidence of professional liability insurance to the Department at
limits appropriate to the exposures of the subcontractor’s work, with
deductibles suitable for the financial capacity of the subcontractor and
through carriers and on forms acceptable to the Department.

 

6.                                      Builders All Risk:

 

In construction contracts,
when deemed necessary, before any materials are purchased under this contract,
the contractor shall present the Department with certificates evidencing that
the required insurance is in effect. The policy shall insure the city and the
Contractor as their respective rights may appear under the contract. The policy
shall provide for storage and transport of materials, equipment, supplies of
any kind whatsoever to be used on or incidental to the project.

 

Builders Risk Policy: Shall contain
the following endorsements:

 

(A)                              “This
policy insures against loss or damage only on work done under Contract
No.                        
with New York City, in construction for the Department of Sanitation
                        
[PROJECT DESCRIPTION], which is susceptible to damage or loss.”

 

(B)                                The
policy must contain under the loss payable clause or by endorsement thereon:
“Loss, if any, payable to the City of New York.”

 

The omission
of any of these endorsements or clauses from the policy will be considered a
cause for rejection of the policy.

 

The policy
shall be stamped PAID, or receipted bills of payment of premium shall be
delivered with the builders’ risk insurance policy.

 

If the
insurance policy is that of a mutual company, it shall contain the following:

 

“The
City of New York shall not be liable for any premium or assessment under this
policy of insurance. The contractor who has entered into the contracted
referred to in this policy with the City of New York is solely liable.”

 

E2-2

 

(H)                               In
addition, notification of any accidents arising in the course of operations
under the contract that cause bodily injury or property damage shall also be
sent promptly to the

 

Department of Sanitation

Bureau of Legal Affairs

125 Worth Street, Room 710 

New York, NY 10013

Attention: Deputy Commissioner for Legal Affairs

 

(I)                                    The
Contractor or his engineer may apply to Department for approval of higher
deductibles based on financial capacity and quality of the carrier affording
coverage.

 

(J)                                   In
addition to the above insurance requirements, the following terms and
conditions shall apply and shall be written into the policies of insurance as
riders:

 

(1)                                  Notices of claim shall be given by the
Contractor to its insurance company within 120 days after such claim shall be
filed with the Comptroller of the City of New York.

 

(2)                                  Notices of all accidents shall be sent by
the Contractor to its insurance company and such notice shall be deemed notice
by the Contractor, by DSNY, and by the City to the insurance company.

 

(3)                                  The insurance company shall defend,
indemnify and hold harmless the City, its officers, employees and agents from
any and all claims, suits, demands or judgements by reason of property damage
or personal injuries, including death, arising out of or as a result of this
contract.

 

(4)                                  The insurer waives all rights of
subornation against the City, its officers, employees and agents.

 

(K)                               Notice
to the insurance company by the Contractor of an accident or claim on the site shall
constitute notice by DSNY and the City to the insurance company.

 

8.                                      Protection of City Property:

 

If City property is lost,
damaged or destroyed as result of the operations of the Contractor or his
subcontractors, in the performance of this contract, of from his or their
failure to comply with any of the provisions of this contract, or by law, the
Contractor shall indemnify and hold the City harmless from any and all costs
and expense which the City may be subjected to which it may suffer or incur by
reason thereof.

 

E2-3

 

MODULE F:  ATTACHMENTS

 

•                  Local Law 35
Certification (if applicable)

 

•                  Experience
Questionnaire, Financial Requirements (Questionnaire Attached)

 

•                  Supply and
Service Employment Report

 

•                  VENDEX

 

 

LOCAL LAW 35 CERTIFICATION

 

 

CERTIFICATION

 

LOCAL LAW 35

 

	
  AGENCY:

  	
   

  	
  New York
  City Department of Sanitation

  	
   

  	
  BUREAU: 
  Waste Disposal

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  PIN #:

  	
   

  	
  82703WD00036

  	
   

  	
  PROJECT: 
                         

  

 

DESCRIPTION OF
SERVICE OR SUPPLY:

 

Export Municipal
Solid Waste from the Borough of Brooklyn (2003)

 

CONDITIONS OF LOCAL LAW 35 MUST MEET ALL
OF THE FOLLOWING CRITERIA:

 

·        
Solicitation for new or renewal contracts
issued on or after October 17, 1994.

·        
 

·        
Contract is for provision of technical,
consultant or personal services (including human/client services) valued at
more than $100,000.00.

* * * * * * * * * * *

The Agency has determined that the award of this contract.

 

	
  o Will

  	
   

  	
  ý Will Not

  

 

 

directly result in the “displacement” of any City employee.

 

“Displacement” is defined by
Local Law 35 to mean “any employment action that results in a reduction in the
number of funded position, including but not limited to, those resulting from
the layoff; demotion; bumping; involuntary transfer to a new class, title, or
location; time based reductions in customary hours of work, wages, or benefits
of any city employees.”

 

	
  BY:

  	
  /s/  [Illegible]

  	
   

  	
  Date:

  	
  12-3-02

  	
   

  
	
   

  	
  Bureau Contracting Officer

  	
   

  	
   

  
	
   

  	
  (Signature/Date)

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
  BY:

  	
  /s/  [Illegible]

  	
   

  	
  Date:

  	
  12-3-02

  	
   

  
	
   

  	
  Commissioner

  	
   

  	
   

  
	
   

  	
  (Signature/Date)

  	
   

  	
   

  
								

 

 

[EXPERIENCE
QUESTIONNAIRE

AND

CONTRACTOR’S

FINANCIAL STATEMENT

 

(THE CONTRACTOR MAY SUBSTITUTE AN

ACCOUNTING STATEMENT FOR THE PRIOR SIX-

MONTH PERIOD, BUT MUST INCLUDE THE TWO

MOST RECENT BANK STATEMENTS AND THE

AFFIDAVIT OF ACCURACY ATTACHED TO THE

CONTRACTOR’S FINANCIAL STATEMENT.)]

 

CONTRACTOR’S

EMPLOYMENT
REPORT

FOR SERVICE
AND SUPPLY CONTRACTS

 

(and
Instructions)

 

 

THE CITY OF NEW YORK

DEPARTMENT OF BUSINESS SERVICES

DIVISION OF LABOR SERVICES

CONTRACT COMPLIANCE UNIT

110 WILLIAM STREET — 2nd Floor

NEW YORK, NY 10038

 

INSTRUCTIONS FOR THE SUPPLY AND SERVICE

CONTRACTOR’S EMPLOYMENT REPORT

 

CONTENTS:

 

	
  Section

  	
   

  	
   

  	
   

  
	
  I.

  	
   

  	
  Who must file a complete Employment Report

  	
   

  
	
  II.

  	
   

  	
  Who must file a “Less Than 50 Employees
  Certificate” L.T. 50

  	
   

  
	
  III.

  	
   

  	
  For which facility must an Employment
  Report be filed

  	
   

  
	
  IV.

  	
   

  	
  Who must file the “Less Than 150 Employees
  Certificate” L.T. 150

  	
   

  
	
  V.

  	
   

  	
  Where
  to file

  	
   

  
	
  VI.

  	
   

  	
  Who reviews the Employment Report

  	
   

  
	
  VII.

  	
   

  	
  What comprises the Division of Labor
  Services (DLS) Review Process

  	
   

  
	
  VIII.

  	
   

  	
  Who must sign the Employment Report, the
  “Less Than 150 Employees

  Certificate” or the “Less Than 50 Employees Certificate”

  	
   

  
	
  IX.

  	
   

  	
  How to complete the Supply and Services
  Employment Report

  	
   

  
	
   

  	
   

  	
  A.

  	
  General Information

  	
   

  
	
   

  	
   

  	
  B.

  	
  Part I - Contractor/Subcontractor
  Information

  	
   

  
	
   

  	
   

  	
  C.

  	
  Part II - Documents Required

  	
   

  
	
   

  	
   

  	
  D.

  	
  Part III - Employment Data Tables

  	
   

  
	
   

  	
   

  	
   

  	
  ICIP Applicant/Developer Contractor
  Information

  	
   

  
	
   

  	
   

  	
   

  	
  Signature
  Page

  	
   

  
	
   

  	
   

  	
   

  	
  Sample of Completed Data Tables

  	
   

  
	
  X.

  	
   

  	
  A.

  	
  Appendix
  A: Industry Codes

  	
   

  
	
   

  	
   

  	
  B.

  	
  Appendix
  B:  Broad Census Occupational Categories
  (Occupational Categories) and Detailed Listing of Occupational Titles and
  Census Codes

  	
   

  

 

NOTE:            DLS IS DEVELOPING COMPUTER CAPABILITY TO
RECEIVE WORKFORCE DATA ON DISKETTE.  IF
YOU ARE INTERESTED IN MAKING A DISK SUBMISSION FOR PART III DATA, PLEASE CALL
(212) 513-6342.

 

 

I.              WHO MUST FILE A COMPLETE EMPLOYMENT
REPORT (ER)

 

In
accordance with Chapter 56 of the New York City Charter (Chapter 56), Executive
Order No. 50 (1980) (E.O. 50), as amended, its implementing Rules (1982), the
filing of a completed ER is a requirement for doing business with the City of
New York if you meet all of the following conditions:

 

1.             you
have been identified as the lowest bidder for a supply or service contract, or
your proposal for supplies or services has been accepted;

 

2.             the
contract value exceeds $50,000; and

 

3.             your
firm employs a total of 50 or more people.

 

NOTE:            IF YOU ARE A SUBCONTRACTOR (SUPPLIER OR
MANUFACTURER) PERFORMING ON A SUPPLY AND SERVICE CONTRACT AND YOU MEET
CONDITIONS 2 AND 3 ABOVE, YOU MUST ALSO FILE A COMPLETE ER. THE CONTRACTOR IS
RESPONSIBLE FOR THE SUBMISSION OF THE ER(S) BY EACH SUBCONTRACTOR MEETING
CONDITIONS 2 AND 3.  THE ER FOR THE
PRIME CONTRACTOR WILL NOT BE CONSIDERED COMPLETE UNTIL DLS RECEIVES A COMPLETE
AND DETAILED LISTING OF EACH SUBCONTRACTOR INVOLVED IN THE CONTRACT.  COMPLETED ERS FROM EACH APPROPRIATE
SUBCONTRACTOR MUST BE SUBMITTED 10 BUSINESS DAYS FOLLOWING THE AWARD OF THE
CONTRACT.

 

II.            WHO MUST FILE A “LESS THAN 50 EMPLOYEES
CERTIFICATE”

(see ER, page 13)

 

1.             If your
contract value exceeds $50,000 and your company at all of its facilities
employs fewer than 50 employees, you need only submit a “Less Than 50 Employees
Certificate” found on page 13 of the Employment Report.

 

2.             If you
are a subcontractor to the prime contractor, the value of your subcontract
exceeds $50,000 and your company at all of its facilities employs fewer than a
total of 50 employees, you need only submit the “Less Than 50 Employees
Certificate” found on page 13 of the Employment Report.  DO NOT COMPLETE ANY OTHER PART OF THE ER.

 

III.           FOR WHICH FACILITY MUST AN ER BE FILED

 

1.             A
separate ER will be forwarded for each facility involved in the performance of
the contract.  This may be headquarters
or any “independently operating facility”.

 

2.             An “independently
operating facility” is headquarters or a site separate from headquarters that
makes its own personnel decisions including hires, transfers, promotions and
termination.  If staff employed by a
facility are simply sent to a separate location to perform their work, they are
still considered part of that facility and are included in one ER.

 

 

3.             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.

 

NOTE:            IF YOU HAVE ANY QUESTIONS RELATING TO WHICH
FACILITY(IES) YOUR ORGANIZATION MUST COMPLETE AND SUBMIT INFORMATION, PLEASE
CONTACT THE APPROPRIATE CITY AGENCY AS IDENTIFIED IN SECTION V BELOW.

 

IV.           WHO MUST FILE A “LESS THAN 150
EMPLOYEES CERTIFICATE”

(see ER, page 14)

 

1.             If your
contract value exceeds $50,000 and your company employs between 50 and 149
employees, only Parts I and II and the “Less Than 150 Employees Certificate”
(see page 14 of the Employment Report) need be completed and submitted for each
independently operating facility.  DO
NOT COMPLETE PART III (Pages 11 - 13), of the ER.

 

2.             If your
company is a subcontractor, the value of your subcontract exceeds $50,000 and
your company employs between 50 and 149 employees, only Parts I and II and the
“Less Than 150 Employees Certificate” (see page 14 of the Employment Report)
need be completed and submitted for each independently operating facility.  DO NOT COMPLETE PART III (Pages 10 - 12)
of the ER.

 

V.            WHERE TO FILE

 

1.             The
ER(s) or the “Less Than 50 Employees Certificate(s)” must be returned to the
city agency with which you are contracting (contracting agency), and all
inquiries, regarding the Instructions and/or the ER must be directed to the
contracting agency, as well.

 

2.             DEPARTMENT
OF GENERAL SERVICES/DIVISION OF MUNICIPAL SUPPLIES CONTRACTORS ONLY.  If you are contracting through the
Department of General Services/Division of Municipal Supplies, you will submit
the ER or “Less Than 50 Employees Certificate” directly to Division of Labor
Services, 110 William Street, 2nd Floor, New York, NY 10038.  All inquiries regarding the Employment
Report Instructions and/or the ER must be directed to DLS.

 

NOTE:            THE ORIGINAL EMPLOYMENT REPORT MUST BE
SUBMITTED FOR DLS’ REVIEW.  HOWEVER, YOU
SHOULD KEEP COPIES OF ALL MATERIALS AND DOCUMENTS SUBMITTED FOR EASY REFERENCE
DURING AND AFTER THE REVIEW.

 

 

VI.           WHO REVIEWS THE EMPLOYMENT REPORT

 

The
contracting agency and/or DLS reviews the ER for completeness.  If any portion is incomplete you will be
notified.

 

Upon
receipt of a completed ER, it is reviewed by DLS to ensure that your firm or
organization is in compliance with the City’s equal employment opportunity
requirements.

 

VII.          WHAT COMPRISES THE DIVISION OF LABOR
SERVICES’ REVIEW PROCESS

 

In
accordance with E.O. 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 a statistical analysis of the 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:

 

a)             A Certificate of Compliance valid for 24
months;

b)            A Conditional Certificate of Compliance,
valid for 3 months contingent upon conditions being satisfied;

c)             An Administrative Certificate of
Compliance, valid for 24 months;

d)            A Conditional Administrative Certificate
of Compliance, valid for 3 months, if conditions are satisfied;

e)             Recertification Certificate valid for 24
months;

f)             Continued Compliance Certificate, good
for the instant contract if a Certificate of Compliance has been issued; or

g)            A Compliance Review Analysis Report.  (If the analysis yields a finding of
underutilization of minorities and/or women resulting from policies or
procedures that may have a discriminatory effect, or other employment policies
or practices mitigating against equal employment opportunity, the contractor
will be asked to attend a conference to present a legal and/or factual
explanation, or to develop an Employment Program.  Any firm or organization making good faith efforts to take
necessary corrective actions to change policies found to have a disparate
effect on women and minorities may be issued a Conditional Certificate of
Compliance.)

 

 

VIII.        WHO MUST SIGN THE EMPLOYMENT REPORT,
THE “LESS THAN 150 EMPLOYEES CERTIFICATE” OR THE “LESS THAN 50 EMPLOYEES
CERTIFICATE”

 

The
signatory of these and all other documents submitted to DLS must be an official
of the firm, authorized to enter into binding legal agreements.

 

NOTE:    DLS WILL ONLY ACCEPT ORIGINAL
SIGNATURES.

COPIES WILL BE REJECTED.

 

IX.           HOW TO COMPLETE THE EMPLOYMENT REPORT

 

A.            General Information

 

1.             Check
the appropriate the contractual relationship (a or b) you will have with the
City as a result of this contract.  If
you are a subcontractor, you must state the name of the contractor for whom you
are providing the goods, services, etc.

 

2.             Identify
the facility represented by the information submitted in this Employment
Report.

 

3.             You
must provide your Employer Identification or Tax Number.

 

4.             You
must indicate the number of employees at this facility.

 

5.             You
must check the entry corresponding with the description of your firm’s
ownership.

 

6.             Identify
your firm’s industry code (see Appendix A).

 

NOTE:            READ BEFORE COMPLETING
B.  PART I

 

You say complete and submit only Part I, if
any of the three (3) following conditions apply to your organization.

 

1.             You
Have Prior Approval From DLS

 

You have a valid Certificate of Compliance,
Conditional, Certificate of Compliance, Administrative Certificate of Approval
or Conditional Administrative Certificate of Approval, issued by DLS within the
past 24 months for the facility(ies) performing on this contract.  If so, complete only Part I and the required
attachments.  (See Question 9a. of the
ER).

 

2.             You
Have Previously Submitted a Complete ER for this Facility

 

You have previously submitted an ER on this
same facility for a different contract for which you have not yet received
compliance approval.  If so,

 

 

complete only Part I and the required attachments.  (See Question 9b. of the ER).

 

3.             You
Have Prior Approval From OFCCP

 

The facility(ies) involved in the performance
of this contract has within the past 12 months undergone an audit and received
approval by the U.S. Department of Labor, Office of Federal Contract Compliance
Programs (“OFCCP”) and is in compliance with all other requirements of E.O. 50
and its implementing Rules.  If so,
complete only Part I and submit the required attachments.  (See Question 10 of the ER).

 

B.            Part I - Contractor/Subcontractor
Information

 

1.             State
the name of your organization.

 

2.             State
the full address of the facility at which this ER was completed.

 

3.             Identify
the Chief Operating Officer of the organization (not necessarily the
facility).  Please provide a telephone
number.

 

4.             Please
provide the name of the person who can explain the information submitted in
this report, or respond to questions raised in connection with the review of
this report.  Provide the telephone
number at which this person can be reached. 
If this person is located at an address different from the facility for
which this report is being submitted, provide the address where they can
receive correspondence directly.  If
available, include fax number.

 

5.             Explain
the nature of the good(s) and/or service(s) being provided under this contract.
(see page 2 of the ER)

 

6a.           Identify
the Agency with which you have the contract to provide the good(s) and/or
service(s).  If the Department of
General Services/Division of Municipal Supplies (DMS) is contracting with your
organization on behalf of a user agency (e.g. Department of Sanitation), please
indicate that DMS is the contracting agency.

 

b.             Identify
the contract value.

 

c.             Identify
the term or duration of the contract. 
If no terms or expiration date is indicated in the contract, please
indicate your projected performance completion date.

 

7.             List
the names and addresses of all of your firm’s facilities which are performing
work on this contract.  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 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, refer to Section III, page 1 of
these instructions and/or call DLS at (212) 618-8836 or 513-6342.

 

IF YOU FAIL TO IDENTIFY ALL OF THE OPERATING FACILITIES, THE OMISSION
WILL RENDER THE EMPLOYMENT REPORT SUBMISSION INCOMPLETE. INCOMPLETENESS WILL
INTERRUPT AND DELAY THE COMPLIANCE REVIEW IN PROGRESS.

 

AN ER, COMPLETED PURSUANT TO THESE INSTRUCTIONS, MUST BE SUBMITTED FOR
EACH OF THE FACILITIES LISTED ABOVE IN QUESTION 7.

 

8.             IMPORTANT.  All subcontractors with subcontracts in
excess of $50,000 must be identified by name and address.  As a selected proposed contractor you must
ensure that each of your subcontractors obtain an Employment Report as soon as
possible after your organization is selected to perform on the City contract.

 

9a.           This
question refers to your firm’s particular facility locations which have been
reviewed and certified within the past 24 months.  If the operating facilities in the current proposed contract
include any location(s) different from those reviewed and certified in the past
24 months, ERs must be submitted for these facilities. (See Instructions
Sections III and IV).

 

9b.           If all
of the facilities involved in this proposed contract of the ER being reviewed
by DLS, then you may complete and submit only Part I of the ER for each
operating facility.  Be certain to
identify the date on which you submitted the completed ER(s), 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.

 

10.           Was an
Approval issued in the last 24 months pursuant to an OFCCP Audit of the
facility for which this ER is being submitted? 
When answering this question, be careful to consider only those
locations which the OFCCP actually audited. 
DLS will not consider OFCCP approvals and certifications for facility
locations which were not actually audited.

 

a.             Identify the reviewing OFCCP office by
its name and address;

 

 

b.             Was an unconditional certificate of
compliance issued within the past 24 months by the OFCCP?  If yes, attach a copy of the certificate in
lieu of completing Employment Report Parts II and III.

 

c.             Provide a copy of all stated OFCCP
findings.  Include copies of all
corrective actions and documentation of their performance.

 

IF YOU ARE SUBMITTING ONLY PART I OF THE ER, YOU MUST SUBMIT A COPY OF
THE FIRM’S EEO STATEMENT AS IT IS PRESENTED IN THE COMPANY PUBLICATIONS/POSTED
ON BULLETIN BOARDS.

 

If
you are only required to complete Employment Report Part I, TURN TO PAGE 8 of
the Employment Report and sign and notarize the Employment Report.  Then submit it to the appropriate
contracting agency. (See Section V. page 2)

 

C.            Part II – DOCUMENTS PROVIDED

 

Questions

11a.                         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) or benefit(s) is located and submit copies of each
document.

 

If your firm follows unwritten practices or procedures, then you must
explain in writing how they operate.

 

REMEMBER TO LABEL ALL DOCUMENTS WITH THE QUESTION NUMBER FOR WHICH THEY
ARE SUBMITTED.

 

Questions

12a. and b.             There are two parts to this question.  Part (a) concerns the manner/method by which
you comply with the requirements of the Immigration Reform and Control Act of
1986 (IRCA).  Part (b) inquires into
where and how I-9 Forms are maintained and stored.

 

Questions

13a. and b.             There are two parts to this question.  Part (a) concerns the firm’s requirement
that an applicant or employee be subjected to a medical examination at any
given time.  Part (b) requires the
submission of medical information questionnaires used by the firm.

 

Questions

14a. and b.             There are two parts to this question.  Part (a) asks you to indicate the existence
and location of all statements of your firm’s Equal Employment

 

 

Opportunity policy and to attach a copy of each statement.  Part (b) asks you to submit your current
Affirmative Action Plan(s).

 

Questions

15a. and b.             There are two parts to this question.  If your firm or collective bargaining
agreement has an internal grievance procedure, part (a) asks you to indicate
this and submit a copy of the policy and procedure.  If unwritten, part (b) asks you to explain is nature and operation.  Explain how your firm’s procedure addresses
EEO complaints.

 

Question 16.          If your employees have used an internal grievance
procedure in the last three (3) years, please submit an explanation in the
format indicated below:

 

	
  Number the

  Complaint(s)

  (e.g. 1, 2, 3 ...)

  	
   

  	
  Nature of the

  Complaint(s)

  	
   

  	
  Position(s) of

  Complainant(s)

  	
   

  	
  Investigation

  Conducted

  Yes/No, Type

  	
   

  	
  Current

  Status/Disposition

  

 

Question 17.          Indicate whether in the past three (3) years
complaints have been filed with a court of law or administrative agency, naming
your firm 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:

 

	
  Name(s) of

  Complainant(s)

  	
   

  	
  Administrative agency

  or court in which

  action was filed

  	
   

  	
  Nature of the

  Complaint(s)

  	
   

  	
  Current

  Status

  	
   

  	
  If not pending,

  the Complaint’s

  Disposition

  

 

Question 18.          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 19.          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 20.          If the conditions apply, check the appropriate
boxes.

 

Question 21.          Please indicate 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.

 

 

D.            Part III:  Employment Data Tables Include:

 

Form A.                  Job Classification and
Incumbents Form (see ER, page 11)

 

Form B.                  New Hires Form/Tracking
Employees Hired Over The Last Three Years (see ER, page 11)

 

Form C.                  Terminations Form:  Employment Termination Over The Last Three
Years (see ER, page 12)

 

NOTE:            IDENTIFY THE FIRM AND FACILITY LOCATION AT
THE TOP RIGHT CORNER OF EACH WORKFORCE DATA TABLE PAGE.  THESE SHEETS ARE SEPARATED FROM THE OTHER
EMPLOYMENT REPORT MATERIALS FOR PURPOSES OF COMPUTER PROCESSING.

 

FORM A.  JOB CLASSIFICATION AND INCUMBENTS REPORT

 

FILL OUT THIS FORM AS FOLLOWS:  (See page 10 of the ER)

 

1.             Occupational
Category

 

(a)           This form
requires that you list and classify each company job title which exists in the
reported facility.

 

(b)           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 25) 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.  For purposes of this report
please use only the nine categories listed on Form A.

 

(c)           Before
you fill out 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.

 

(d)           You must
use separate pages of Form A for each occupational category.  You should photocopy as many forms as you
reed to report all of the titles.

 

(e)           You must
indicate the name and location of the reported facility in the upper right hand
corner of Form A.

 

Column 1 - Company Job Title

 

1.             List
all job titles which fall within the category circled. (These are titles, not
census codes, occupational categories or specific people)

 

 

NOTE:            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 (EMPLOYMENT REPORT, PAGE 15) AND DLS WILL CLASSIFY
THAT TITLE FOR YOU.

 

2.             If,
within the past three years, employees were hired into or terminated from a job
title which is no longer utilized by your firm, the job title must be reported
and job grouped in columns 1 and 3.

 

Column 2 - Company Job Number

 

1.             Assign
a job number to each company job title listed in column 1.  If your company does not use numbers to
identify job titles, then simply assign a number to each job title.  COMPANY JOB NUMBERS MUST BE JOB TITLE
DISTINCT AND EACH JOB NUMBER CAN BE USED ONLY ONCE.  EACH JOB TITLE MUST BE ASSIGNED TO ONE AND ONLY ONE JOB NUMBER.

 

2.             Job
numbers must have at least one digit and no more than 7 digits or spaces.  You may use numbers, letters, dashes or
slashes.

 

3.             These
numbers will be used again in columns 5 and 8 of the New Hires Form and column
6 of the Termination Form.

 

Column 3 - Census Codes

 

1.             Refer
to the occupational titles in Appendix B (page 26 of these Instructions).  Find the occupational title which most
closely matches the job function of the title in column 1, then list the
corresponding census code.

 

2.             Where
applicable, the same census code may be assigned to different job titles. For
example, the job titles senior accountant and junior accountant may both be
assigned census code 023 (accountants and auditors).

 

NOTE:            IF YOU ARE UNABLE TO FIND A SUITABLE CENSUS
CODE MATCH TO ONE OR MORE OF YOUR COMPANY JOB TITLES, FILL IN THE JOB
DESCRIPTION FORM (ER, PAGE 15) AND DLS WILL MATCH IT TO A CENSUS CODE.

 

Column 4 - Job Groups (Column 4 is divided into five
sub-columns.)

 

1.             JOB
GROUPS are rankings of job titles within occupational categories each job group
should contain jobs with similar content (i.e., duties and responsibilities,
pay rate and employment opportunity).

 

2.             Look at
each of the job titles (column 1) that fall within the same occupational
categories (Column 3) and rank the job titles (i.e.. rank all managerial titles

 

 

against one another, then clerical titles against one
another, then the professional titles against one another and so on).

 

3.             Within
each occupational category, job group 1 is the job group containing the job
titles with the highest wage rates, best opportunities and most
responsibility.  The next highest level
of job titles are similarly checked off in job group 2 and so on.

 

4.             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, THEN JOB GROUP 3 AND SO ON.  (It is not necessary to reach Job Group 5,
and in fact most small and medium-sized organizations do not.)

 

NOTE:            UNDER LIMITED CIRCUMSTANCES, DLS WILL 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, YOU MAY CALL DLS AND ASK FOR THE TECHNICAL
ASSISTANCE UNIT AT (212) 513-6342 or 618-8836.

 

COLUMNS 5 – 15: 
(INCUMBENTS)

 

1.             In
Column 5, record the total number of your current employees by job title.

 

2.             In
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).

 

3.             “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.

 

4.             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

 

FILL OUT THIS FORM AS FOLLOWS:  (See page 11 of the ER)

 

1.             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.

 

2.             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.

 

Column 1 - Social Security No. or Employee ID No.

 

1.             Write
the social security number or employee ID number of all employees hired. Each
permanent ID number must be employee specific.

 

Columns 2-3: 
Sex and Race/Ethnic Code

 

1.             Using
the codes at the bottom of the form, fill in the sex and race of each employee
listed in column 1.

 

2.             “Minority,”
“Minorities. “ or “Minority Group” means: 
Black, Hispanic (non-European), Asian, and Native American (American
Indian, Eskimo, Aleut).  These groups
are defined on page 10 of these Instructions.

 

Column 4 - Year of Hire

 

1.             Enter
year of hire for each employee hired within the past three years.

 

2.             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.

 

Column 5 - Company Job Number at Hire

 

1.             List
the company job number (Form A, Column 2) for the title in which the employee
was hired.

 

2.             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.

 

 

NOTE:            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
8.  DO NOT SUBSTITUTE 6 FOR 006.

 

Column 6 – Matching Census Code

 

1.             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.

 

2.             When
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.

 

3.             Where
applicable, the same census code nay 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).

 

4.             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 in the Employment Report, page 15)
and DLS will match it to a census code.

 

Column 7 - Weekly Salary at Hire

 

1.             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).

 

Column 8 - Current Company Job Number

 

1.             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.

 

2.             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.

 

NOTE:            REMEMBER THAT ALL COMPANY JOB NUMBERS
UTILIZED ON THIS FORM MUST HAVE BEEN REPORTED ON FORM A.

 

Column 9 - Weekly Current Salary

 

1.             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.

 

 

2.             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

 

FILL OUT THIS FORM AS FOLLOWS:  (See page 12 of the ER)

 

1.             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.

 

2.             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.

 

Column 1: 
Social Security No. or Employee ID No.

 

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.

 

Columns 2-3: 
Sex and Race/Ethnic Code

 

1.             Using
the codes at the bottom of the form fill in the sex and race of each employee
listed in column 1.

 

2.             “Minority,”
“Minorities,” or “Minority Group” means: 
Black, Hispanic (non-European), Asian, and Native American (American
Indian, Eskimo, Aleut).  These groups
are defined on page 10 of these Instructions.

 

Column 4:  Age
at Termination

 

1.             Indicate
the age of each employee listed.  PLEASE
DO NOT GIVE BIRTHDATES.

 

Column 5:  Year
of Hire

 

1.             If any
employee listed on this form was rehired, enter the year of last hire.

 

Column 6:  Last
Company Job Number

 

1.             Enter
the last company job number assigned to terminees (this number must be from the
job numbers assigned on Form A, column 2).

 

 

Remember that all company job numbers utilized on this
form must be reported on the Form A, even if the title and number no longer
exist.

 

Column 7:  Year
of Termination

 

1.             Indicate
the year of employee’s termination.

 

Column 8:  Type
of Termination

 

1.             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.

 

NOTE:            REMEMBER THAT ALL COMPANY JOB NUMBERS
UTILIZED ON THIS FORM MUST HAVE BEEN REPORTED ON FORM A.

 

 

Instruction
for Completing Questions for

ICIP Applicant/Developer
Contractor Information

 

	
  (a, b)

  	
   

  	
  State the lot and block number for this project.

  
	
   

  	
   

  	
   

  
	
  (c)

  	
   

  	
  State the address of the project and a trade-specific description of
  the work to be performed.

  
	
   

  	
   

  	
   

  
	
  (d)

  	
   

  	
  State the borough in which this work is being performed.

  
	
   

  	
   

  	
   

  
	
  (e)

  	
   

  	
  State the preliminary application number issued by the Department of
  Finance.

  
	
   

  	
   

  	
   

  
	
  (f)

  	
   

  	
  State the organizational or corporate name of the applicant of this
  tax abatement.

  
	
   

  	
   

  	
   

  
	
  (g)

  	
   

  	
  State the address for the headquarters of the organization, listed in
  (f).

  
	
   

  	
   

  	
   

  
	
  (h, i)

  	
   

  	
  State the name, title and telephone number of the person to contact
  at the organization listed in (f).

  
	
   

  	
   

  	
   

  
	
  (j)

  	
   

  	
  State your corporation or organization’s employer identification or
  social security number used for tax purposes.

  
	
   

  	
   

  	
   

  
	
  (k)

  	
   

  	
  State the name of any organization or corporate entity with which
  your organization has contracted a consultant on this project.

  
	
   

  	
   

  	
   

  
	
  (l)

  	
   

  	
  State the cost of this construction project as estimated on the
  preliminary application form.

  
	
   

  	
   

  	
   

  
	
  (m)

  	
   

  	
  State the commencement date for this entire project.

  
	
   

  	
   

  	
   

  
	
  (n)

  	
   

  	
  State the completion date for this entire project.

  
	
   

  	
   

  	
   

  
	
  (o)

  	
   

  	
  Indicate whether your organization or corporate identity has
  contracted with a Construction Manager or general Contractor on this
  project.  (It is possible that this
  project will use both Construction Managers and General Contractors.  If so, please indicate this fact.  It is possible that the work on this
  project will be performed and/or monitored in phases.  If there is more than one Construction
  Manager, please indicate this.

  
	
   

  	
   

  	
   

  
	
  (p-s)

  	
   

  	
  State the organizational corporate name, address and contact person
  of the entity(ies) represented in response to (o).  Also, indicate the proposed contract amount(s).

  
	
   

  	
   

  	
   

  
	
  (t)

  	
   

  	
  Indicate whether subcontractors are being used on this project.  If more than one subcontractor is being
  used, indicate the number of subcontractors in the bracket next to the
  “yes” response, here.

  
	
   

  	
   

  	
   

  
	
  (u-x)

  	
   

  	
  State the organizational or corporate name, address, and contact
  person or the entity represented in response to (t).  Also, indicate the proposed contract
  amount(s).

  

 

 

SIGNATURE PAGE
(See page 8 of the ER)

 

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.

 

rev: 4/94

 

 

APPENDIX A: 
INDUSTRY CODES

 

INDUSTRY CATEGORY

 

	
   

  	
   

  	
  AGRICULTURE, FORESTRY, AND FISHERIES

  
	
   

  	
   

  	
   

  
	
  010

  	
   

  	
  Agricultura1 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

  
	
   

  	
   

  	
   

  
	
  060

  	
   

  	
  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

  
	
  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

  	
   

  	
  Ordinance

  
	
  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

  
	
  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

  
	
  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

  
	
  760

  	
   

  	
  Miscellaneous repair services

  
	
   

  	
   

  	
  PERSONAL SERVICES

  
	
  761

  	
   

  	
  Private households

  

 

 

	
  762

  	
   

  	
  Hotel and motels

  
	
  770

  	
   

  	
  Lodging places, except 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

  
	
   

  	
   

  	
  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

  

 

 

APPENDIX B:
OCCUPATIONAL CATEGORIES AND CENSUS CODES

BROAD CENSUS OCCUPATIONAL CATEGORIES

 

	
  1.

  	
   

  	
  Executive, Administrative and Managerial Occupations

  (Managerial)
  Codes 003 through 037

  
	
  2.

  	
   

  	
  Professional 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

  

 

 

1990 CENSUS DETAILED LISTING OF OCCUPATIONAL
TITLE CODES

 

	
  1990

  CENSUS

  CODE

  	
   

  	
  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 Relate Occupations

  
	
  023

  	
   

  	
  Accountants and auditors

  
	
  024

  	
   

  	
  Underwriters

  
	
  025

  	
   

  	
  Other financial officers

  
	
  026

  	
   

  	
  Management analysts

  
	
  027

  	
   

  	
  Personnel, training, and labor relations specialists

  
	
  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

  	
   

  	
  Dieticians

  
	
   

  	
   

  	
  Therapists

  
	
  098

  	
   

  	
  Respiratory therapists

  
	
  099

  	
   

  	
  Occupational therapists

  
	
  103

  	
   

  	
  Physical therapists

  
	
  104

  	
   

  	
  Speech therapists

  
	
  105

  	
   

  	
  Therapists, n.e.c.

  
	
  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

  
	
  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

  
	
  274

  	
   

  	
  Sales workers, other commodities

  
	
  275

  	
   

  	
  Sales counter clerks

  
	
  276

  	
   

  	
  Cashiers

  
	
  277

  	
   

  	
  Street and door-to-door sales workers

  
	
  275

  	
   

  	
  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

  
	
  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 Occupation

  
	
  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. firefighters 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 institutional 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

  
	
  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

  
	
  493

  	
   

  	
  Marine life cultivation workers

  
	
  484

  	
   

  	
  Nursery workers

  
	
   

  	
   

  	
  Related Agricultural Occupations

  
	
  485

  	
   

  	
  Supervisors, related agricultural
  occupations

  
	
  486

  	
   

  	
  Groundskeepers 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, except engine

  
	
  516

  	
   

  	
  Heavy equipment mechanics

  
	
  517

  	
   

  	
  Farm equipment mechanics

  
	
  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, planners, 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

  
	
  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

  
	
  655

  	
   

  	
  Patternmakers and model makers, wood

  

 

 

	
  651

  	
   

  	
  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

  
	
  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

  	
   

  	
  Meat treating equipment operators

  
	
  725

  	
   

  	
  Miscellaneous metal and plastic processing
  machine operators

  
	
   

  	
   

  	
  Woodworking Machine Operators

  
	
  726

  	
   

  	
  Wood lathe, routing, and planning 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

  
	
  736

  	
   

  	
  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, except
  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

  
	
  799

  	
   

  	
  Graders and sorters, except agricultural

  
	
   

  	
   

  	
  Transportation and Material Moving Occupations

  
	
   

  	
   

  	
  Motor Vehicle Operators

  
	
  803

  	
   

  	
  Supervisors, motor vehicle operators

  
	
  804

  	
   

  	
  Truck drivers

  
	
  805

  	
   

  	
  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

  
	
   

  	
   

  	
  EXPERIENCED UNEMPLOYED NOT CLASSIFIED BY
  OCCUPATION

  
	
  909

  	
   

  	
  Last worked 1984 or earlier

  

 

3/94

 

THE CITY OF NEW YORK

DEPARTMENT OF BUSINESS SERVICES

DIVISION OF LABOR SERVICES

CONTRACT COMPLIANCE UNIT

110 William Street, 2nd Floor

New York, New York 10038

 

 

SUPPLY
AND SERVICE

 

EMPLOYMENT

 

REPORT

 

 

 

	
   

  	
   

  	
  Official Use
  Only

  
	
  To Be
  Completed By

  Contracting Agency

  	
   

  	
   

  
	
   

  	
   

  	
  DLS
  Contractor File No.

  
	
   

  	
   

  	
   

  
	
  Contracting
  Agency Name/

  Division

  	
   

  	
  Check One:

  	
  Submission
  Type: 

  
	
   

  	
  Pre-award 

  
	
   

  	
   

  	
   

  	
  Post-award

  
	
  Liaison/Telephone
  No.

  	
   

  	
   

  	
  Pre-certification

  
	
   

  	
   

  	
   

  
	
  Date
  Transmitted

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  Contracting
  Agency

  Contract No.

  	
   

  	
   

  

 

 

THE
CITY OF NEW YORK

DEPARTMENT OF BUSINESS SERVICES

DIVISION OF LABOR SERVICES

110 William Street, 2nd Floor

New York, New York 10038

(212) 513-6433 or 513-6323

Fax No. (212) 618-8899

 

SUPPLY
AND SERVICE EMPLOYMENT REPORT

 

A.    GENERAL INFORMATION:

 

1.         You
contractual relationship in this contract is:

a.  Contractor
           (e.g., Vendor,
Prime, Other)

b.  Subcontractor
           (e.g., Supplier,
Manufacturer, Other)

 

2.         This
ER is for Headquarters
                              
Operating Facility                               

 

3.         Employer/Identification: 
                                                  

 

4.         Number
of Employees at this facility (location): 
                                        

 

	
  5.

  	
  This firm is
  a :

  	
   

  	
  Minority
  Business Enterprise

  
	
   

  	
   

  	
   

  	
  Minority/Woman
  Business Enterprise

  
	
   

  	
   

  	
   

  	
  Woman-owned
  Business Enterprise

  
	
   

  	
   

  	
   

  	
  Other

  
	
   

  	
   

  	
   

  	
   

  
	
  6.

  	
  Industry
  Code:

  	
   

  	
   

  

 

B.        PART I.      CONTRACTOR/SUBCONTRACTOR INFORMATION*

 

1.          

Contractor/Subcontractor Name

1a.  If subcontractor, name of
prime contractor is

 

2.

Facility Address

 

	
  City

  	
   

  	
  State

  	
   

  	
  Zip Code

  	
   

  	
  County

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  3.

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Chief Operating Officer

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Telephone Number

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  4.

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Name of Designated Equal Opportunity Compliance Officer (or Name of
  Person to Contact Concerning this Employment Report)

  	
   

  	
   

  	
   

  	
  Telephone Number

  
										

 

 

	
   

  	
   

  	
   

  
	
  Address of Designated Equal Opportunity Compliance Officer

  	
   

  	
  Facsimile
  Number

  

 

* Industrial Commercial
Incentive Program applicants or developers please see page 16 which should be
completed in addition to

Part I.

 

5.

Nature of Contract to be Performed

 

6.         (a)

Contracting Agency (City Agency)

 

	
  (b)

  	
   

  	
  (c)

  
	
  Contract Amount

  	
   

  	
  Term of Contract

  

 

7.         List
each of the firm’s facilities, the addresses and the number of employees, where
this contract or parts of this contract will be performed.  (A facility is the headquarters or an
operating location which 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).

 

 

 

8.         Is
any part of this contract, in an amount exceeding $50,000, to be performed by a
subcontractor?

Yes      
No       Not Known At This Time
          .  If yes, please list the names) and
address(es) of the subcontractor(s), and either submit 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 Employment Report Instructions for subcontractor
submission requirements.

 

 

 

 

9a.       Has
the Division of Labor Services (DLS) within the past twenty-four (24) months
reviewed an ER submission for your organization and issued a Certificate of
Compliance, Administrative Certificate of Compliance, or a Recertification
Certificate to your firm for the facility(ies) involved in the performance of
this contract? Yes      
No      .

 

9b.       Has
DLS within the past three (3) months reviewed an ER submission for your
organization and issued a Conditional Certificate of Compliance, or Conditional
Administrative Certificate of Compliance. 
Yes      
No      .

 

 

If yes to 9a or b, submit the following documents:  ATTACH A COPY OF THE CERTIFICATE; a
completed Part I of the ER; a copy of your equal employment opportunity (EEO)
statement as it is presented in company publications and posted on bulletin
boards; and a signed and notarized ER signature page.

 

NOTE:  DLS WILL NOT ISSUE A CONTINUED COMPLIANCE CERTIFICATE OR
RECERTIFICATION IN CONNECTION WITH THIS CONTRACT UNLESS THE REQUIRED CORRECTIVE
ACTIONS IN PRIOR CONDITIONAL CERTIFICATES OF COMPLIANCE HAVE BEEN TAKEN WITHIN
THREE MONTHS OF THE ISSUANCE OF SUCH DOCUMENT.

 

9c.       Has
an Employment Report already been submitted for a different contract. (not
covered by this Employment Report) for which you have not yet received a
compliance certificate? 
Yes       No      
If yes, for the facility(ies) covered by the Employment Report already
submitted and not yet approved, complete only Part I of the Employment Report
and provide DLS with the date the Employment Report was submitted, the name of
the City agency with whom the contract is made and the name and telephone
number of the person to whom the Employment Report was submitted.

 

Date submitted: 

 

Agency to which submitted:

 

Name and Title of Agency Person: 

 

Telephone: 

 

10.       Has
your firm at the facility(ies) involved in the performance of this contract, in
the past twenty-four (24) 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 twenty-four
(24) months? 
Yes      
No       If yes, ATTACH A COPY OF SUCH CERTIFICATE.  NOTE: 
You may submit a copy of such certificate in lieu of completing Parts II
& III of this Employment Report. 
Please sign and notarize the signature page of the ER on page 9 or it
will not be accepted by DLS.

 

 

ATTACH A COPY OF YOUR EEO
STATEMENT AS IT IS PRESENTED IN COMPANY PUBLICATIONS AND/OR POSTED ON BULLETIN
BOARDS.

NOTE:  Your firm must comply with the
requirements of NEW YORK CITY CHARTER CHAPTER 56, EXECUTIVE ORDER NO. 50 (1980)
and the implementing Rules.  This
includes the promulgation and dissemination of an EEO Statement which includes
the protected groups identified by race, color, age, sex, creed, national
origin, disability, marital status, sexual orientation and citizenship status
as stated in Section 3(i) of E.O. 50.

 

c.     Were
any corrective actions required or agreed to? 
Yes      
No       If yes, ATTACH A COPY OF SUCH
REQUIREMENTS OR AGREEMENTS.  NOTE:  If corrective actions were agreed to or were
taken, you must submit documentation (including the letters of deficiency and
the conciliation agreement) regarding these corrective measures in lieu of
completing Parts II & III of this Employment Report.  DLS requires the submission of all future
reports concerning implementation of corrective measures and/or a completed
Employment Report.

 

C.        PART II: 
DOCUMENTS REQUIRED

 

THE DOCUMENTS LISTED BELOW MUST
BE SUBMITTED WITH THIS EMPLOYMENT REPORT. These documents may be in the form of
printed booklets, brochures, manuals, memoranda, etc.  Please make certain that you submit the MOST CURRENT DOCUMENT(S),
including all applicable amendments to the plans or policies.

 

NOTE:  IF EACH FACILITY PERFORMING ON THE CONTRACT USES EXACTLY THE SAME
SET OF DOCUMENTS, PLEASE INDICATE AND SUBMIT ONE COMPLETE SET.  HOWEVER, IF ANY FACILITY HAS ADDITIONAL
(FACILITY SPECIFIC) POLICIES AND PROCEDURES, THEN COPIES OF THESE DOCUMENTS
MUST BE SUBMITTED WITH EACH RESPECTIVE EMPLOYMENT REPORT.  THE OMISSION OF SUCH FACILITY SPECIFIC
DOCUMENTS WILL RENDER THE EMPLOYMENT REPORT INCOMPLETE.

 

11.       Please
submit the following documents or policies. 
If the policy(ies) are unwritten, attach a full explanation of the
practices.  List and submit each
document and/or unwritten practice explanation and label it according to the
question to it which it corresponds (e.g. 11a, 11b, etc.)

 

Yes or No

 

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?

 

 

12a.     To
comply with the Immigration Reform and Control Act of 1986 when and of whom
does your firm require the completion of an 1-9 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      

  

 

12b.     Explain
where and how completed I-9 Forms, with their supportive documentation, are
maintained and made accessible.   

 

 

13a.     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:

 

	
  1)             prior to a job offer

  	
   

  	
  Yes      
  No      

  
	
  2)             after a conditional job offer

  	
   

  	
  Yes      
  No      

  
	
  3)             after a job offer

  	
   

  	
  Yes      
  No      

  
	
  4)             to all applicants

  	
   

  	
  Yes      
  No      

  
	
  5)             only to some applicants

  	
   

  	
  Yes      
  No      

  

 

If yes, for which applicants

 

 

13b.     Attach copies of all medical examination or
questionnaire forms and instructions utilized for these examinations.

 

14a.     Do you have a written equal employment opportunity
(EEO) policy?

Yes       No      
If yes, list the document(s) and page number(s), etc. where these written

 

 

policies are located.  If the
EEO Policy is contained in a document(s) other than that submitted in Part II
of the Employment Report, ATTACH A COPY OF EACH DOCUMENT.

 

14b.     Does the operating facility(ies) have a current
affirmative action plan(s) (AAP) developed pursuant to U.S. Executive Order No.
11246 or other Federal law. 
Yes      
No       If yes, ATTACH A COPY(IES) OF THE AAP(S)
and check the appropriate box(es) indicating which protected group(s) are
covered by the AAP.

 

	
   ̈        Minorities
  and Women

  	
   

  	
   ̈ Individuals with Handicaps

  	
   

  	
   ̈ Other

  (specify)                 

  

 

15a.     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.

 

15b.     If no, ATTACH a report detailing your firm’s
unwritten procedure for handling EEO complaints.

 

16.       Has any employee, within the past three years,
filed a complaint pursuant to an internal grievance procedure with any official
of your firm with respect to equal employment opportunity?  Yes      
No      

 

If the answer to question 16 is “Yes”, attach an internal complaint log
summarizing the nature of the complaints (e.g. allegation of failure to promote
based on race, sexual harassment, etc.), positions of the complainants, whether
investigations were made and dispositions, if any.  You need not submit the names of the complainants (if deemed
necessary, DLS may require submission of these names).

 

17.       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?  (i.e. Title
VII of the 1964 Civil Rights Act; Age Discrimination in Employment Act;
Rehabilitation Act of 1973; Americans with Disabilities Act of 1990; Executive
Order No. 11246; Civil Rights Act of 1866 (42 U.S.C. §1981); state or local
fair employment practices laws) Yes      
No      

 

If the answer to question 17 is “Yes” attach a log, including the
name(s) of the complainant, the administrative agency or court in which the
action was filed, the nature and current status or disposition.  ATTACH A COPY(IES) OF ANY ORDER, CONSENT
DECREE OR DECISION resulting from any action explained by this response.

 

18.       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).

 

 

19.       Are there any jobs for which there are age,
race, color, national origin, sex, creed, disability, marital status, sexual
orientation or citizenship status qualifications?  

Yes       No      
If yes, list the job(s), submit a job description(s), and state the reason(s)

 

 

for the qualification.

 

 

20.       Please check below whether the following
policies and practices apply to the job categories listed:

 

	
   

  	
   

  	
  JOB

  DESCRIPTION

  	
   

  	
  PROMOTE

  FROM

  WITHIN

  	
   

  	
  EXTERNAL

  HIRE

  	
   

  	
  JOB

  POSTING

  	
   

  	
  ON-THE-

  JOB

  TRAINING

  	
   

  
	
  MANAGERS

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  PROFESSIONALS

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  TECHNICIANS

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  SALES WORKERS

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  CLERICALS

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  CRAFTWORKERS

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  OPERATIVES/ LABORERS

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  SERVICE WORKERS

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

21.       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.

 

	
   

  	
   

  	
  RELEVANT
  GEOGRAPHIC RECRUITMENT OR LABOR MARKET AREA(S)

  	
   

  
	
  MANAGERS

  	
   

  	
   

  	
   

  
	
  PROFESSIONALS

  	
   

  	
   

  	
   

  
	
  TECHNICIANS

  	
   

  	
   

  	
   

  
	
  SALES WORKERS

  	
   

  	
   

  	
   

  
	
  CLERICALS

  	
   

  	
   

  	
   

  
	
  CRAFTWORKERS

  	
   

  	
   

  	
   

  
	
  OPERATIVES/LABORERS

  	
   

  	
   

  	
   

  
	
  SERVICE WORKERS

  	
   

  	
   

  	
   

  

 

 

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, 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

  	
   

  
				

 

I, (print name of authorized
official signing)
                                                                      
UNDERSTAND THAT THE WILLFUL OR FRAUDULENT FALSIFICATION OF ANY DATA OR
INFORMATION SUBMITTED HEREWITH MAY RESULT IN THE TERMINATION OF ANY CONTRACT
BETWEEN THE CITY AND THE BIDDER OR CONTRACTOR AND BAR THE BIDDER OR CONTRACTOR
FROM PARTICIPATION IN ANY CITY CONTRACT FOR A PERIOD OF UP TO FIVE YEARS.  FURTHER, SUCH FALSIFICATION MAY RESULT IN
CRIMINAL PROSECUTION.

 

	
   

  	
  Sworn
  to before me

  this            day of
                      
  199

  
	 
	
   

  	
   

  	
   

  	 

	 
	
   

  	
   

  	
   

  	
   

  	 

	 
	
   

  	
  Notary
  Public

  	
  Authorized
  Signature, Date

  	 

						

 

THIS PAGE MUST BE COMPLETED IN
ITS ENTIRETY.  IT MUST BE SIGNED AND
NOTARIZED.  ONLY ORIGINAL SIGNATURES
WILL BE ACCEPTED.

 

CONFIDENTIALITY
POLICY:  TO THE EXTENT PERMITTED BY LAW
AND CONSISTENT WITH THE PROPER DISCHARGE OF THE DIVISION OF LABOR SERVICES’
RESPONSIBILITIES UNDER NYC CHARTER CHAPTER 56. 
EXECUTIVE ORDER NO. 50 (1980), AS AMENDED, AND THE IMPLEMENTING RULES
ALL INFORMATION PROVIDED BY A CONTRACTOR TO DLS SHALL BE CONFIDENTIAL.

 

Rev. 3/94

 

 

D.        PART III: 
EMPLOYMENT DATA TABLES/SIGNATURE PAGE

 

PART III consists of the following:

 

A.    JOB
CLASSIFICATION AND INCUMBENTS FORM

 

B.    NEW
HIRES FORM/TRACKING OF EMPLOYEES HIRED OVER THE LAST THREE YEARS

 

C.    TERMINATIONS
FORM/EMPLOYMENT TERMINATIONS OVER THE LAST THREE YEARS

 

YOU ARE REQUIRED TO COMPLETE
ALL INFORMATION - IF ANY INFORMATION IS NOT AVAILABLE YOU MUST CONTACT THE CITY
AGENCY WITH WHOM YOU ARE CONTRACTING (CONTRACTING AGENCY) OR IF YOU ARE
CONTRACTING THROUGH THE DEPARTMENT OF GENERAL SERVICES /DIVISION OF MUNICIPAL
SUPPLIES, YOU MUST CONTACT THE DIVISION OF LABOR SERVICES DIRECTLY. SUBMIT ALL
EXPLANATION DETAILING WHY THIS INFORMATION IS NOT AVAILABLE.

 

CONTRACTORS AND SUBCONTRACTORS
HAVING THE CAPABILITY TO DO SO MAY PROVIDE DLS WITH A COMPUTER DISKETTE
CONTAINING THE REQUIRED INFORMATION FROM EACH OF THE THREE DATA TABLES.  COMPLETE INSTRUCTIONS FOR DISK SUBMISSIONS
CAN BE OBTAINED FROM DLS UPON SPECIFIC REQUEST.

 

PLEASE DO NOT ATTEMPT TO
COMPLETE THIS SECTION WITHOUT CAREFULLY READING THE INSTRUCTIONS FOR EACH
FORM.  INCOMPLETE OR INACCURATE DATA
TABLES WILL BE RETURNED.

 

EACH DATA TABLE IS EXPLAINED
AND ILLUSTRATED BY A SAMPLE DATA TABLE IN THE EMPLOYMENT REPORT INSTRUCTIONS.

 

NOTE:  MAKE AS MANY COPIES OF EACH FORM AS YOU REQUIRE.

 

 

CONTRACTOR NAME: 
                                                                                    

 

FORM
B:  NEW HIRES FORM/TRACKING

EMPLOYEES HIRED OVER THE LAST THREE YEARS

 

FACILITY LOCATION: 
                               

 

	
  Employee Characteristics

  	
   

  	
  At-Hire
  Information

  	
   

  	
  Current
  Information

  	
   

  
	
  (1)

  	
   

  	
  (2)

  	
   

  	
  (3)

  	
   

  	
  (4)

  	
   

  	
  (5)

  	
   

  	
  (6)

  	
   

  	
  (7)

  	
   

  	
  (8)

  	
   

  	
  (9)

  	
   

  
	
  Social Security No.

  or Employee ID No.

  	
   

  	
  Sex

  (a)

  	
   

  	
  Race

  Ethnic Code (b)

  	
   

  	
  Year of

  Hire

  	
   

  	
  Company

  Job Number at Hire

  	
   

  	
  Matching

  Census Code (c)

  	
   

  	
  Weekly

  Salary at Hire

  	
   

  	
  Current

  Company Job

  Number (d)

  	
   

  	
  Weekly

  Current Salary

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

(a)

M:   Male

F:     Female

 

(b)

W:   White (non-Hisp)

B:    Black (non-Hisp)

H:    Hispanic

A:    Asian

N:    Native American

 

(c)

see
Appendix B for a listing of the 1990 Census codes

 

(d)

V:    Voluntarily terminated employment (Resigned)

I:      Involuntarily terminated employment 
(Discharged/Lay off)

R:    Retired

D:    Deceased

 

o  I
certify that there were no new hires in
199      /199      

NOTE:  Make as many copies of this form
as you require.

 

 

FORM A:  JOB CLASSIFICATION AND INCUMBENTS FORM                     CONTRACTOR NAME
                                      

 

Occupational Category (CIRCLE ONE)  MGRS  PROF  TECH  SAL
CLER  SERV  FARM  CRAF  OPER/LABR

 

Total number of Incumbents in this category

 

FACILITY LOCATION:
                                                                

 

	
  (1)

  Company Job Title

  	
   

  	
  (2)

  Company

  Job No.

  	
   

  	
  (3)

  Census

  Code**

  	
   

  	
   

  	
   

  	
  (5)

  Total

  in

  Title

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
  (4)

  Job Group Assignment for

  this occupational category

  	
   

  	
   

  	
  MALES

  	
   

  	
  FEMALES

  	
   

  
	
  1

  	
   

  	
  2

  	
   

  	
  3

  	
   

  	
  4

  	
   

  	
  5

  	
  (6)

  W (non

  Hisp)

  	
   

  	
  (7)

  B (non

  Hisp)

  	
   

  	
  (8)

  Hisp

  	
   

  	
  (9)

  Asian

  	
   

  	
  (10)

  Native

  Amer.

  	
   

  	
  (11)

  W (non

  Hisp)

  	
   

  	
  (12)

  B (non

  Hisp)

  	
   

  	
  (13)

  Hisp

  	
   

  	
  (14)

  Asian

  	
   

  	
  (15)

  Native

  Amer.

  	
   

  	 

	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	 

																																								

 

* Please include on each sheet information
concerning only 1 occupational category (see ER instructions Appendix A, page
21 for Occupational Categories)

** See ER instructions Appendix A. for Census
Codes

 

NOTE:  Make as many copies of this form as you
require for each occupational category

 

 

CONTRACTOR
NAME: 
                                                    

 

FORM
C:  TERMINATIONS FORM

EMPLOYMENT TERMINATIONS OVER THE LAST THREE YEARS

 

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 (c)

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

(a)

M:   Male

F:     Female

 

(b)

W:   White (non-Hisp)

B:    Black (non-Hisp)

H:    Hispanic

A:    Asian

N:    Native American

 

(c)

V:    Voluntarily terminated employment (Resigned)

I:      Involuntarily terminated employment 
(Discharged/Lay off)

R:    Retired

D:    Deceased

 

o  I
certify that there were no new terminations in
199      /199      

NOTE:  Make as many copies of this form
as you require.

 

 

DEPARTMENT OF BUSINESS SERVICES

DIVISION OF LABOR SERVICES

 

LESS THAN FIFTY (50) EMPLOYEES CERTIFICATE

 

Contractor/Subcontractor:                 

 

Address:

 

 

Telephone Number:  (   )

 

Name and Title of Signatory: 

 

If Subcontractor Identify Prime
Contractor: 

 

Contracting Agency: 

 

Contract Amount: 

 

Nature of Contract:

 

Names and contact information
for all subcontractors, suppliers, manufacturers or vendors performing in
excess of $50,000 on this contract (if not known at this time, so state):

 

 

I, (print the name of the authorized official signing)
                                                          ,
hereby affirm that I am authorized by the above-named contractor to certify
that said contractor currently employs
           people.  This affirmation is made in accordance with
NYC Charter Chapter 56, Executive Order No. 50 (1980), the implementing Rules.

 

I, (print the name of authorized official signing)
                                                                ,
understand that the WILLFUL OR FRAUDULENT FALSIFICATION OF ANY DATA OR
INFORMATION SUBMITTED HEREWITH MAY RESULT IN THE TERMINATION OF ANY CONTRACT
BETWEEN THE CITY AND THE BIDDER OR CONTRACTOR AND BAR THE BIDDER OR CONTRACTOR
FROM PARTICIPATION IN ANY CITY CONTRACT FOR A PERIOD OF UP TO FIVE YEARS.  FURTHER, SUCH FALSIFICATION MAY RESULT IN
CRIMINAL PROSECUTION.

 

	
   

  	
   

  	
   

  
	
  Sworn to
  before me

  	
   

  	
   

  
	
  this

  	
  day
  of             ,

  	
  199            

  	
  Authorized
  Signature, Title

  
	
   

  	
   

  	
  Date

  	
   

  	
   

  
	
  Notary
  Public

  	
   

  	
   

  
									

 

It is the responsibility of the
contractor to promptly inform all proposed subcontractors that each
subcontractor, like the prime contractor, must comply with the equal employment
opportunity requirements of Chapter 56, E.O. 50, and the implementing
Rules.  Each covered subcontractor must
submit a completed Employment Report 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.

 

 

SPECIAL NOTICE TO VENDORS/SUPPLIERS

WITH 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 and II (pages 1-7), the Signature Page (page 8) and the “Less
Than 150 Employees Certificate” below for each applicable facility.  DO NOT COMPLETE PART III (pages 9 –
11).

 

NOTE:            A
separate Employment Report must be completed for each facility performing on
the contract.

 

LESS THAN 150 EMPLOYEES CERTIFICATE

 

I, (fill in name of person signing)
                                                                            ,
hereby affirm that I am authorized by (contractor name)
                                                                            
                                                                    
to certify that said contractor employs fewer than 150 people at the following
facility listed below.

 

	
  Facility
  Address

  	
   

  	
  Number of Employees

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  

 

I., (print the name of authorized official signing)
                                                                ,
understand that the WILLFUL OR FRAUDULENT FALSIFICATION OF ANY DATA OR
INFORMATION SUBMITTED HEREWITH MAY RESULT IN THE TERMINATION OF ANY CONTRACT
BETWEEN THE CITY AND THE BIDDER OR CONTRACTOR AND BAR THE BIDDER OR CONTRACTOR
FROM PARTICIPATION IN ANY CITY CONTRACT FOR A PERIOD OF UP TO FIVE YEARS.  FURTHER, SUCH FALSIFICATION MAY RESULT IN
CRIMINAL PROSECUTION.

 

	
  Sworn to
  before me

  	
   

  	
   

  
	
  this

  	
  day
  of             ,

  	
  199            

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
  Notary
  Public

  	
   

  	
  Authorized
  Signature, Title

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
  Date

  
							

 

ATTENTION:  THIS IS NOT A “LESS THAN 50 EMPLOYEES
CERTIFICATE”

 

 

JOB DESCRIPTION FORM

 

DO NOT COMPLETE THIS FORM UNLESS YOU ARE UNABLE TO ASSIGN A PARTICULAR
JOB NUMBER/TITLE TO AN OCCUPATIONAL CATEGORY OR TO ASSIGN A CENSUS CODE TO A
PARTICULAR JOB NUMBER/TITLE

 

Job Title:

 

Entry Level:           

YES      NO

 

Routine Duties:

 

Occasional Duties:

 

Requisite Skills and
Experience:

 

Type(s) of
Jobs From Which Promotions into this Job Occur:

 

	
   

  	
   

  	
  Managerial

  	
   

  	
   

  	
   

  	
  Technical

  
	
   

  	
   

  	
  Professional

  	
   

  	
   

  	
   

  	
  Service

  
	
   

  	
   

  	
  Clerical

  	
   

  	
   

  	
   

  	
  Operatives

  
	
   

  	
   

  	
  Sales

  	
   

  	
   

  	
   

  	
  Laborers

  

 

Job Titles
From Which Promotions into this Job Occur:

 

 

Type(s) of
Jobs To Which Promotions From this Job Occur:

 

	
   

  	
   

  	
  Managerial

  	
   

  	
   

  	
   

  	
  Technical

  
	
   

  	
   

  	
  Professional

  	
   

  	
   

  	
   

  	
  Service

  
	
   

  	
   

  	
  Clerical

  	
   

  	
   

  	
   

  	
  Operatives

  
	
   

  	
   

  	
  Sales

  	
   

  	
   

  	
   

  	
  Laborers

  

 

Job Titles to
Which Promotions From this Job Occur:

 

 

Please provide the following
information which may be obtained from the Industrial Commercial Incentive
Program Application.

 

[FOR ICIP APPLICANT/DEVELOPERS ONLY]

 

(a)       Block(s) 
                                                                (b) 
Lot(s)

(c)       Property
Address/Description 

(d) Borough

 

(e)       Preliminary
Application Number 

 

(f)        Applicant’s
Name 

 

(g)       Address

 

(h)       Contact
Person 

 

(i)        Telephone
Number 

 

(j)        SS
No./Employer ID No. 

 

(k)       Consultant(s)

 

(1)       Estimated
Cost of Construction 

 

(m)      Projected
Commencement of Work Date 

 

(n)       Projected
Date of Completion 

 

	
  (o)       o
  Construction Managers

  	
   

  	
  o General Contractors

  

 

(p)       Name

 

(q)       Address

 

(r)        Contact
Person 

 

(s)       Proposed
Contract Amount 

 

(t)        Are
subcontractors being used on this project? 
yes [     ]   no

 

(u)       Name

 

(v)       Address

 

(w)      Contact
Person 

 

(x)        Proposed
Contract Amount

 

(Use Additional Pages to Record Any Additional information)

 

 

FORM A: 
JOB CLASSIFICATION AND INCUMBENTS FORM                               CONTRACTOR NAME TOM JONES CONTRACTING CORP.

 

Occupational Category (CIRCLE ONE)  MGRS  PROF  TECH  SAL
CLER  SERV  FARM  CRAF  OPER/LABR

 

Total number of Incumbents in this category

 

	
   

  	
   

  	
  20

  	
   

  	
  FACILITY LOCATION:  LAS VEGAS FACTORY

  

 

	
  (1)

  Company Job Title

  	
   

  	
  (2)

  Company

  Job No.

  	
   

  	
  (3)

  Census

  Code**

  	
   

  	
   

  	
   

  	
  (5)

  Total

  in

  Title

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
  (4)

  Job Group Assignment for

  this occupational category

  	
   

  	
   

  	
  MALES

  	
   

  	
  FEMALES

  	
   

  
	
  1

  	
   

  	
  2

  	
   

  	
  3

  	
   

  	
  4

  	
   

  	
  5

  	
  (6)

  W (non

  Hisp)

  	
   

  	
  (7)

  B (non

  Hisp)

  	
   

  	
  (8)

  Hisp

  	
   

  	
  (9)

  Asian

  	
   

  	
  (10)

  Native

  Amer.

  	
   

  	
  (11)

  W (non

  Hisp)

  	
   

  	
  (12)

  B (non

  Hisp)

  	
   

  	
  (13)

  Hisp

  	
   

  	
  (14)

  Asian

  	
   

  	
  (15)

  Native

  Amer.

  	
   

  
	
  PRESIDENT

  	
   

  	
  01901

  	
   

  	
  004

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  MGR.
  PURCHASING

  	
   

  	
  04412

  	
   

  	
  009

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  QUALITY
  CONTROL MANAGER

  	
   

  	
  04560

  	
   

  	
  022

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  2

  	
   

  	
  1

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  COMPUTER
  MANAGER

  	
   

  	
  04570

  	
   

  	
  022

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  2

  	
   

  	
  2

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  MANAGEMENT
  ANALYST

  	
   

  	
  04890

  	
   

  	
  026

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
  2

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  REGIONAL
  MANAGER

  	
   

  	
  03752

  	
   

  	
  022

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  3

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  ACCOUNTANT

  	
   

  	
  03751

  	
   

  	
  023

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  MANAGER
  INFORMATION

  	
   

  	
  01939

  	
   

  	
  022

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  2

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INVENTORY
  CONTROL MANAGER

  	
   

  	
  02240

  	
   

  	
  022

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  CONSTRUCTION
  MANAGER

  	
   

  	
  03351

  	
   

  	
  022

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  EXECUTIVE
  ASSISTANT

  	
   

  	
  03750

  	
   

  	
  037

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  SALES
  MANAGER

  	
   

  	
  01701

  	
   

  	
  022

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  X

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  1

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

* Please include on each sheet information
concerning only 1 occupational category (see ER instructions Appendix B),

page 24 for Occupational Categories)

** See ER instructions Appendix B. for Census
Codes

 

NOTE:  Make as many copies of this form as you
require for each occupational category

 

 

CONTRACTOR NAME:  TOM JONES CONTRACTING CORP.

 

FORM
C:  TERMINATIONS FORM

EMPLOYMENT TERMINATIONS OVER THE LAST THREE YEARS

 

FACILITY LOCATION:  LAS VEGAS FACTORY

 

	
  (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 (c)

  	
   

  
	
  001-00-0002

  	
   

  	
  F

  	
   

  	
  B

  	
   

  	
  37

  	
   

  	
  93

  	
   

  	
  00310

  	
   

  	
  94

  	
   

  	
  I

  	
   

  
	
  002-00-0003

  	
   

  	
  F

  	
   

  	
  W

  	
   

  	
  28

  	
   

  	
  93

  	
   

  	
  03720

  	
   

  	
  94

  	
   

  	
  R

  	
   

  
	
  003-00-0004

  	
   

  	
  M

  	
   

  	
  B

  	
   

  	
  26

  	
   

  	
  93

  	
   

  	
  03720

  	
   

  	
  93

  	
   

  	
  I

  	
   

  
	
  004-00-0005

  	
   

  	
  F

  	
   

  	
  B

  	
   

  	
  27

  	
   

  	
  93

  	
   

  	
  00310

  	
   

  	
  94

  	
   

  	
  R

  	
   

  
	
  005-00-0006

  	
   

  	
  F

  	
   

  	
  B

  	
   

  	
  44

  	
   

  	
  94

  	
   

  	
  03720

  	
   

  	
  94

  	
   

  	
  R

  	
   

  
	
  006-00-0007

  	
   

  	
  M

  	
   

  	
  H

  	
   

  	
  36

  	
   

  	
  94

  	
   

  	
  01520

  	
   

  	
  94

  	
   

  	
  I

  	
   

  
	
  008-00-0009

  	
   

  	
  M

  	
   

  	
  W

  	
   

  	
  32

  	
   

  	
  93

  	
   

  	
  02361

  	
   

  	
  94

  	
   

  	
  R

  	
   

  
	
  010-00-0011

  	
   

  	
  M

  	
   

  	
  B

  	
   

  	
  29

  	
   

  	
  94

  	
   

  	
  00310

  	
   

  	
  94

  	
   

  	
   

  	
   

  
	
  011-00-0012

  	
   

  	
  F

  	
   

  	
  B

  	
   

  	
  24

  	
   

  	
  94

  	
   

  	
  00310

  	
   

  	
  94

  	
   

  	
  R

  	
   

  
	
  012-00-0013

  	
   

  	
  M

  	
   

  	
  H

  	
   

  	
  42

  	
   

  	
  94

  	
   

  	
  04950

  	
   

  	
  94

  	
   

  	
  R

  	
   

  
	
  014-00-0015

  	
   

  	
  F

  	
   

  	
  W

  	
   

  	
  32

  	
   

  	
  93

  	
   

  	
  00310

  	
   

  	
  93

  	
   

  	
  I

  	
   

  

 

(a)

M:   Male

F:     Female

 

(b)

W:   White (non-Hisp)

B:    Black (non-Hisp)

H:    Hispanic

A:    Asian

N:    Native American

 

(c)

V:    Voluntarily terminated employment (Resigned)

I:      Involuntarily terminated employment 
(Discharged/Lay off)

R:    Retired

D:    Deceased

 

o  I
certify that there were no new terminations in
199      /199      

NOTE:  Make as many copies of this form
as you require.

 

 

CONTRACTOR NAME:  TOM JONES CONTRACTING CORP.

 

FORM
B:  NEW HIRES FORM/TRACKING

EMPLOYEES HIRED OVER THE LAST THREE YEARS

 

FACILITY LOCATION:  LAS VEGAS FACTORY         

 

 

	
  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

  	
   

  
	
  000-01-0001

  	
   

  	
  F

  	
   

  	
  W

  	
   

  	
  93

  	
   

  	
  00120

  	
   

  	
  313

  	
   

  	
  320

  	
   

  	
  I

  	
   

  	
  I

  	
   

  
	
  000-02-0002

  	
   

  	
  F

  	
   

  	
  A

  	
   

  	
  94

  	
   

  	
  00310

  	
   

  	
  705

  	
   

  	
  410

  	
   

  	
  03720

  	
   

  	
  520

  	
   

  
	
  000-03-0003

  	
   

  	
  F

  	
   

  	
  B

  	
   

  	
  94

  	
   

  	
  00310

  	
   

  	
  705

  	
   

  	
  390

  	
   

  	
  03706

  	
   

  	
  500

  	
   

  
	
  000-04-0004

  	
   

  	
  M

  	
   

  	
  A

  	
   

  	
  94

  	
   

  	
  00310

  	
   

  	
  705

  	
   

  	
  400

  	
   

  	
  00310

  	
   

  	
  490

  	
   

  
	
  000-05-0005

  	
   

  	
  M

  	
   

  	
  B

  	
   

  	
  94

  	
   

  	
  00310

  	
   

  	
  705

  	
   

  	
  410

  	
   

  	
  00360

  	
   

  	
  520

  	
   

  
	
  000-06-0006

  	
   

  	
  F

  	
   

  	
  W

  	
   

  	
  93

  	
   

  	
  00310

  	
   

  	
  705

  	
   

  	
  410

  	
   

  	
  00310

  	
   

  	
  515

  	
   

  
	
  000-07-0007

  	
   

  	
  M

  	
   

  	
  A

  	
   

  	
  93

  	
   

  	
  00310

  	
   

  	
  705

  	
   

  	
  390

  	
   

  	
  00310

  	
   

  	
  490

  	
   

  
	
  000-08-0008

  	
   

  	
  M

  	
   

  	
  B

  	
   

  	
  93

  	
   

  	
  00310

  	
   

  	
  705

  	
   

  	
  410

  	
   

  	
  01600

  	
   

  	
  520

  	
   

  
	
  000-09-0009

  	
   

  	
  F

  	
   

  	
  W

  	
   

  	
  94

  	
   

  	
  00310

  	
   

  	
  705

  	
   

  	
  390

  	
   

  	
  00310

  	
   

  	
  500

  	
   

  
	
  000-10-0010

  	
   

  	
  F

  	
   

  	
  B

  	
   

  	
  93

  	
   

  	
  00310

  	
   

  	
  705

  	
   

  	
  400

  	
   

  	
  00310

  	
   

  	
  510

  	
   

  

 

(a)

M:   Male

F:     Female

 

(b)

W:   White (non-Hisp)

B:    Black (non-Hisp)

H:    Hispanic

A:    Asian

N:    Native American

 

(c)

see
Appendix B for a listing of the 1990 Census codes

 

(d)

V:    Voluntarily terminated employment (Resigned)

I:      Involuntarily terminated employment 
(Discharged/Lay off)

R:    Retired

D:    Deceased

 

o I certify that there were no new hires in
199      /199      

NOTE:  Make as many copies of this form
as you require.

 

 

[VENDEX
QUESTIONNAIRES (AND INSTRUCTIONS)]

 

 

BID SHEET AND
SIGNATURE PAGE FOR

SECOND SERVICE AND SUPPLY AGREEMENT

 

 

New York City
Department of Sanitation

Export of Municipal
Solid Waste from the Borough of Brooklyn

 

BID SHEET AND
SIGNATURE PAGE.

(WITH MANDATORY
CHECKOFF ITEMS)

 

A.            Instructions for the
completion of the bid sheet.

 

*              The
price entered adjacent to the Price Per Ton shall be the price that the
Bidder will charge the City for the acceptance and disposal of one (1) ton of
municipal solid waste (“M.S.W.”).

 

**           The
number of tons entered adjacent to the Maximum Deliverable Tonnage of Municipal Solid Waste
per Day shall be the maximun number of tons of M.S.W. that the
Bidder. will accept from the City on any day for disposal at the putrescible
solid waste transfer station or solid waste management facility designated in
its bid at its bid price.

 

***         The
Bidder shall insert the name of Putrescible Solid Waste Transfer Station or Solid
Waste Management Facility at which the Bidder will accept M.S.W.
from the City at its bid price.

 

	
  Price Per
  Ton*

  	
   

  	
  $

  	
  75.90

  	
   

  
	
  Maximum
  Deliverable Tonnage of Municipal Solid Waste Per Day**

  	
   

  	
  1,000 Tons

  	
   

  
	
  Putrescible
  Solid Waste Transfer Station or Solid Waste Management Facility***

  	
   

  	
  110 50th Street Brooklyn, NY 11232

  	
   

  

 

B.            By
signing this bid, the bidder agrees that the Burma Provisions constitute
material provisions of this Contract            ý Yes    o No (Check one of these choices)

 

C .           By
signing this bid, the bidder agrees that the MacBride Provisions constitute
material provisions of this Contract      ý Yes    o No (Check
one of these choices).

 

	
  Bidder:

  	
    IESI NY Corporation

  	
   

  
	
   

  	
   

  
	
  By:

  	
    Edward
  L. Apuzzi

  	
   

  
	
  (Signature of partner, corporate officer, or individual bidder)

  
	
   

  	
   

  
	
  Title:

  	
    Vice
  President

  	
   

  
	
   

  	
   

  	
   

  
	
  The affidavit on the following page must be subscribed and sworn to

  before a Notary Public or Commissioner of Deeds.

  

 

For Corporations Only:

 

Attestation:

 

 

	
   

  	
  (      Corporate      )

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  (      Seal              )

  	
  Secretary Corporate
  Bidder

  

 

 

BIDDER AFFIDAVIT

 

	
  STATE OF

  	
  New Jersey

  	
   

  
	
   

  	
   

  	
  SS:

  
	
   

  	
   

  
	
  COUNTY OF

  	
  Hudson

  	
   

  
	
   

  	
   

  
	
  Edward L. Apuzzi

  	
  , being duly
  sworn, says:

  
	
  (Choose only one of the following three
  options; check box and complete)

  
					

 

ý            Corporation
Bidder:

 

I am the Vice
President of the above named corporation whose name is subscribed to and which
executed the foregoing bid. I reside at 17 Harvest Drive, Plainsboro, New
Jersey 08536.

I have knowledge of several matters stated in the bid, and they are in all
respects true.

 

o            Partnership
or Joint Venture (Unincorporated Organization)

 

I am a member
of
                                                                                                  ,
the partnership or joint venture described in and which executed the foregoing
bid. I subscribed the name of the partnership or joint venture on its behalf,
and the several matters stated in the bid are in all respects true.

 

o            Individual
Bidder:

I am the
person described in and who executed the foregoing bid and the several matters
stated in the bid are in all respects true.

 

	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  (Signature of the person who signed the bid)

  	
   

  	
   

  
	
   

  	
   

  
	
  Print Name:

  	
  Edward L.
  Apuzzi

  	
   

  
	
  Print Title:

  	
  Vice
  President

  	
   

  
	
   

  	
   

  
	
  Subscribe to and sworn to before me this 29th day of
  January, 2003

  
	
   

  	
   

  	
   

  
	
   

  	
  Notary
  Public

  
					

 

 

AFFIRMATION OF
NON-DEBT (TAX AFFIRMATION)

 

The
undersigned proposer or bidder affirms and declares that said proposer or
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 obligation to the City of
New York, and has not been declared not responsible, or disqualified, by any
agency of the City of New York, nor is there any proceeding pending relating to
the responsibility or qualification of the proposer or bidder to receive public
contracts except:

 

 

 

	
  Full name of
  Proposer or Bidder 

  	
   

  	
  IESI NY
  Corporation

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Address
  2  Commerce Street

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  City  Bayonne

  	
   

  	
  State  New Jersey

  	
   

  	
  Zip
  Code  07002

  
															

 

CHECK ONE BOX AND INCLUDE THE APPROPRIATE
NUMBER:

 

o            A
- Individual or Sole Proprietorship(5)

 

SOCIAL
SECURITY NUMBER 

 

o            B
- Partnership, Joint Venture or other unincorporated organization

 

EMPLOYER
IDENTIFICATION NUMBER

 

ý            C
– Corporation

 

EMPLOYER
IDENTIFICATION NUMBER  13-3960687

 

 

	
  By:

  	
   

  	
   

  
	
  Signature

  	
   

  
	
   

  	
   

  
	
                 Vice
  President

  	
   

  
	
     Title

  	
   

  
	
   

  	
   

  
	
  If a corporation place seal here.

  	
   

  

 

(5) Under the Federal Privacy
Act 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, proposers or vendors to ensure their compliance with laws, to assist
the City in enforcement of laws businesses which seek City contracts.

 

 

Must be signed by an officer or duly authorized representative.Exhibit 10.9

 

EMPLOYMENT
AGREEMENT

 

THIS EMPLOYMENT AGREEMENT (the “Agreement”) is made and entered into
effective as of January 1, 2004 (the “Effective Date”), by and between
IESI Corporation, a Delaware corporation (“IESI” or “Employer”), and Charles F.
Flood (“Executive”).

 

WITNESSETH

 

WHEREAS, Employer desires
to employ Executive, and Executive desires to be employed by Employer, upon the
terms and subject to the conditions set forth in this Agreement;

 

NOW, THEREFORE, in
consideration of the mutual promises and covenants herein set forth and other
good and valuable consideration, the receipt and sufficiency of which are
hereby acknowledged, Employer and Executive, intending to be legally bound,
agree as follows:

 

1.                                      Employment
- IESI hereby employs Executive as its President and Chief Executive Officer
upon the terms and conditions and for the compensation herein provided.
Executive hereby agrees to be so employed and to render the services specified
herein for Employer and any subsidiaries or affiliates of Employer. In his
capacity as its President and Chief Executive Officer of Employer, Executive
shall devote his full and undivided business time and attention to his duties
and responsibilities.

 

2.                                      Term
of Employment - Subject to the provisions for termination as provided
in Section 5 hereof, the term of Executive’s employment hereunder (the
“Term”) shall be for a period commencing as of the Effective Date and
terminating December 31, 2006.

 

3.                                      Duties
and Powers - During the Term, Executive agrees as follows: to devote
his full and exclusive business time and attention to the business of Employer
and of any subsidiaries or affiliates of the Company including, but not limited
to, IESI Corporation (excluding reasonable vacations and sick leave in accordance
with Employer’s policies consistent with his position); to perform all duties
in a professional and prudent manner, to devote the best of his skill, energy,
experience and judgment to such duties; and to communicate to Employer
suggestions, ideas or information that may be helpful to Employer in its
businesses.  Executive shall have all
the powers and agrees to perform all of the duties associated with his position
as President and Chief Executive Officer of Employer, subject to all lawful
policies and guidelines as may be established by the Board of Directors of
Employer (the “Board”).  Executive
agrees not to engage in any other activity or own any interest that would
conflict with the interests of Employer or would interfere with his
responsibilities to Employer and the performance of his duties hereunder; provided,
however, that: (i) passive investment of less than 5% of the outstanding
securities of any company or any other investment that does not conflict with
Executive’s performance of his duties to Employer hereunder shall be deemed not
to violate this provision, it being understood that, except as set forth below,
an investment of more than 5% in a company other than Employer engaged in the
solid waste industry shall be deemed to conflict with Executive’s performance
of his duties hereunder; and (ii) Executive may engage in activities involving
charitable, educational, religious and similar types of organizations, speaking

 

 

engagements and similar
type activities to the extent that such other activities do not detract from
the performance by Executive of his duties and obligations hereunder.

 

4.                                      Compensation
and Benefits - For all services rendered by Executive pursuant to this
Agreement, Employer shall compensate Executive as follows:

 

(a)                                  Base
Compensation - In consideration of the full and faithful performance by
Executive of his obligations hereunder during the Term and subject to the terms
and conditions set forth herewith, Employer (or any subsidiary or affiliate of
Employer for which Executive also provides services hereunder) shall pay to
Executive $350,000 per annum (such annual compensation as it may be increased
from time to time shall be referred to herein as the “Base Compensation”).  Executive’s Base Compensation will be paid
in accordance with Employer’s customary payroll practices (but not less
frequently than monthly) and will be prorated based upon the number of days
elapsed in any partial year. Base Compensation shall be reviewed annually and
may be increased at the sole discretion of the Board.

 

(b)                                 Bonus
- In addition to the Base Compensation payable to Executive, Executive may be
awarded performance bonuses from time to time, in the sole discretion of the
Board.

 

(c)                                  Benefits
- Vacation.  During the Term, Executive
shall be entitled to such benefits (including health, dental and disability
coverage, life insurance, 401K, holiday and sick days) as Employer may, from
time to time, make available to its executive employees. Executive shall be
entitled to four (4) weeks paid vacation during each calendar year of
employment, with such vacation allowance being prorated in respect of any
employment period of less than 12 full months. Notwithstanding the foregoing,
Executive shall not be entitled to take more than two weeks of vacation leave
at any one time. Unused vacation shall not be carried forward.

 

(d)                                 Expenses
– Executive shall be entitled to reimbursement for his ordinary and necessary
business expenses, including country club dues not to exceed $2,500 annually,
incurred in the performance of his duties under this Agreement if supported by
reasonable documentation as required by Employer in accordance with its usual
practices.

 

(e)                                  Car
Allowance - During the Term, Executive shall be entitled to a car allowance
of $1,000 per month.  Executive shall be
responsible for all costs associated with such car (other than fuel expenses
reimbursable under Section 4(d) hereof).

 

(f)                                    Liability
for Taxes - Employer shall have no liability for any tax obligation of
Executive attributable to any payment made under this Agreement except for
customary federal and state withholding taxes (e.g., social security, Medicare,
etc.).  Employer may withhold from any
such payment such amounts as may be required by applicable provisions of the
Internal Revenue Code, other tax laws, and the rules and regulations of the
Internal Revenue Service and other tax agencies, as in effect at the time of
any such payment.

 

2

 

5.                                      Expiration/Termination
of Employment

 

(a)                                  Expiration
at End of Term - Unless earlier terminated in accordance with the terms of
this Agreement, Executive’s employment shall expire at the end of the Term.

 

(b)                                 Termination
at Will - The parties acknowledge and agree that Executive’s employment
hereunder is an employment at will. 
Notwithstanding any other provision contained in this Agreement, either
Executive or Employer may terminate Executive’s employment hereunder at any
time with or without Cause (as defined in subsection 5(e)(i)) or for Good
Reason (as defined in subsection 5(e)(ii)) at his election upon prior
written notice (a “Termination Notice”) to the other.  A Termination Notice shall be effective upon delivery to the
other party and the termination shall be effective as of the date set forth in
such Termination Notice (hereinafter, the “Termination Date”).

 

(c)                                  Effect
of Expiration or Termination For Cause or Without Good Reason - Upon the
expiration of this Agreement pursuant to subsection 5(a) hereof or upon a
termination of this Agreement pursuant to subsection 5(b) hereof by
Employer with Cause or by Executive without Good Reason, Executive shall be
entitled to payment of: (i) Base Compensation through the Termination Date;
(ii) amounts accrued under benefit plans in which Executive is a participant as
of the Termination Date.

 

(d)                                 Effect
Of Termination Without Cause or For Good Reason - Upon the termination of
this Agreement pursuant to subsection 5(b) hereof by Employer without
Cause or by Executive for Good Reason, Executive shall be entitled to payment
of: (i) Base Compensation (at the rate in effect on the date of such
termination) and all benefits under Section 4(c) hereof for 36 months; and
(ii) amounts accrued under benefit plans in which Executive is a participant as
of such termination date.

 

(e)                                  Effect
Of Termination Following a Change of Control – Notwithstanding any other
provision in this Agreement to the contrary, following a Change in Control as
defined in Section 6 hereof, (a) if Executive chooses to terminate his
employment without Good Reason pursuant to Section 5(b) hereof, such
termination shall be treated as termination under Section 5(c) hereof; (b)
if Employer (or its successor) terminates Executive’s employment without Cause
pursuant to Section 5(b) hereof, such termination shall be treated as a
termination under Section 5(d) hereof, except that Executive shall receive
Base Compensation and benefits for the “Payout Period” (as defined below).  For the purposes of this Agreement, “Payout
Period” shall mean three (3) years and includes Base Compensation for each
year, bonus (equal to 33 % of Base Compensation, times 3 years) and
benefits.  If a Change in Control as
defined in Section 6 occurs within 6 months after Executive has been
terminated Without Cause or For Good Reason, then termination shall be treated
as a termination following a Change of Control, and Executive shall receive
Base Compensation, bonus and benefits as defined by the “Payout Period”.

 

(f)                                    Definitions
of “Cause” and “Good Reason” - For purposes of this Agreement, the terms
“Cause” and “Good Reason” shall have the following meanings:

 

3

 

(i)                                     “Cause”
shall mean (1) the failure of Executive to perform his duties with Employer
(other than any such failure resulting from death or the inability of Executive
to perform the essential functions of his job, with or without a reasonable
accommodation) or the material breach of this Agreement by Executive if
Employer gives notice of such cause and it remains uncured for ten (10) days
following such notice; (2) any act by Executive of fraud or dishonesty with
respect to any aspect of Employer’s business; (3) drug or alcohol abuse or
related behavior that impedes Executive’s job performance or brings Executive
or Employer into disrepute in the community; (4) misappropriation of funds or
any corporate opportunity: (5) a conviction or affirmative finding by an
appropriate administrative agency that Executive is guilty of a felony or crime
of moral turpitude (or a plea of nolo contendere thereto); (6) acts by
Executive attempting to secure or securing any personal profit not fully
disclosed to and approved by the Board in connection with any transaction
entered into on behalf of Employer; or (7) gross, willful or wanton negligence
or misconduct by Executive.

 

(ii)                                  “Good
Reason” shall mean (1) a material and adverse change in Executive’s status or
position as an officer of Employer or a material reduction in the duties and
responsibilities previously exercised by Executive, or any removal of Executive
from or any failure to reappoint or reelect Executive to such position, except
in connection with the termination of Executive’s service as an officer for
Cause, or as a result of Executive’s death or inability to perform the essential
functions of his job, with or without a reasonable accommodation, or (2) a
reduction (other than for Cause) by Employer in Executive’s Base Compensation
as of the date hereof, or (3) a relocation of Executive’s assigned place of
employment outside the Dallas/Fort Worth Standard Metropolitan Statistical Area
without Executive’s consent, or (4) a Change of Control.

 

(f)                                    Upon
the termination of this Agreement by Employer with Cause or by Executive
without Good Reason, Employer shall have the option, exercisable within ninety
(90) days after the termination date, to purchase all stock of Employer then
owned by Executive at fair market value on the date of termination, which shall
be determined in good faith by the Board. 
In the event that Executive disagrees with the Board’s determination of
fair market value, it shall be determined by an independent certified public
accountant selected by the Board. 
Payment for such stock shall, at Employer’s option, be in cash or by
promissory note in the amount of the fair market value, bearing interest at 10%
annum, and payable in no more than three equal annual installments of
principal, together with accrued interest.

 

(g)                                 Upon
the termination of this Agreement by Employer without Cause or by Executive
with Good Reason, Executive shall have the option, exercisable within ninety
(90) days after the termination date, to require Employer to purchase all stock
of Employer then owned by Executive, the valuation and payment terms to be
determined as set out in (f) above.  Executive
(or his duly designated personal representative or executor) shall have the
same option to require Employer to purchase Executive’s stock in the event of
Executive’s death or permanent disability. 
Such option must be exercised by notice to Employer within ninety (90)
days after Executive’s death or permanent disability.

 

4

 

(h)                                 Notwithstanding
any provision to the contrary in any of the Company’s stock option plans or
agreements, in the event of Executive’s permanent disability or death, any and
all stock options that have been granted to Executive by the Company shall be
exercisable by Executive and/or his successor, assigns, administrators or
executors during the ten years (plus any replacement options and or time
extensions to the existing options) that said stock option(s) are outstanding.

 

6.                                      Change
in Control is defined as:

 

For purposes of
this Plan, a Change in Control shall be deemed to have occurred if:

 

(a)                                  a
tender offer (or series of related offers) shall be made and consummated for
the ownership of 50% or more of the outstanding voting securities of the
Employer;

 

(b)                                 the
Employer shall be merged or consolidated with another corporation and as a
result of such merger or consolidation less than 50% of the outstanding voting
securities of the surviving or resulting corporation shall be owned in the
aggregate by the former shareholders of the Company, any employee benefit plan
of the Company or its subsidiaries, and their affiliates;

 

(c)                                  the
Employer shall sell substantially all of its assets to another corporation that
is not wholly owned by the Company; or

 

(d)                                 a
Person (as defined below) shall acquire 50% or more of the outstanding voting
securities of the Company (whether directly, indirectly, beneficially or of
record).

 

For purposes of
this Section, ownership of voting securities shall take into account and shall
include ownership as determined by applying the provisions of Rule
13d-3(d)I)(i) (as in effect on the date hereof) under the Exchange Act.  Also for purposes of this Section 6(b),
Person shall have the meaning given in Section 3(a)(9) of the Exchange
Act, as modified and used in Sections 13(d) and 14(d) thereof; however, a
Person shall not include (1) the Employer or any of its subsidiaries; (2) a
trustee or other fiduciary holding securities under an employee benefit plan of
the Company or any of its subsidiaries; (3) an underwriter temporarily holding
securities pursuant to an offering of such securities; or (4) a corporation owned,
directly or indirectly, by the shareholders of the Employer in substantially
the same proportion as their ownership of stock of the Company.

 

7.                                      Non-Interference,
Non-Solicitation and Non-Competition Covenants

 

(a)                                  Pursuant
to this Agreement, Executive has agreed to become President and Chief Executive
Officer of Employer and to comply with a non-disclosure provision in
Section 8. Executive recognizes and acknowledges that he will be given
access to certain of Employer’s Confidential Information (as hereafter defined
in Section 9(a)), and have access

 

5

 

to and authority to
develop relationships with customers of Employer because of his position and
status as an Employer’s President and Chief Executive Officer, which he would
not otherwise attain.  In consideration
of the foregoing, Executive agrees to comply with the terms of this
Section 7.

 

(b)                                 The
restraints imposed by this Section 7 shall apply during any period that
Executive continues to receive payment of Base Compensation hereunder, and for
a period of one year thereafter (the “Restricted Period”). Notwithstanding any
other provision in this Agreement, if Employer terminates Executive’s
employment under Section 5(e) following a Change in Control, the
Restricted Period shall extend for a period ending one year after the Payout
Period.  In the event that any Court
having jurisdiction should find that the Restricted Period is so long and/or
the scope (distance) (as set forth below) is so broad as to constitute an undue
hardship on Executive, then, in such event only, the Restricted Period and area
limitations shall be valid for the maximum time and area for which they could
be legally made and enforced.

 

(c)                                  During
the Restricted Period, Executive shall not, as an executive (other than an
executive of Employer or an affiliate thereof), employee, employer,
stockholder, officer, director, partner, consultant, advisor, proprietor,
lender, provider of capital or other ownership, operational or management capacity,
directly or indirectly, (i) solicit or hire any employee of Employer or
otherwise interfere with or disrupt the employment relationship between
Employer and any employee, (ii) solicit or do business with (a) Employer’s
customers with whom Employer did business while Executive was employed under
this Agreement or (b) individuals or entities whom Executive met as a result of
his position with Employer while Executive was employed under this Agreement,
that results in competition with Employer in any county, parish or other
comparable jurisdiction within a state, province or nation located in North
America in which any of such customers have operations (other than customers
whose business relationship with Employer has terminated for at least 90 days) or
in which Employer has conducted business while Executive was employed under
this Agreement (collectively, the “Restricted Area”), or (iii) be associated
with any entity engaged in the business of non-hazardous waste disposal in the
Restricted Area that results in competition with Employer (but excluding
association due to ownership of less than 5% of the outstanding securities of
any such entity).

 

(d)                                 Executive
expressly recognizes and agrees that the restraints imposed by this
Section 7 are (i) reasonable as to time, geographic limitation and scope
of activity to be restrained; (ii) reasonably necessary to the enjoyment by
Employer of the value of its assets and to protect its legitimate interests;
and (iii) not oppressive.  Executive
further expressly recognizes and agrees that the restraints imposed by this
Section 7 represent a reasonable and necessary restriction for the
protection of the legitimate interests of Employer, that the failure by the
Executive to observe and comply with the covenants and agreements in this
Section 7 will cause irreparable harm to Employer, that it is and will
continue to be difficult to ascertain the harm and damages to Employer that
such a failure by the Executive would cause, that the consideration received by
the Executive for entering into these covenants and agreements is fair, that
the covenants and agreements and their enforcement will not deprive Executive
of his ability to earn a reasonable living in the waste disposal field or
otherwise,

 

6

 

and that Executive has acquired knowledge and skills
in his field that will allow him to obtain employment without violating these
covenants and agreements. Executive further expressly acknowledges that he has
been encouraged to and has consulted independent counsel, and has reviewed and
considered this Agreement with that counsel before executing this Agreement.

 

8.                                      Memoranda,
Notes, Records, Etc. - All memoranda, notes, records, customer lists or
other documents made or compiled by Executive or otherwise made available to
him concerning the business of Employer or its subsidiaries or affiliates shall
be Employer’s property and shall be delivered to Employer upon the expiration
or termination of Executive’s employment hereunder or at any other time upon
request by Employer, and Executive shall retain no copies of those documents.
Executive shall never at any time have or claim any right, title or interest in
any material or matter of any sort prepared for or used in connection with the
business or promotion of Employer.

 

9.                                      Nondisclosure

 

(a)                                  Executive
hereby acknowledges that in connection with his employment by Employer he will
be exposed to and may obtain certain information (including, without
limitation, procedures, memoranda, notes, records and customer and supplier
lists whether such information has been or is made, developed or compiled by
Executive or otherwise has been or is made available to him) regarding the
business and operations of Employer and its subsidiaries or affiliates.  Executive further acknowledges that such
information and procedures are unique, valuable, considered trade secrets and
deemed proprietary by Employer. For purposes of this Agreement, such
information and procedures shall be referred to as “Confidential Information,”
except that the following shall not be considered Confidential Information: (i)
information disclosed on a non-confidential basis to third parties by Employer
(but not by Executive in violation of this Agreement), (ii) information released
from confidential treatment by written consent of Employer, and (iii)
information lawfully available to the general public.

 

(b)                                 Executive
agrees that all Confidential Information is and will remain the property of
Employer.  Executive further agrees, for
the duration of the Term and thereafter, to hold in the strictest confidence
all Confidential Information, and not to, directly or indirectly, duplicate,
sell, use, lease, commercialize, disclose or otherwise divulge to any person or
entity any portion of the Confidential Information or use any Confidential
Information for his own benefit or profit or allow any person, entity or third
party, other than Employer and authorized Executives of the same, to use or
otherwise gain access to any Confidential Information.

 

(c)                                  It
is the intention of the parties that to the extent any Confidential Information
may constitute a “trade secret” as defined by Texas common law, then, in
addition to the remedies set forth in this Agreement, Employer may elect to
bring an action against Executive in the case of any actual or threatened
misappropriation of any such trade secret by Executive.

 

7

 

(d)                                 Regardless
of whether any of the Confidential Information or any of the items set forth in
Section 8 and this Section 9 constitute a trade secret as defined by
Texas common law, Executive expressly recognizes and agrees that the
restrictions contained in Section 8 of this Agreement and this
Section 9 represent a reasonable and necessary protection of the
legitimate interests of Employer, that his failure to observe and comply with
his covenants and agreements in those Sections will cause irreparable harm to
Employer, that it is and will continue to be difficult to ascertain the harm and
damages to Employer that such a failure by Executive could cause, and that a
remedy at law for such failure by Executive will be inadequate.

 

10.                               Enforcement
- The parties hereto recognize that the covenants of Executive hereunder are
special, unique and of extraordinary character.  Accordingly, it is the intention of the parties that, in addition
to any other rights and remedies which Employer may have in the event of any
breach of said Sections, Employer shall be entitled, and hereby is expressly
and irrevocably authorized by Executive, inter  alia, to demand
and obtain specific performance, including without limitation temporary and
permanent injunctive relief, and all other appropriate equitable relief against
Executive in order to enforce against Executive, or in order to prevent any
breach or any threatened breach by Executive of, the covenants and agreements
contained herein. In case of any breach of this Agreement, nothing herein
contained shall be construed to prevent Employer from seeking such other remedy
in the courts as it may elect or invoke.

 

11.                               Delegation
of Duties and Assignment of Rights

 

(a)                                  Executive
may not delegate the performance of any of his obligations or duties hereunder,
or assign any rights hereunder, without the prior written consent of Employer.
Any such purported delegation or assignment in the absence of such written
consent shall be null and void with no force or effect.  Notwithstanding the foregoing, nothing
herein shall prevent Executive from delegating ministerial tasks to assistants
of the type that are normally assigned by executives to assistants.

 

(b)                                 Employer
may not assign this Agreement except with the prior written consent of
Executive, except that Employer may without Executive’s consent assign all of
its rights and obligations under this Agreement to the person or entity
acquiring a majority of the assets or outstanding stock of IESI or pursuant to
a merger or consolidation of IESI.  In
the event of such an assignment by Employer, each reference in this Agreement
to Employer shall  include  the assignee from and after the date of
such assignment.

 

(c)                                  In
the event of a valid assignment pursuant to this Section 11, this
Agreement shall be binding on and inure to the benefit of the parties hereto
and their respective heirs, representatives, successors and permitted assigns
and any receiver, trustee in bankruptcy or representative of the creditors of
each such person.

 

12.                               Survival
of Covenants - Notwithstanding anything contained in this Agreement,
upon the expiration of the Term or the Restricted Period, as applicable, or in
the event Executive’s employment is terminated for any reason whatsoever, the
covenants and agreements of

 

8

 

Executive contained in
Sections 7 (to the extent set forth therein), 8, 9, 10 and 12 and the covenants
of Employer contained in Section 5 hereof shall survive any such
expiration or termination and shall not lapse except as provided herein.

 

13.                               Warranty
- Executive does hereby warrant that he has not taken any action, and covenants
that during the Term of this Agreement, or the Restricted Period, as
applicable, he shall take no such action, that constitutes or will constitute a
breach of any agreement concerning confidential information and trade secrets,
confidentiality, solicitation or non-competition to which he is bound as a
party.

 

14.                               Severability
/Modification - If any term or provision of this Agreement is held or
deemed to be invalid or unenforceable in whole or in part, by a court of
competent jurisdiction, such term or provision shall be ineffective to the
extent of such invalidity or unenforceability without rendering invalid or
unenforceable the remaining terms and provisions of this Agreement.

 

15.                               Governing
Law - This agreement is entered into in Texas, and the construction,
validity and interpretation of this agreement shall be governed by the laws of
the State of Texas without regard to the laws of conflicts of laws.

 

16.                               Effectiveness;
Entire Agreement; Amendment - This Agreement contains the entire
understanding and agreement between the parties relating to the subject matter
hereof and, upon the execution hereof, that certain Employment Agreement dated
December 1, 2001 between IESI Corporation and Executive is terminated and
cancelled.  Neither this Agreement nor
any provision hereof may be waived, modified, amended, changed, discharged or
terminated, except by an agreement in writing signed by the party against whom
enforcement of any waiver, modification, change, amendment, discharge or
termination is sought.

 

17.                               Notices
- Any notice required or permitted to be given under the provisions of this
Agreement shall be in writing and shall be deemed to have been duly given on
the date of delivery if delivered personally to the party to whom notice is to
be given (or to the appropriate address below), or on the third day after
mailing if mailed to the party to whom notice is to be given by certified or
registered mail, return receipt requested, postage prepaid, or by courier, addressed
as follows, or to such other person at such other address as any party may
request in writing to the other party to this Agreement:

 

	
   

  	
  To Executive:

  	
   

  	
  Charles F. Flood

  
	
   

  	
   

  	
   

  	
  6325
  Mesa Ridge

  
	
   

  	
   

  	
   

  	
  Fort
  Worth, Texas 76180

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
  To IESI:

  	
   

  	
  IESI Corporation

  
	
   

  	
   

  	
   

  	
  2301 Eagle Parkway,
  Suite 200

  
	
   

  	
   

  	
   

  	
  Ft. Worth, Texas 76177

  

 

9

 

Any party may
change its address for purposes of this paragraph by giving the other parties
written notice of the new address in the manner set forth above.

 

18.       Headings
- The section headings herein are for convenience only and shall not be
used in interpreting or construing this Agreement.

 

IN
WITNESS WHEREOF, the parties hereto have executed this Employment Agreement to
be effective as of the Effective Date.

 

	
   

  	
  EXECUTIVE:

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  /s/ Charles F. Flood

  
	
   

  	
  CHARLES
  F. FLOOD

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  EMPLOYER:

  
	
   

  	
   

  	
   

  
	
   

  	
  IESI CORPORATION

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  BY:

  	
  /s/ Jeffrey J. Keenan

  
	
   

  	
   

  	
  JEFFREY J. KEENAN

  CHAIRMAN

  
				

 

10

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