SECTION 107 - LEGAL RELATIONS AND RESPONSIBILITY TO PUBLIC (Last Revised September, 2025)
107-01 Laws, Rules, Regulations and Permits.
The Contractor shall conduct its operations in compliance with all the laws and regulations of the United States, State of New York and Public Authorities and the applicable ordinances of any county, city, town, or village and the lawful direction of the officers, agents or representatives of the United States, the State of New York, Public Authorities or of said county, city, town, or village. The Contractor shall procure all licenses and permits necessitated by the Contractor’s operations. All costs due to compliance with the above described laws, regulations, and ordinances shall be included in the contract bid prices unless otherwise provided for in the contract.
A.Independent Contractor. The relationship of the Contractor to the State is that of an independent Contractor, and said Contractor, in accordance with its status as such Contractor, covenants and agrees that it will conduct itself consistent with such status, that it will neither hold itself out as nor claim to be an officer or employee of the State by reason hereof, and that it will not, by reason hereof, make any claim, demand or application to or for any right or privilege applicable to an officer or employee of the State, including, but not limited to workers’ compensation coverage, unemployment insurance benefits, social security coverage, or retirement membership or credit.
B.Cooperation with Investigations. The Contractor hereby agrees to the provisions of §139-a and §139-b of the State Finance Law which require that upon the refusal of a person, when called before a grand jury, head of a State department, temporary State commission or other State agency, or the organized crime task force in the NYS Department of Law, which is empowered to compel the attendance of witnesses and examine them under oath, to testify in an investigation, concerning any transaction or contract had with the State, any political subdivision thereof, a public authority or with any public department, agency or official of the State or of any political subdivision thereof or of a public authority, to sign a waiver of immunity against subsequent criminal prosecution or to answer any relevant question concerning such transaction or contract;
1.Such person, and any firm, partnership or corporation of which he/she is a member, partner, director or officer shall be disqualified from thereafter selling to or submitting bids to or receiving awards from or entering into any contracts with the State or any public department, agency or official thereof, for goods, work or services, for a period of five years after such refusal, and;
107-02 Patented Devices, Materials and Processes.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1
2.Any and all contracts made with the State or any public department, agency or official thereof, since the effective date of this law, by such person, and by any firm, partnership or corporation of which he is a member, partner, director or officer may be canceled or terminated by the State without incurring any penalty or damages on account of such cancellation or termination, but any moneys owing by the State for goods delivered or work done prior to the cancellation or termination shall be paid.
C.Invasive Species. The Contractor is required to follow all federal and state regulations regarding invasive species (e.g. plants, insects, diseases). This includes but is not limited to: • 7 USC §7701 Plant Protection Act • 16 USC §4701 National Invasive Species Act • 6 NYCRR Part 192 Forest Insect and Disease Control • 6 NYCRR Chapter V(C) Invasive Species • 1 NYCRR Chapter III(C) Prevention and Control of Disease in Trees and Plants; Insect Pests The Contractor shall thoroughly sanitize all construction equipment, vehicles and appurtenances operating or being placed in infested areas prior to moving to non-infested areas.
D.Archaeological Salvage. Whenever, during the course of construction, historical or prehistoric objects or human remains are encountered that were not identified in the contract documents, such objects shall not be destroyed or moved. The Contractor shall stop work to avoid disturbing such areas and notify the Engineer immediately. The Engineer will notify the appropriate Department personnel and other authorities and arrange to have an immediate inspection of the site conducted. Removal or salvage of archaeological objects will be considered extra work. Such work will be limited to that performed within the right-of-way, and at any location under direct control of the Contractor used as a source of approved borrow material or a spoil disposal area.
107-02 Patented Devices, Materials and Processes.
The contract bid prices shall include all royalties and costs arising from patents, trademarks, trade secrets, and copyrights in any way involved in the work. Whenever the Contractor is required or desires to use any design, device, material or process covered by letters, trade secrets, patent or copyright, the Contractor shall indemnify and save harmless the State from any and all claims for infringement by reason of the use of any such protected design, device, material or process, to be performed under the contract, and shall indemnify the said State for any costs, expenses and damages which it may be obliged to pay, by reason of any such infringement, at any time during the prosecution or after the completion of the work.
107-03 Federal Aid Participation.
All contracts in which the Federal Government participates financially are designated as Federal-Aid contracts. For all Federal-Aid contracts, the Contractor shall conform in all respects in accordance with the true intent and meaning of each and all of the requirements contained in the FHWA-1273 Required Contract Provisions Federal-Aid Construction Contracts, a copy of which will be found incorporated in each Federal-Aid contract proposal. When any of such Federal Provisions may be in conflict with any other provisions of the contract the Federal Provisions shall prevail and take precedence and be of force over and against any said conflicting provisions of said contract.
107-04 Public Notices.
Before commencing any work on the site, the Contractor shall provide a satisfactory weather resistant surface, and post, in a location accessible to all workers, a copy of the NYSDOL schedules of prevailing
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 wages and supplements for this contract, a copy of all redeterminations of such schedules for the contract, the Workers' Compensation Law notice, required safety notices, and all other notices required by law to be posted at the site. The Contractor shall maintain such notices in a legible manner and shall replace any notice or schedule which is damaged, defaced, illegible or removed for any reason. The notices shall be maintained until all work on the site is complete.
107-05 Safety and Health Requirements.
The Contractor shall perform all work in the contract with due regard to the safety and health of the employees and of the public. The Contractor shall comply with 29 CFR 1926 Safety and Health Regulations for Construction, administered by the Federal Occupational Safety and Health Administration (OSHA); NYS Labor Law and 12 NYCRR regarding the safety and protection of persons employed in construction and demolition work. The Contractor shall notify the Engineer of any inspections scheduled or conducted on the contract by OSHA, NYS Department of Labor (NYSDOL), or other safety and health agencies, of any resulting closing conference, and provide the Engineer with the opportunity to be present at such inspections and closing conference. The Contractor shall notify the Department in writing of the results of any safety and health inspections conducted by representatives of OSHA, NYSDOL, or other safety and health agencies, within one work day of the completion of the closing conference resulting from such inspections. If any citations are issued for alleged violations of OSHA Regulations, a copy shall be provided to the Engineer within one work day of their receipt by the Contractor, and a copy of the final disposition of such citations shall be provided to the Engineer within one work day of receipt by the Contractor.
A.High Visibility Apparel. All workers shall wear at all times protective helmets and construction apparel or traffic control apparel when working within a highway right of way or contract limits. High visibility apparel is intended to contrast with the background for worker conspicuity. All high- visibility apparel shall be closed front and rear; in good condition to maintain the color, visibility, reflectivity, and conspicuity. Workers shall include Contractor employees, Subcontractor employees, material suppliers, and other personnel under the direction of the Contractor. Protective helmets and high-visibility apparel are not required for employees when they are within a completely enclosed cab constructed of steel frame and glass, or inside a motor vehicle.
1.Protective Helmets. Protective helmets shall meet OSHA standards for impact, electrical shock, and burn protection. Protective helmets used during nighttime operations shall be equipped with a minimum of 3 in2 of reflective tape on all four sides. Protective helmets for flaggers shall be orange.
2.Construction Apparel. Construction Apparel shall consist of a vest, shirt, or jacket; fluorescent orange-red or fluorescent yellow-green or a combination of these colors meeting the requirements of ANSI 107 Class 2.
3.Traffic Control Apparel. Traffic Control Apparel shall consist of a vest, shirt, or jacket; fluorescent orange-red with fluorescent yellow-green striping bands or fluorescent yellow-green with fluorescent orange-red striping bands, placed both horizontal and vertical, meeting the requirements of ANSI 107 Class 2.
B.Project Safety and Health Plan. The Contractor shall perform all necessary planning, supervision, and training activities to ensure that all of the requirements of 29 CFR 1926 are fully met for all workers employed in the construction of the contract. The Contractor shall provide to the Department prior to the start of work satisfactory evidence that all current requirements of 29 CFR 1926 will be adequately addressed. As a minimum, the Contractor shall provide a written Project Safety and Health Plan which documents the Contractor's company policy relative to safety, and
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 which identifies and addresses specific safety and health concerns to be encountered on the project. Before the work begins and periodically throughout the progress of the work, the Contractor's supervisory staff shall meet with the Engineer to review and discuss the status of safety issues. An appropriate notice shall be posted on the contract site that the Project Safety and Health Plan is available for examination by any worker employed on the project. As a minimum this plan shall include the following items: • Identification of project and company safety officers. • Hazardous Materials Communications Plan. • Employee Safety Training Program. • Company safety policy. • Procedures to address project safety and health concerns. • Procedures to address distraught, emotionally disturbed persons and/or homeless persons. • Procedures for compelling worker compliance with safety and health requirements, including reasonable suspicion drug and alcohol testing. Certain of these items may be submitted in the format of a Company Safety and Health Program, with the Project Safety and Health Plan limited to project-specific issues. The Contractor shall provide to the Department a Project Safety and Health Plan covering all on- site work to be done by each Subcontractor, Owner/Operator and any other party, prior to starting work. As an alternative, the Contractor may provide a certification that all on-site activities performed by and workers employed by each Subcontractor, Trucking Firm, Service, and any other party will be subject to the Contractor's Project Safety and Health Plan. Submission of the required Project Safety and Health Plan by the Contractor and its acceptance by the Department shall not be construed to imply approval of any particular method or sequence for addressing safety and health concerns, or to relieve the Contractor from the responsibility to adequately protect the safety and health of all workers involved in the project as well as any members of the public who are affected by the project. In accordance with NYS Labor law §220-h, all laborers, workers, and mechanics shall be certified prior to performing any work on a contract over $250,000 as having successfully completed a course in construction safety and health approved by the US Department of Labor's Occupational Safety and Health Administration (OSHA) that is at least ten hours in duration. The Contractor shall attach proof of completion to first certified payroll for initial workers, and to subsequent payrolls for new or additional workers. The Contractor shall clearly indicate on subsequent payrolls any workers not previously employed on that contract. If no proof of completion has been submitted for a worker listed on a certified payroll, the Engineer will alert the Contractor to this fact. If the Contractor cannot provide proof of completion and the worker continues to work, the Department will notify the Contractor in writing with a copy to the NYSDOL by e-mail at Ask.PWAsk@labor.ny.gov.
C.Emergency Contact Person. The Contractor shall designate someone to be available to respond to emergency calls. The name of the person and the telephone number at which he/she can be reached at any time shall be given to the Engineer and all police agencies in the area. Such person shall have full authority and capability to mobilize forces promptly as required to respond to an emergency and protect the public.
D.Accident Reporting. The Contractor shall immediately notify the Engineer verbally of any accident or incident that results in the death of a worker, motorist or pedestrian or that results in emergency medical attention of a worker. The Contractor shall notify the Engineer in writing within 24 hours, with the details relative to any accident or incident occurring within the contract limits. The Contractor shall also notify the Engineer in writing within 24 hours, with the details relative to any accide nt or incident that is directly related to construction activity or involving any worker employed on the contract or delivering materials, equipment or supplies to the contract, provided:
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 • The accident or incident results in the death of a worker, or (2) requires that a worker is hospitalized for treatment of the injury, or (3) results in 3 or more personal injuries or: • The accident or incident involved a utility (overhead or underground) or: • The accident or incident involved a motorist or pedestrian or: • The incident was a near miss as defined by 29 CFR 1926 or: • The accident otherwise meets the recording requirements of 29 CFR 1904. The Engineer will provide the Contractor with a copy of the Department accident report for any accident occurring within the contract limits or involving the Contractor’s personnel, equipment or operations.
E.Imminent Danger and Emergency Actions. Any action by the Contractor that presents a potentially imminent danger of injury to the public, a worker, or the inspection staff will be halted immediately by the Engineer, and operations stopped in accordance with §105-01 Engineer’s Authority. The Contractor’s personnel shall have local emergency numbers readily available. These numbers shall include local utility, police/fire and medical assistance. In the event of an emergency, the Contractor shall evacuate all employees and endangered persons from the immediate vicinity to the best of the Contractor’s ability.
F.Restricted Areas. The Contractor shall identify, guard and protect restricted areas such as open and unattended excavations, areas subject to falling debris and other potentially hazardous locations in and adjacent to areas lawfully frequented by any person in accordance with the requirements of 29 CFR 1926 Subpart G. Such protection shall consist of one, or a combination of, the following: • A substantial fence or barricade, not less than 4 feet in height and mounted on satisfactory supports spaced at intervals of not more than 10 feet. Warning signs reading “DANGER- KEEP OUT” shall be mounted on the fence or barricade at no more than 100 foot intervals. The signs shall be a minimum of 24 inches wide by 16 inches high. The lower portion of the sign shall be white and shall bear the words “KEEP OUT” in 5 inch high black letters. The upper portion shall be predominantly red with 5 inch high white lettering spelling out the word “DANGER.” The lettering shall be enclosed by an approximately elliptical, white ring and the entire sign bordered in black. All barricades and warning signs shall be furnished, erected, relocated, maintained, and removed as required. • A 4 foot (minimum) extension of the trench sheeting above the ground surface adjacent to an excavation. • A substantial covering over an excavation. Where it is possible that vehicles will move over such covering, the covering shall be of sufficient strength to withstand the loading.
G.Work Site Access. The Contractor shall provide safe access to the work site by workers and inspection staff such that no active traffic lanes are routinely crossed by pedestrian workers or inspection staff reporting to and leaving the work site. Vehicles and equipment used to transport personnel to the work site shall safely enter and depart the work site. The Contractor shall designate a safe parking area(s) for workers to park private vehicles near the project site acceptable to the Engineer. Contractor personnel shall park in non-designated parking areas within the right of way only with the prior approval of the Engineer.
H.Fall Protection. The Contractor shall provide fall protection for all workers in compliance with 29 CFR 1926 and NYS Labor Law. The Contractor shall include procedures to provide fall protection in the Project Safety and Health Plan. The minimum fall protection requirements include the following:
1.Fall protection shall be provided for all workers at or above 6 feet or the height thresholds listed in 29 CFR 1926, Subpart L Scaffolds, Subpart M Fall Protection and Subpart R Steel Erection,
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 whichever is lower, and for all locations where there is a risk of a fall onto dangerous equipment or an impalement hazard, regardless of height. All fall protection systems shall meet the requirements of 29 CFR 1926, Subpart M. For situations where lifel ines are interrupted, double lanyards shall be utilized to ensure that workers are continuously protected. One lanyard shall remain connected at all times.
2.Attachments or other temporary appurtenances on all beams and other structural elements shall be in place prior to erection or removal to provide fall protection until other means of protection such as deck forms are in place. Fall protection shall consist of personal fall arrest systems, safety nets or other means. During placement or removal of structural members when the member is supported by a lifting device, workers exposed to moving members shall be required to tie off only if they are not exposed to a greater risk from the moving member. Fall protection systems utilized shall enhance safety rather than create a secondary hazard.
3.The Contractor shall establish procedures to minimize occurrences of unprotected exposure to fall hazards. When a worker must rig a fall protection system, and rigging cannot be accomplished from an aerial lift or by tying-off to the existing structure, momentary exposure to a fall hazard may be unavoidable.
4.Ladders or stairways meeting the requirements of 29 CFR 1926, Subpart X Stairways and Ladders shall be provided at all points of personnel access where there is a change in elevation of 19 in or more, and no ramp, runway, sloped embankment or personnel hoist is provided. Climbing on forms, falsework, or the structure to gain access to work areas is expressly prohibited.
5.Scaffolds necessary to provide temporary access to work areas shall be in compliance with 29 CFR 1926, Subpart L and shall include a top rail, mid rail, and toe board on all open sides and ends. Scaffolds shall be erected, moved, altered and/or dismantle d only under the supervision and direction of a competent person.
6.Suspended scaffolds may be used only if personnel lifts, scaffolds, or other means are not practical, and shall meet the requirements of 29 CFR 1926, Subpart L. Specifically, the scaffold shall be secured to the suspension cables at all times. All pers onnel working on a suspended scaffold shall be provided fall protection using an independent anchorage.
7.Workers in personnel aerial lifts shall use a personal fall arrest system attached to the boom or basket. Aerial lifts shall be operated in accordance with 29 CFR 1926, Subpart L.
I.Working Over or Near Water. The Contractor shall protect workers from drowning in accordance with 29 CFR 1926.106 Working over or near water. Any worker who is exposed to the risk of drowning shall wear a U.S. Coast Guard approved personal flotation device (PFD) at all times. A risk of drowning shall be considered to exist where a worker has the possibility of falling from above, or from an adjacent slope, into water depths that exceed 5 feet, or into water depths subject to sudden fluctuations to a depth exceeding 5 feet. A risk of drowning may also exist where water depths as little as 2 feet are combined with swift currents, or where a fall into the water may result in a person being rendered unconscious or otherwise disabled. Working on top of ice shall be considered as working over water. When continuous fall protection is used, without exception, the drowning hazard has effectively been removed, and workers are not required to wear a PFD. When aerial lifts are used over or near water, the drowning hazard has not been removed, and occupants of the lift are required to wear a PFD, regardless of whether a personal fall arrest system is used. When safety nets are used as fall protection, the drowning hazard has not been removed, and workers are required to wear a PFD.
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 Workers shall not work alone in situations where a risk of drowning exists. There shall be an acceptable plan in place that enables a worker to be retrieved within 4 minutes from the time they entered the water. If greater hazards exist, including very co ld water, rapids, or a wide channel, safeguards shall enable the worker to be retrieved before being overcome by that hazard, including multiple skiffs when warranted. A boat/skiff for emergency response shall be in place prior to the exposure. The boat/skiff shall be unlocked and available for immediate use. The boat/skiff for emergency rescue operations shall be equipped with a motor in good operation, paddles or oars , a ring buoy, and a reach extension device. The boat/skiff shall be equipped and operated in accordance with NYS Navigation Law. Ring buoys shall be provided. The height above the water shall be considered in determining the appropriate length of line attached, but in no case shall the line be less than 100 feet. The ring buoys shall be placed at appropriate intervals, but in no case shall the spacing be greater than 200 feet along the work site shoreline, work limits, and across the structure.
J.Electrical Safety. Electrical safety policy and procedures are based on the New York State High Voltage Proximity Act and 29 CFR 1926 Subpart K. They apply to all operations that could cause employees or the vehicles or equipment they are operating to come into contact with (“direct contact”) or enter into dangerous proximity to (“indirect contact”) energized electrical systems. Electrical systems shall be assumed to be energized high voltage until verified otherwise by the Utility. The Contractor shall identify and reference all potential electrical hazards and document such actions to the Engineer as part of the Project Safety and Health Plan. Pursuant to the High Voltage Proximity Act, for all electrical systems carrying 600 volts or more, the Contractor shall: • Notify the Utility at least 5 work days before any work begins which requires the Utility to identify voltages and clearances, or de-energize, insulate or relocate lines. • Ensure employees are not placed in dangerous proximity to high voltage. Dangerous proximity is defined as within 10 feet for voltages up to 50 kilovolts, and an additional 4 inches for every 10 kilovolts over 50 kilovolts. Dangerous proximity applies to the individual and any conductive object. • Inform employees of the hazards and corresponding precautions when working near high voltage. • Post warning decals on equipment regarding the 10foot minimum clearance. • Ensure that when any equipment operator is unable to assess clearances, a "spotter" observes for clearance and directs the operator. Prior to the start of work where contact with energized electrical systems is possible, the Contractor shall identify existing facilities and reference their location to prominent physical features. In advance of work, the Utility shall be called upon to identify energized facilities, and to determine the need to de-energize, insulate, or otherwise protect the facilities against accidental contact. The actual work of protecting facilities will be carried out by the Utility. Facility relocation or protection provided at the request of the Department will be as described in the contract documents. Protection provided for the benefit, or at the request, of the Contractor shall be the financial responsibility of the Contractor. Energized electrical lines or equipment shall be conspicuously marked and workers shall be reminded of their locations and the safeguards and precautions to be taken prior to beginning any nearby work that may cause the workers to approach electrical lines. New employees shall be informed of electrical hazards and proper precautions and procedures.
1.Paving Operations. Prior to the start of each workday high visibility markers or other devices approved by the Engineer shall be placed to mark the location of all overhead wires, including, but not limited to electrical, telephone and cable television. As an alternative, the pavement
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 beneath overhead lines may be marked with spray paint or by other means approved by the Engineer. This requirement shall also apply to off-site areas used for contract purposes. The Contractor shall periodically patrol the worksite to ensure that the markings are in place and shall replace any that are missing and shall maintain all markings in good condition.
2.Aerial Lifts, Lifting Equipment, Boom Devices. Where there is potential for proximity or contact with energized lines or equipment, work shall not begin until a safety meeting is conducted and appropriate steps are taken to identify, mark, and warn against accidental contact.
3.Tree Work. Branches touching wires shall be removed by the Utility before work begins. Limbs and branches shall not be dropped onto overhead wires. If limbs or branches fall across electrical wires, work shall stop immediately and the Utility shall be notified. Workers shall be equipped with appropriate personal protective gear for working near electricity.
4.Building Electrical Work. Employees working on electrical systems for buildings shall be knowledgeable about and shall employ, when appropriate, OSHA Lock-Out/Tag-Out procedures to prevent exposure to unguarded electrical systems.
K.Open Excavations and Trenches. In accordance with 29 CFR 1926.650, a trench is a narrow excavation (in relation to its length) made below the surface of the ground. In general, the depth is greater than the width, but the width of a trench (measured at the bottom) is not greater than 15 feet. If forms or other structures are installed or constructed in an excavation so as to reduce the dimension measured from the forms or structure to the side of the excavation to 15 feet or less, the excavation is also considered to be a trench. The Contractor shall provide protection from collapse and cave-in for any employee who enters a trench or other excavation in accordance with the requirements of 29 CFR 1926 Subpart P, unless the excavation is less than 5 feet in depth and examination of the ground by the Contractor’s competent person provides no indication of a potential cave-in. The Contractor shall include procedures to meet the excavation safety requirements in the Project Safety and Health Plan. Trenching and excavation work shall be carried out under the supervision of the Contractor's competent person. The Contractor shall provide ladders or ramps for access and egress within 25 feet of an employee work area if a trench is 4 feet or more deep. The Contractor shall keep traffic, equipment and materials at least 2 feet away from the edge of any trench or excavation, or use retaining devices. When mobile equipment is operated near an excavation or must approach the edge of an excavation, either the operator must have a clear and direct view of the edge of the excavation; or a warning system of barricades, hand signals or mechanical signals shall be used. Workers shall not be permitted under loads that are being handled by lifting or digging equipment. For the purposes of open excavations and trenches, the term “competent person” shall be defined as one who has had specific training in, and is knowledgeable about, soil analysis, the use of protective systems and the requirements of 29 CFR 1926 Subpart P.
L.Hazardous Materials. The Contractor shall provide workers Hazard Communication Training (29 CFR 1926.59), Safety Training (29 CFR 1926.21), and other training as required by 29 CFR 1926.
1.Asbestos. Asbestos abatement contractors and workers shall be appropriately licensed and certified by the NYSDOL. The asbestos abatement contractor shall perform all removal and disposal of asbestos-containing material in accordance with Section 210 Removal and Disposal of Asbestos-Containing Material (Buildings, Bridges, and Highways).
2.Lead Safety and Health. The Contractor shall provide worker lead protection in accordance with 29 CFR 1926.62. The Contractor shall provide to the Engineer a written Lead Compliance
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 program addressing as a minimum the specific issues listed in 29 CFR 1926.62 (e)(2), a written Hazard Communication program and Worker Lead Training program as components of the Project Safety and Health Plan. The Contractor shall provide detailed information describing the training and experience of the competent person who will supervise the compliance program on site, provide a description of procedures to monitor worker exposures to lead and provide the proposed medical monitoring program. If respirators are to be used to protect workers from lead exposure, a written respirator program shall be provided. Specific operations that would likely result in worker exposure to lead include, but are not limited to: • Removal of lead based paint coatings by abrasive blasting or other procedures. • Cleanup and removal of paint debris. • Cleanup, relocation, and dismantling of paint removal containment structures. • Flame cutting, heating, or welding of steel coated with lead-based paint. • Removal of bolts or rivets coated with lead-based paint. • Any other operations that may dislodge existing coatings of lead-based paint, or subject them to abrasion or elevated temperatures. The Contractor shall identify and implement engineering and work practice controls to reduce worker exposure to lead to a level at or below the Permissible Exposure Level (PEL). The use of respirators and protective clothing shall be used to supplement engineering and work practice controls, if necessary, to protect workers from exposures above the PEL. Reliance on respirators or protective clothing to protect workers from exposures above the PEL, without first implementing feasible engineering and work practice controls, shall not be permitted except for initial assessment of exposure levels as described in 29 CFR 1926.62 (d). The removal of lead- based paint from structural steel shall be required prior to heating, welding, or flame cutting to reduce worker exposure below the PEL. In cases where the Contractor can clearly demonstrate through exposure monitoring that other work practices and engineering controls, under the oversight of a certified industrial hygienist, can effectively maintain actual worker exposure below the permissible exposure level, exceptions to this requirement may be granted by the Engineer. The Contractor shall provide to the Engineer copies of documentation, as they are completed, to demonstrate full compliance with 29 CFR 1926.62. These records shall include, as applicable, the completed worker lead training, completed respirator programs, air monitoring results, exposure monitoring results, worker medical monitoring results, and other such records as are necessary to document compliance with the standard.
3.Equipment Involving Radioactive Materials. The use of equipment involving radioactive materials, including but not limited to nuclear density gauges, shall adhere to all applicable regulations, including U.S. Nuclear Regulatory Commission regulations, related USDOT regulations concerning transportation of radioactive materials, and 12 NYCRR 38. Fourteen (14) days prior to the start of any work involving such equipment, the Contractor shall submit to the Engineer a written Radiation Safety Plan. The plan shall address in detail transportation and storage of the equipment and operating and emergency procedures. It shall provide the name and address of the Contractor's Radiation Safety Officer. A copy of the owner’s license to possess the radiation source, issued by the NYSDOL, shall also be provided. All operators of the equipment shall be certified by a gauge manufacturer as to having completed training on the safe use of the equipment. A copy of the certification shall be provided to the Engineer for each operator prior to their work on the project.
4.Silica. The Contractor shall provide protection to all workers from exposure to hazardous levels of silica in accordance with 29 CFR 1926.55 and 29 CFR 19261153 Respirable Crystalline
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 Silica. In accordance with §107-05B. Project Safety and Health Plan, the Contractor shall identify and address silica safety and health with a Silica Exposure Control Plan as a part of the written Project Safety and Health Plan. The Contractor shall provide medical surveillance to workers that are required to wear a respirator for more than 30 days per year. The Contractor shall identify and implement worker training, engineering controls, work practices, and respiratory protection to reduce worker exposure to silica in accordance with 29 CFR 1926.1153. Exposure control methods shall either be fully and properly implemented in accordance with Table 1, or the Contractor shall assess and limit the exposure of workers to respirable crystalline silica in accordance the alternative exposure control methods. The accumulation of silica dust in enclosed areas shall be controlled by means of exhaust. . Engineering and work practice control methods shall include, but shall not be limited to; dust suppression through the application of water or other methods, use of general or local ventilation, HEPA filtered vacuum systems, and containment/isolation. Work practice control methods shall include proper use and implementation of supervision, task procedures, employee training, signing, protective clothing, housekeeping, and personal hygiene. If engineering and work practice control methods cannot reduce exposures below the permissible exposure limit (PEL), the Contractor shall institute a respirator program. Each of these safety components is covered individually by 29 CFR 1926. Many materials disturbed by the Contractor’s operations may contain hazardous levels of silica. Silica may be in soil, concrete or asphalt pavement, superstructure or substructure materials. Exposure can occur during common construction tasks including, but not limited to: • Using masonry saws, grinders, drills, jackhammers and/or chipping of rock, cement concrete, or asphalt concrete; • Operating vehicle-mounted drilling rigs; milling; operating crushing machines • Concrete pavement rubblizing; • Using heavy equipment for demolition of brick, cement concrete, or masonry structures; • Abrasive blasting, if the abrasive contains silica, or of cement concrete, rock, or asphalt concrete; • Dry sweeping or pressurized air blowing of cement concrete, rock, sand, or asphalt concrete dust.
M.Demolition/Removal of Buildings and Structures. Demolition or removal work shall not be performed by the use of explosives unless approved by the Regional Director.
N.Drilling and Blasting. Blasting shall be performed in accordance with the Department publication entitled Procedures for Blasting. This publication is available upon request from the Regional Director or the Director, Geotechnical Engineering Bureau. The Contractor shall submit a written Blast Plan in accordance with Procedures for Blasting for approval by the Department a minimum of 10 work days prior to start of blasting operations. A preblast meeting relative to the method, manner and procedure of blasting operations shall be held with the Engineer, the Contractor, the Blaster, a Departmental Engineering Geologist and representatives of all interested agencies prior to the commencement of drilling and blasting operations. Whenever explosives are used, they shall be of such character and strength and in such amounts as permitted by state and local laws and ordinances and all agencies having jurisdiction over them. The Department reserves the right to specify the maximum size of the charges. Blasting shall be done only when the Engineer and those agencies shall approve and under such restrictions as they may impose. If a blast causes injury, damage to property, adverse affects upon traffic, or causes gases to migrate and/or accumulate in a potentially harmful manner, all blasting operations shall cease by order of the Engineer for a review of the procedures. The review will be conducted by the Engineer in conjunction with an Engineering Geologist to ensure that proper procedures and practices were used
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 to determine if the approved procedures need to be revised. Should the findings of the review indicate the injury, damage, traffic delay, or migration/accumulation of gases was attributed to improper blasting operations, the blaster of record may be removed at the Department’s option. The Contractor shall meet all the requirements of 12 NYCRR 23, 12 NYCRR 39, and 12 NYCRR 61, which include but are not limited to the licensing for ownership, possession, transportation, or use of explosives, certifications for blasters, and provisions for storage, construction and maintenance of magazines.
O.Equipment Safety Procedures. The following provisions shall apply to all work on the project, including but not limited to, the activities of all Subcontractors, Manufacturers, Fabricators, Material Suppliers, independent truckers and owner-operators. The Contractor shall include the proposed equipment safety procedures in the Project Safety and Health Plan. • A spotter shall guide the backing of any vehicle or equipment with restricted visibility to the rear. This rule applies in any location where workers on foot, pedestrians, private vehicles or similar hazards may be present. • If the operator loses visual contact, the vehicle shall immediately be brought to a full stop until visual contact with the spotter is reestablished. • Dump truck boxes may be raised only under the control of a spotter, unless the vehicle is in an area clearly marked to be free of overhead wires and safe for dumping. • Dump truck boxes shall be lowered prior to moving, except when dumping into a paver or similar operations, under the control of a spotter. • All excavating, lifting and similar equipment shall comply with electrical safety requirements, and shall operate under the control of a spotter whenever working within 15ft of an overhead line. The distance shall be measured as a slope distance perpendicular from the conductor to the nearest point on the vehicle. • Any operator found in violation of the above rules by the Engineer or his/her representative will be removed from the project immediately, and will not be allowed to work on any Department project for a minimum of one year.
P.Lifting. The following shall apply for all lifting operations when utilizing lift equipment. The Contractor shall conduct construction lifting operations that use a crane or a derrick in compliance with 29 CFR 1926 Subpart CC Cranes and Derricks in Construction and shall conduct lifting operations for demolition and underground construction that use a crane or a derrick in compliance with 29 CFR 1926 Subpart DD Cranes and Derricks Used in Demolition and Underground Construction. This paragraph does not apply to lifting operations covered under Section 585 Structural Lifting Operations, nor ordinary excavation operations. This paragraph does apply to cranes with either fixed or swinging leads that are dedicated to pile driving operations. When a vibratory hammer is used to hoist, move, or extract sheeting (or a pile), the Contractor shall securely attach an independent safety line between the sheeting (or pile) and the crane (or other equipment). The independent safety line shall remain attached to the sheeting (or pile) until it is stabilized in the ground, sufficiently interlocked with other piling, or extracted and positioned into the salvaged stack. At no time shall a vibratory hammer be clamped to sheeting (or a pile) and disconnected from the crane. When the vibratory hammer is not in use, the Contractor shall lay the unit on the ground.
1.Lift Equipment. Lift equipment is defined as equipment capable of lifting an item more than 15 feet high, has the ability to swing or rotate a boom, and has a maximum rated lifting capacity exceeding one ton. Lift equipment shall have durable, legible load charts which shall have been prepared by either the equipment manufacturer or a Professional Engineer. If manufacturer’s load charts are unavailable, charts may be prepared by a Professional Engineer. The Professional
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 Engineer shall utilize the same factors of safety against overturning as the equipment manufacturer. The charts shall be attached to the equipment in a location accessible to the operator while at the controls. The charts shall contain a full range of load ratings at all stated operating radii. The charts shall also note conditions such as outriggers, counter weights, and work area, i.e., over side, over front, or over rear of equipment. Equipment may lift loads up to those indicated on the Manufacturer’s or Professional Engineer’s load chart if the equipment has the following safety devices and the safety devices are operating:
a.Load and radius measuring device pre-programmed to continuously relate the measured data to the load radius chart as a direct reading of load or percentage of the rated load, and connected to a warning light and an acoustical signal located at the operator’s position or in the cab to indicate overload.
b.A device that continuously indicates the levelness of the machine and is visible from the operator’s controls. Lift equipment with non-operational safety devices or no safety devices shall be operated at levels not to exceed 78% of the Manufacturer’s or Professional Engineer’s load charts. This equipment shall have a separate load chart labeled 78% Load Chart and it shall be attached to the equipment. Lift Equipment with operational safety devices that is operating from a barge shall utilize a manufacturer’s or Profession Engineer’s load chart that is established specifically for operating from a barge. Lift Equipment on barges with non-operational safety devices or no safety devices shall operate at 78 % of the Manufacturer’s or Professional Engineer’s load chart for working on barges. This equipment shall have a separate load chart labeled 78% Load Chart for Equipment on Barges. Equipment used for lifting over a railroad shall be restricted such that the operational capacity shall be limited to 66 2/3% of its tipping load as specified in §105-09 Work Affecting Railroads or be limited to the load limits indicated in the previous three paragraphs, whichever is lower.
2.Lift Plans. A written lift plan may be a component of an Erection Plan, Demolition Plan, or other plan that is submitted and approved by the Department in accordance with the Steel Construction Manual, the Prestressed Concrete Construction Manual or other requirement. A written lift plan need not be submitted separately for approval, provided the required minimum elements are contained in the approved plan. Structural elements shown on shop drawings and erection drawings may have units expressed in both metric and USC units, however the measurements or dimensions in the predominant unit system used in the contract documents shall control.
a.Type A Lifts. A Type A Lift is the most complex type of lift, poses a greater risk, and requires significant prior planning. Type A lifts include, but are not limited to lifting primary structural steel or structural concrete elements, span type overhead sign structures, arm type overhead sign structures with a lift weight greater than 20,000 lbs. A lift will also be considered Type A when lift equipment to perform a Type B lift is placed on a bridge structure, on false work; over a railroad; over a sensitive underground utility facility; when there is a two machine lift; or when a slider beam is used. The Contractor shall submit a written Type A Lift Plan to the Engineer 30 calendar days prior to the lift for review and approval by the Department and, when applicable, any railroad affected by the proposed procedure. The Type A Lift Plan and supporting calculations shall be sealed and signed by a Professional Engineer. Any and all alterations or modifications to a Type A Lift Plan shall be sealed and signed by a Professional Engineer. The Engineer shall be notified of any alterations or modifications to approved lift plans.
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 As a minimum, a Type A lift plan shall include the following:
1.Title Block with contract number, PIN, contract description, county, contractor name and bridge identification number (BIN)/or sign identification number (SIN) as appropriate.
2.Plan of the work area showing support structures, roads, railroad tracks, canals, streams and utilities.
3.Lifting sequence, if applicable
4.Location of trucks for delivery or removal of materials.
5.Location of lift equipment, including pin locations, length of boom, and counterweight size and location.
6.Lift radii, lift configuration(s) and restrictions on swing radii.
7.Capacity chart for lift equipment, including a comparison of total lift weight vs. capacity for the pick radius.
8.Weight of the item to be lifted, including additional equipment such as rigging, beam clamps, jibs, swing-away, super-lifts, blocks, cheek plates, headache balls, and cables
9.Wind restrictions if they are requirements of the Manufacturer.
10.Sectional views of all lifts where electrical facilities are within a 15 foot radius of any part of the lifting equipment or object being lifted.
11.Description of lifting devices or other connecting equipment, and pertinent rigging with dimensions.
12.Location of outriggers, outrigger supports, and outside dimensions of tracks for track mounted lifting equipment.
13.Cranes or crane outriggers shall not be placed on a reinforced earth structure, within the limits specified, during a lift.
b.Type B Lifts. A Type B Lift includes arm type overhead sign structures with a lift weight less than 20,000 lbs, structural elements with a lift weight greater than 20,000 lb; when the lift equipment or the item being lifted is within 15 feet of energized overhead electrical lines, or where the operator cannot directly see the item being lifted at all times during the lift. The Contractor shall submit a written Type B Lift Plan, including all of the applicable elements required for a Type A Lift Plan, prepared by the Competent Person.
c.Type C Lifts. A lift will be considered a Type C Lift when it does not meet the requirements for a Type A or Type B Lift. A written lift plan is not required for Type C Lifts.
3.Pre-Lift Meeting.
a.Type A Lifts. A pre-lift meeting will be required for lifts that require a Type A Lift Plan, a written Erection Plan, Demolition Plan, or other requirement that includes a lift plan. The Competent Person, and other appropriate contractor staff, shall attend the pre-lift meeting with the Engineer, as well as representatives from the utilities and railroads if deemed applicable, a minimum of five work days before lifting operations are to be performed. The meeting shall include but not be limited to: the review of site conditions, erection or demolition plans, lift loads vs. lift equipment capacity, obstructions, utilities, and the roles of Department and Contractor personnel.
b.Type B Lifts. The Competent Person, and other appropriate contractor staff, shall review the lift operations with the Engineer at the location of the lift, before lifting operations are performed. The review shall include but not be limited to: the review of site conditions, lift
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 loads vs. lift equipment capacity, and obstructions, and the roles of Department and Contractor personnel.
c.Type C Lifts. A pre-lift meeting is not required for Type C lifts.
4.Competent Person. The Contractor shall designate, to the Engineer, one person, who is competent in lifting operations, to be completely in charge of each lifting operation. In general, Competent Person shall mean one who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them. The Competent Person shall have the authority to take an unsafe piece of equipment out of service until the hazard is eliminated. The Competent Person shall be knowledgeable about lifting equipment and equipment operations, Manufacturer’s specifications and recommendations, and have a thorough knowledge of the requirements, regulations and standards governing his/her duties. The Competent Person shall, as a minimum, have the ability to interpret load charts, calculate lift loads, recognize overhead wire hazards and know all aspects of the rigging. The Competent Person shall inspect all lift equipment prior to and during usage to make sure the equipment is in a safe operating condition.
5.Lift Operations. The Competent Person shall be present for all lifting operations. If a crane is utilized in a lifting operation, or a crane with either fixed or swinging leads is utilized in a pile driving operation, the operator shall present to the Engineer a valid New York State Certificate of Competence to operate a crane, except an individual operating a crane within a city having a population of one million or more. Individuals operating a crane within a city having a population of one million or more shall present the Engineer with a valid license or certification to operate a crane issued by such city. If there are any other local crane license requirements, they too shall be presented to the Engineer. In addition, a copy of the annual inspection report of the crane shall be readily available and provided upon the Engineer’s request. Any crane or other lift equipment that extends into the identified sloped test surface around an airport, military airport or heliport, or 200 feet or more above ground level, as defined in 14 CFR Part 77.9 shall have the appropriate flags, lights, beacons or markings in accordance with Federal Aviation Administration (FAA) Advisory Circular (AC) 70-7460-1K Obstruction Marking and Lighting, and the owner shall file a Notice of Proposed Construction or Alteration with the FAA. Any discrepancies between the Lift Plan and the actual lift conditions shall be reported immediately to the Competent Person in charge of the lift operations and to the Engineer. The operation shall not proceed until all issues are resolved.
Q.Histoplasmosis. Histoplasmosis is a fungal infection caused by a soil organism found in large masses of bird or bat droppings, and is a potential health hazard in areas where birds or bats have nested for long periods. Such conditions are often found on bridge structures, in barns, farm buildings and cold storage facilities. Areas with small amounts of dried droppings pose minimal hazard. Airborne material may enter the body by inhalation or ingestion. Prior to work in any area where birds nest or bats roost, the Contractor shall conduct a thorough inspection to determine if, and to what extent there is a build-up of droppings. Workers conducting an inspection shall be equipped with personal protective equipment, which include gloves, rubber boots, rain suit components, goggles and a dust/nuisance respirator. Questions regarding proper equipment for this activity shall be directed to the Engineer. If substantial material is found, the Contract shall clean the work area using a high-powered water hose or by scraping. If the material is to be scraped away, it shall be kept wet during the entire process. Workers engaged in cleaning activity shall wear personal protective equipment specified
107-05 Safety and Health Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 above. Application of a cleaning agent (bleach, for example), before removal may help dissolve the material, and a disinfectant shall be applied to cleaned surfaces. No solvents or chemical cleaning agents shall be dispersed into waterways when cleaning surfaces. Compressed air shall not be used to remove bird droppings because it produces airborne particles and exposure to particles may cause histoplasmosis. When cleaning has been successfully completed, the personal protective equipment specified above is no longer required. Employees engaged in cleaning, or any other activity which involves exposure to bird droppings, shall observe a high degree of personal hygiene, even if the exposure is casual. Special care shall be taken to wash hands thoroughly before eating or smoking.
R.Confined Spaces. Confined spaces are defined as any space having limited means of egress, which is subject to the accumulation of toxic or flammable contaminants or has an oxygen deficient atmosphere. Confined spaces include, but are not limited to: sanitary sewers, sanitary manholes and structures, drainage lines and drainage structures, underground utility vaults, enclosed bridge beams and heated enclosures. All personnel required to enter confined spaces shall be instructed as to the nature of the hazards, the necessary precautions and in the use of protective and emergency equipment required. Fuel-fired heated enclosures are frequently constructed to provide the requirements for winter concrete placement or similar operations. The Contractor shall provide adequate ventilation to maintain acceptable air quality or conduct air quality monitoring when heaters are or have been operating prior to personnel entry. If acceptable air quality cannot be verified, then appropriate respirators shall be worn. No worker shall enter a confined, heated space unless that space can be ventilated or the worker removed from outside the enclosure if the worker is overcome by fumes. Particularly during off-shift hours, no worker shall enter an unventilated, heated enclosure unless another worker is present immediately outside the enclosure. All unnecessary combustibles and debris shall be removed from the enclosure and escape exits shall be provided so workers can escape safely if a fire starts, prior to heating.
S.Fire and Explosion Prevention. The Contractor shall ensure that combustibles do not accumulate. Flammable materials shall be handled and stored as required by OSHA regulations. “No Smoking” signs shall be posted and enforced wherever flammable materials are stored or used. Fire extinguishers shall be provided and maintained throughout the site, in accordance with the requirements of 29 CFR 1926, Subpart F. Fires will be considered, as a minimum, a near-miss accident, and therefore shall be reported in accordance with existing reporting requirements. During refueling, all possible sources of ignition, including, but not limited to sparks, open flames and electrical equipment shall be eliminated. Fuel containers shall be grounded to the tank to prevent static electrical sparks. A "No Smoking or Open Flame" sign shall be posted conspicuously in the vicinity of refueling operations. Cutting and welding equipment shall be stored according to recognized safety standards. Any defective tanks or equipment shall be removed to a safe storage area immediately until repairs are made. When cutting or burning is underway, steps shall be taken to ensure that sparks do not ignite combustibles.
T.Use of Personal Entertainment Devices and Portable Phones. The Contractor shall ensure that workers are able to perceive hazards, are not distracted from their tasks, and are not creating hazard(s) through the use of personal entertainment devices. The Contractor shall ensure that portable phones, two-way radios, and other communication devices are used by workers for performing work tasks only. Flaggers shall use portable phones, two-way radios, and other communication devices only to communicate with other flaggers, workers or supervisors regarding flagging operations. Equipment operators shall use portable phones, two-way radios or other communication devices while actively operating equipment only for communicating with workers performing directly related work tasks.
107-06 Insurance.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 Truck drivers shall use hands free technology for all calls while driving within work zones. Portable phones, two-way radios, and other communication devices shall be equipped with hands-free technology whenever practicable. Workers shall not use personal entertainment devices with earphones such as radios, cellular/smart phones, portable media players, or other personal listening devices while working.
107-06 Insurance.
The Contractor shall procure, at its own sole cost and expense, and shall maintain in force at all times during the term of the contract including any time extensions or renewals until Contract Final Acceptance, the policies of insurance covering all operations under the contract as herein set forth whether performed by the Contractor or by any other firm or company subcontracted by the Contractor, written by companies authorized by the New York State Department of Financial Services to issue insurance in the State of New York and that have an A.M. Best Company rating of (A-) or better or approved by the Department. The Department may, at its sole discretion, release the Contractor from the requirement to provide certain specified types of insurance if the Department determines that the Work related to that specific type of insurance (i.e., Railroad Protective Liability, Marine Protection & Indemnity) has been satisfactorily completed, therefore obviating the utility of the required insurance. The Department may, at its sole discretion, permit the placement of policies with a non-authorized carrier or carriers upon request by the Contractor accompanied by the documentation required by 11 NYCRR §27.0 et seq.; provided that nothing herein shall be construed to require the Department to accept insurance placed with a non- authorized carrier under any circumstances. The Contractor shall deliver to the Department evidence of such policies as the Department deems necessary to verify that the required insurance is in effect.
A.Conditions Applicable to Insurance. All policies of insurance required by this contract must meet the following requirements:
1.Coverage Types and Policy Limits. The types of coverage and policy limits required from the Contractor are specified in Paragraph B Insurance Requirements below. General liability insurance shall apply separately on a per-job or per-project basis. Unless otherwise indicated, the required limits of liability for any insurance may be secured through any satisfactory combination of primary and/or excess /umbrella policies.
2.Policy Forms. Except as may be otherwise specifically provided herein or agreed in writing by the Department, policies must be written on an occurrence basis. In the event that occurrence based coverage is not commercially available, claims-made policy forms will be considered provided that, at minimum, it includes provisions that allow for (a) reporting circumstances or incidents that may give rise to future claims and (b) an extended reporting period of not less than three (3) years with respect to events that occurred but were not reported during the term of the policy. Insurance policies that remove or restrict blanket contractual liability located in the “insured contract” definition (as stated in Section V, Number 9, Item f in the ISO CGL policy) or that remove or modify the “insured contract” exception to the employer’s liability exclusion so as to limit coverage for claims that arise out of contract work, or that do not cover the additional insured for claims involving injury to employees of the named insured or Subcontractors (as the term subcontractor is used in CG 00 01 04 13), are not acceptable. Policy forms must be provided to the Department upon request.
3.Certificates of Insurance/Notices. Contractor shall provide a Certificate or Certificates of Insurance, in a form satisfactory to the Department, before commencing any work under this contract. Certificates or transmittal correspondence shall reference the NYSDOT Contract D Number. Contractor is strongly encouraged to transmit certificates and other materials concerning
107-06 Insurance.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 insurance coverage, referencing the contract D-number and the name of the contractor in the Subject Line, by email to: Insur.constr.contr@dot.ny.gov Certificates may be mailed to the: New York State Department of Transportation Office of Contract Management 50 Wolf Road, First Floor, Suite 1CM Albany, NY 12232 Unless otherwise agreed, policies shall be written so as to require that the policy will not be
i.canceled, (ii) materially changed or (iii) permitted to expire or lapse for any reason except upon ten (10) days’ prior written notice to the Department by Certified Mail, Return Receipt Requested at the address stated above. In addition, if required by the Department, the Contractor shall deliver to the Department within ten (10) work days of such request a copy of any or all policies of insurance not previously provided, certified by the insurance carrier as true and complete. Certificates of Insurance shall:
a.Be in a form satisfactory to the Department. The ACORD 25 Certificate must be accompanied by an ACORD 855 “New York Construction Addendum” completed to indicate information about the liability insurance.
b.Be signed and dated by an authorized representative of the insurance carrier or producer.
c.Disclose any deductible, self-insured retention, aggregate limit.
d.Refer to this Contract by number on the face of the certificate. If at any time during the term of this contract, it shall come to the attention of the Department that required insurance is not in effect or that adequate proof of insurance has not been provided, the Department may, at its option:
a.Direct the Contractor to suspend work and not re-enter the premises with no additional payment or extension of time due on account thereof, or
b.May withhold further contract payments in accordance with Article 8 No Payment Due to Contractor’s Non-Compliance of the contract agreement, or
c.Treat such failure as a breach or default of the contract.
4.Additional Insureds. All insurance policies required by these specifications, except workers’ compensation, disability, and professional liability shall be endorsed to provide coverage to “The State of New York/New York State Department of Transportation, any municipality in which the work is being performed, any public benefit corporation, railroad, or public utility whose property or facilities are affected by the work, and any consultants working for or on the project, and their agents or employees” with respect to any claim arising from the Contractor’s Work under this contract or as a result of the Contractor’s operations. The coverage for parties required to be “additional insureds” shall be effected by endorsement of the applicable policy using the following ISO forms, or such forms providing equivalent coverage: ISO form CG 20 10 04 13, CG 20 33 10 01, CG 20 33 07 98 when used in combination with CG 20 37 07 04, CG 20 37 04 13,CG 20 38 04 13 and CA 20 48 10 13.
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NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1
5.Primary Coverage. The liability and protective liability insurance policies shall provide primary and non-contributory coverage to the Department for any claim arising from the Contractor’s Work under this contract, or as a result of the Contractor’s activities.
6.Waiver of Subrogation. As to every type and form of insurance coverage required from the Contractor, there shall be no right of subrogation against the State of New York/New York State Department of Transportation, its agents or employees. To the extent that any of Contractor’s policies of insurance prohibit such a waiver of subrogation, Contractor shall secure the necessary permission to make this waiver.
7.Policy Renewal/Expiration. At least ten (10) calendar days prior to the expiration of any policy required by this contract, evidence of renewal or replacement policies of insurance with terms no less favorable to the Department than the expiring policies shall be delivered to the Department in the manner required for service of notice in Paragraph A.3. Certificates of Insurance/Notices above.
8.Self-Insured Retention/Deductibles. Contractors utilizing self-insurance programs are required to provide a description of the program for Department approval. Collateralized deductible and self-insured retention programs administered by a third party may be approved. Except as may be specifically provided in the Contract Documents of a particular project, the Contractor or third-party administered insurance deductible shall be limited to the amount of the bid deposit or $100,000, whichever is less. Security is not required if it is otherwise provided to an administrator for an approved risk management program. The Department will not accept a self-insured retention program without security being posted to assure payment of both the self- insured retention limit and the cost of adjusting claims. The Contractor shall be solely responsible for all claim expense and loss payments within any permitted deductible or self-insured retention. If the Contractor’s deductible in a self-administered program exceeds the amount of the bid deposit, the Contractor shall furnish an irrevocable Letter of Credit as collateral to guarantee its obligations. Such Letter of Credit or other collateral as may be approved by Department must be issued by a guarantor or surety with an AM Best Company rating of (A -) or better. If, at any time during the term of this agreement, the Department, in its sole discretion, determines that the Contractor is not paying its deductible, it may require the Contractor to collateralize all or any part of the deductible or self-insured retention on any or all policies of insurance or, upon failure to promptly do so, the same may be withheld from payments due the Contractor.
9.Waiver of Indemnities. The Contractor waives any right of action it and/or its insurance carrier might have against the Department (including its employees, officers, commissioners, or agents) for any loss that is covered by a policy of insurance that is required by this contract. The Contractor waives any right of action it and/or its insurance carrier might have against the Department (including its employees, officers, commissioners, or agents) for any loss, whether or not such loss is insured.
10.Insurance for Subcontractors, Trucking Firms, and Professional Services. In the event that any portion of the work described in this contract is performed by a Subcontractor, Trucking Firm, and/or any entity or person providing a Professional Service, the applicable insurance requirements shall be incorporated into the subcontract agreement. Subcontractor insurance requirements shall include the requirements for Workers’ Compensation, Disability, Commercial General Liability, and other insurances set forth in §107-06B applicable based on the nature of the subcontracted work. Excess or umbrella insurance, and Special Protective and Highway Liability insurance, is not required for Subcontractors. Insurance requirements for Trucking Firm(s) shall include Workers’ Compensation, Disability, Commercial General Liability, and
107-06 Insurance.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 Commercial Automobile insurance. Insurance requirements for Professional Service(s) requiring the signature, stamp, or certification of a licensed professional shall include Workers’ Compensation, Disability, Professional Liability / Errors and Omissions insurance, and Commercial General Liability (if conducting work on-site). Contractor shall certify, in a form deemed acceptable by the Department, that the Contractor has received an Accord 25 from the insurer or authorized representative of each Subcontractor, Trucking Firm, and/or Professional Service and that the insurance coverage meets or exceeds the Department’s insurance requirements for each and every Subcontractor, Trucking Firm, and Professional Service utilized by the Contractor to conduct work under this contract.
B.Insurance Requirements. The types of insurance and minimum policy limits shall be as follows:
1.Workers’ Compensation. (Applicable to all contracts). For work to be performed in New York State, as required by State Finance Law §142 and Workers’ Compensation Law Section 57, the Contractor shall maintain in force workers’ compensation insurance upon forms required by or acceptable to the Workers Compensation Board for all of Contractor’s employees. Evidence of Workers’ Compensation and Employers Liability coverage shall be provided on one of the following forms specified by the Chairman of the New York State Workers’ Compensation Board:
1.C-105.2 (September 2007 or most current version) – Certificate of Workers’ Compensation Insurance;
2.U-26.3 – Certificate of Workers’ Compensation Insurance from the State Insurance Fund;
3.GSI-105/SI-12 – Certificate of Workers’ Compensation Self Insurance; or
4.CE-200 – Certificate of Attestation of Exemption (When Contractor meets the requirements). All forms are valid for one year from the date the form is signed / stamped, or until policy expiration, whichever is earlier.
2.Disability (Applicable to all contracts). For work to be performed in New York State, as required by Workers’ Compensation Law Section 220 (8), the Contractor shall provide and maintain coverage during the life of the related contract for the benefit of such employees as are required to be covered by the New York State Disability Benefits Law. Any waiver of this requirement must be approved by the Agency and will only be granted in unique or unusual circumstances. Evidence of Disability Benefits coverage must be provided on one of the following forms specified by the Chairman of the Workers’ Compensation Board:
1.DB-120.1 (May 2006 or most current version) – Certificate of Insurance Coverage under the New York State Disability Benefits Law;
2.DB-155 – Certificate of Disability Self Insurance; or
3.CE-200 – Certificate of Attestation of Exemption. All forms are valid for one year from the date the form is signed / stamped, or until policy expiration, whichever is earlier.
3.Commercial General Liability (CGL). (Applicable to all contracts). The Contractor shall maintain a commercial general liability policy or policies, on an occurrence form, insuring against liability arising from premises (including loss of use thereof), personal injury or death, advertising injury, liability insured under an insured contract (including the tort liability of another assumed in a business contract) occurring on or in any way related to the premises or
107-06 Insurance.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 occasioned by reason of the operations of Contractor. Such coverage shall be written on an ISO occurrence form (ISO Form CG 00 01 12 07 or a policy form providing equivalent coverage) in an amount no less than the minimum coverage set forth in Table 107-1 Insurance for Contracts. Unless otherwise provided, the policy or policies of insurance providing the liability coverage shall include:
a.Coverage for contractual liability assumed by the Contractor insured under an insured contract (including the tort liability of another assumed in a business contract).
b.All insurance policies required by these specifications except workers’ compensation, disability, and professional liability shall be endorsed to provide coverage to “the State of New York / New York State Department of Transportation, any municipality in which the work is being performed, any public benefit corporation, railroad, or public utility whose property or facilities are affected by the work, and any consultants working for or on the project, and their agents or employees” with respect to any claim arising from the Contractor’s Work under this contract or as a result of the Contractor’s operation using ISO forms, or such forms providing equivalent coverage: ISO form CG 20 10 04 13, CG 20 33 10 01, CG 20 33 07 98 when used in combination with CG 20 37 07 04, CG 20 37 04 13, CG 20 38 04 13, and CA 20 48 10 13.
c.Products-Completed Operations Coverage, as provided in the General Liability Policy, or in certain instances, through ISO form CG 26 11 09 99 or suitable equivalent.
d.Where contract work will be performed by unregistered off-road equipment, Contractor shall provide documentation of a blanket Pollution Liability policy, or an endorsement to cover short-term pollution events, ISO form CG 04 33 10 01 or equivalent.
e.Coverage for claims for bodily injury asserted by an employee of an additional insured and any Employer Liability Exclusion which may otherwise operate to exclude such coverage shall be voided in this respect.
f.Explosion, Collapse and Underground Hazards coverage (“XCU”) (for contracts that call for the performance of excavating, underground work, and/or the use of blasting equipment).
4.Commercial Automobile including liability and required coverage for New York. (Applicable to all contracts). The Contractor shall maintain a commercial or other automobile policy or policies insuring against liability for bodily injury, death, or damage to property and other mandatory coverages, relating to the use, operation, loading or unloading of any of Contractor’s automobiles (including owned, hired and non-owned vehicles) on and around the project. This shall be ISO form CA 00 01 10 01, CA 00 01 01 87 or a policy form providing equivalent coverage along with mandatory New York endorsements. If the contract involves the removal of hazardous waste or otherwise transporting hazardous materials, pollution liability coverage for covered autos shall be provided by form CA 99 48 03 06 or CA 00 12 03 06 and the Motor Carrier Act Endorsement (MCS90) shall be attached. Coverage shall be in an amount no less than the minimum coverage set forth in Table 107-1 Insurance for Contracts.
5.Umbrella or Excess Liability. (Applicable to all contracts). When the limits of the CGL, Auto, and/or Employers’ Liability policies procured are insufficient to meet the limits specified, the Contractor shall procure and maintain Commercial Umbrella and/or Excess Liability policies with limits in excess of the primary; provided, however, that the total amount of insurance coverage is at least equal to the requirements set forth, and shall be sufficient to provide, when
107-06 Insurance.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 combined with the Commercial General Liability, no less than the minimum coverage set forth in Table 107-1 Insurance for Contracts. The policy or policies shall provide insurance insuring against liability arising from premises (including loss of use thereof), operations, independent Contractors, products-completed operations, personal injury and advertising injury, and liability insured under an insured contract (including the tort liability of another assumed in a business contract) occurring on or in any way related to the premises or occasioned by reason of the operations of Contractor or arising from automobile liability as described above. Such coverage shall be written on an ISO occurrence form CU 00 01 12 07 or a policy form providing equivalent coverage.
6.Special Protective and Highway Liability. (Applicable to all contracts). The Contractor shall maintain, separate and apart from its umbrella policy, a policy issued to and covering the liability of the People of the State of New York; The State of New York; the Commissioner of Transportation; all employees of the Department of Transportation; any municipality in which the work is being performed; and any public benefit corporation, railroad, or public utility whose property or facilities are affected by the Work, against damages that the insureds may be held legally liable to pay for property damage, personal injuries, or death that is caused by any occurrence that takes place within any location where work is to be or is being performed by Contractor, including at the location of any of the Work. This should be ISO form CG 00 14 12 or a policy form providing equivalent coverage along with mandatory New York endorsements. Coverage shall be in an amount no less than the minimum coverage set forth in Table 107-1 Insurance for Contracts.
7.Professional Liability / Errors and Omissions. (Applicable to professional services requiring the signature, stamp or certification of a licensed professional, including, without limitation, erection plans, demolition plans, containment plans, coffer dams, and temporary sheeting). The Contractor shall maintain at its own expense or shall require to be maintained, such insurance as is customary to compensate the Department for any claims or losses that occur because of Contractor’s errors, omissions, malpractice or breach of professional obligations. Such policy or policies may be written on a claims-made form so long as coverage is maintained to be in effect to cover claims arising from the performance of services under this contract. Said coverage may be subject to a deductible or self-insured retention level of no more than $250,000 subject to approval by the Department, such approval not to be unreasonably withheld, except that it is also agreed that the Department may withhold payment for services rendered under this contract in the event, and to the extent of any deductible in the event that a claim is asserted. Such coverage shall be written on a claims-made basis (or a policy form providing equivalent coverage) in an amount no less than the minimum coverage set forth in Table 107-1 Insurance for Contracts.
8.Railroad Protective Liability. (Applicable to any Work Affecting Railroads as described in §105-09). The Contractor shall maintain at its own expense railroad protective liability policy of insurance in the name of the affected railroad and with limits of coverage as specified in the Special Note in the Contract Proposal, or if no limits of coverage are specified, in an amount no less than the minimum coverage set forth in Table 107-1 Insurance for Contracts. The aggregate limit shall apply separately to each annual period. Said policy shall be subject to the approval of the railroad and comply with 23 CFR 646 Subpart A.
9.Marine Protection & Indemnity. (Applicable to any Work performed on a navigable waterway using barges or other watercraft or necessitating the use of a rescue boat / skiff as described in §107-05). Anytime the activity involves work on navigable water or the Work is connected to water related activities, Marine Protection & Indemnity and Hull and Machinery
107-06 Insurance.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 coverage is required. Hull and Machinery coverage shall be provided for the total value of the watercraft or equipment. The Contractor shall maintain at its own expense, or shall require to be maintained, Protective and Indemnity Liability insurance for all marine operations under the Agreement in an amount no less than the minimum coverage as set forth in Table 107-1 Insurance for Contracts. The policy shall be endorsed to add the Department as an Additional Insured. Any coverage required within this subsection may be satisfied by the CGL and Excess policies, or endorsement thereto, only when total coverage meets or exceeds the sum of the individual coverages had each been procured separately.
10.Pollution Liability. (Applicable where the Contractor will employ mobile equipment or tanks; facilities for fueling vehicles or equipment on-site; or where the work involves the handling or removal of any contaminant, including but not limited to asbestos or lead paint or petroleum products including the abatement or removal of such materials, or some other identified environmental condition). The Contractor shall maintain at its own expense, or shall require to be maintained, either through an endorsement to a commercial general liability policy or through a separate policy not to be combined with any other coverage, insurance protecting Contractor and the Department from the liability and financial loss relating to Contractor’s contamination of soil and the accidental release of petroleum products, chemicals and/or toxic gases from broken pipelines, utilities and stationary and mobile fuel tanks that can result from Contractor’s operations. Such coverage shall be written on policy form providing coverage for contamination both on and off the leased premises and shall provide coverage in an amount no less than the minimum coverage as set forth in Table 107-1 Insurance for Contracts.
11.Builders’ Risks. (Applicable to projects that call for the construction of any “Structure” or building, including, but not limited to bridges and pump stations and in connection with such projects, as part of a project valued at $25,000,000 or more and then only to the extent of the specified value associated with such construction). The Contractor shall procure and maintain a Builders’ Risk policy in a form such as ISO form CP 00 20 10 90 or a policy form providing equivalent coverage, covering all risks in completed value form. Such policy shall cover the total value of the work performed in accordance with the contract, as well as the value of any equipment, supplies and/or materials to be installed in the contract that may be in storage (on or off the Site) or in transit. The policy shall cover the cost of removing debris, including demolition as may be legally necessary by the operation of any law, ordinance or regulation, and property of the State held in their care, custody and/or control. Such policy shall name as insureds the State, the Contractor, and the State of New York. The Builders’ Risk policy shall contain endorsements that provide for the following: • The State and the Contractor shall be named as loss payees for the work in order of precedence, as their interest may appear; and • In the event the loss occurs at an occupied facility, the policy shall permit occupancy without the consent of the insurance company; and • In the event that the insurance policy has been issued by a mutual insurance company, the following language shall be included: “The Department is not liable for any premium or assessment under this policy of insurance. The First Named Insured is solely liable therefore.” Any required Builders’ Risk policy shall be written to cover specific structures identified in the Contract Proposal to the specified value for the completed structure(s). Self-insured retention / deductibles shall not exceed $250,000 or 20% of the total value of work performed and equipment, supplies and materials at the location of the Work as well as at any off-site storage locations.
107-06 Insurance.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1
12.Unmanned Aircraft Systems Liability. (Applicable where the Contractor is required to or chooses to utilize unmanned aircraft systems or “drones” for any purpose related to contract work or within the contract limits). Unmanned Aircraft Systems Liability will be required whenever the contracted work includes, or the Contractor utilizes, the operation of an Unmanned Aircraft System. The Contractor shall maintain at its own expense, or shall require to be maintained, an Aviation Liability Insurance Policy covering the liability of the operator for bodily injury, property damage, and personal injury arising from all operation in an amount no less than the minimum coverage set forth in Table 107 -1 Insurance for Contracts. A certificate of insurance demonstrating proof of coverage is required. The proof of coverage shall include Additional Insured Endorsements, 30 - Day Notice of Cancellation Endorsements and Waiver of Subrogation Endorsements.
C.Table of Insurance Requirements TABLE 107-1 INSURANCE FOR CONTRACTS1 INSURANCE TYPE CONTRACT VALUE $0 - $10,000,000 $10,000,000.01 - $20,000,000 $20,000,000.01- $100,000,000 Over $100,000,000 Commercial General Liability (CGL) $1 million per occurrence; $2 million aggregate2 $1 million per occurrence; $2 million aggregate2 $1 million per occurrence; $2 million aggregate2 $1 million per occurrence; $2 million aggregate2 Commercial Automobile $1 million per accident $1 million per accident $1 million per accident $1 million per accident Umbrella or Excess Liability At least $6 million when combined with CGL2 At least $9 million when combined with CGL2 At least $13 million when combined with CGL2 At least $20 million when combined with CGL2 Special Protective and Highway Liability $1 million per occurrence; $2 million aggregate $1 million per occurrence; $2 million aggregate $2 million per occurrence; $4 million aggregate $2 million per occurrence; $4 million aggregate Professional Liability / Errors and Omissions Design Bid Build $1 million per occurrence; $1 million aggregate Design Bid Build $1 million per occurrence; $1 million aggregate Design Bid Build $1 million per occurrence; $1 million aggregate Design Bid Build $1 million per occurrence; $1 million aggregate Design Build $2 million per occurrence; $2 million aggregate Design Build $2 million per occurrence; $2 million aggregate Design Build $3 million per occurrence; $3 million aggregate Design Build $4 million per occurrence; $4 million aggregate Railroad Protective Liability $2 million per occurrence; $6 million aggregate $2 million per occurrence; $6 million aggregate $2 million per occurrence; $6 million aggregate $2 million per occurrence; $6 million aggregate Marine Protection & Indemnity $1 million $1 million $1 million $1 million
107-07 Protection of Underground Facilities.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 TABLE 107-1 INSURANCE FOR CONTRACTS1 INSURANCE TYPE CONTRACT VALUE $0 - $10,000,000 $10,000,000.01 - $20,000,000 $20,000,000.01- $100,000,000 Over $100,000,000 Pollution Liability $1 million per occurrence; $1 million aggregate $1 million per occurrence; $1 million aggregate $1 million per occurrence; $1 million aggregate $1 million per occurrence; $1 million aggregate Builders’ Risks Not Applicable Not Applicable See Note in Contract Proposal See Note in Contract Proposal Unmanned Aircraft Systems Liability $1 million per occurrence $1 million per occurrence $1 million per occurrence $1 million per occurrence 1 See Special Notes in Contract Proposal for modifications to minimum insurance coverages, additional insured, and/or indemnification. 2 Insurance afforded to additional insureds shall not be limited by contractual minimum coverage requirements when insurance limits stated in the Certificate of Insurance or Declarations exceed minimum coverage.
D.Contractor’s Risks. The Contractor shall be responsible for obtaining any insurance it deems necessary to cover its own risks, including without limitation: (a) business interruption, such as gross earnings, extra expense, or similar coverage, (b) personal property, and/or (c) automobile physical damage and/or theft. In no event shall the Department be liable for any damage to, or loss of, personal property, business interruption, lost income, lost wages, or damage to, or loss of, an automobile, even if such loss is caused by the negligence of the Department.
107-07 Protection of Underground Facilities.
The Contractor shall use the necessary precautions to prevent damage to pipes, conduits, and other underground facilities in accordance with 16 NYCRR 753 Protection of Underground Facilities. All costs associated with verification of the location of underground facilities shall be included in the prices bid for the respective contract items involved unless separate payment is otherwise provided for in the contract. The Contractor shall provide access to Public Service Commission personnel to examine and inspect excavation and demolition methods used within 15 feet in any direction of any underground facility. Prior to commencement of excavation, the Contractor shall ensure that appropriate staff have completed an approved Public Service Commission “One -Call” training program on safe digging best practices in accordance with New York State General Business Law.
A.Excavation. Prior to non-emergency excavation for the purpose of movement or removal of earth, rock, pavement or other materials in or on the ground by use of mechanical equipment or blasting, including, but not limited to; digging, auguring, backfilling, boring, dr illing, grading, plowing in, pulling in, fence post or pile driving, jack hammering, pipe jacking, pavement milling, tree root removal, sawcutting, trenching, tunneling and the installation of guiderail posts, sign posts, or underground conduit, the Contractor shall notify the One -Call system of the date and location of the proposed work. Excavation does not include the movement of earth by tools manipulated only by human or animal power, vacuum excavation, or saw cutting and jack hammering in connection with pavement restoration of a previous excavation where only the pavement is involved.
107-07 Protection of Underground Facilities.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1
B.Demolition. Prior to the demolition, including; the total or partial wrecking, razing, rending, moving or removal of any structure, the Contractor shall notify the One -Call system of the date and location of the proposed work. At least 7 State work days prior to the start of demolition, the Contractor shall request a pre -demolition conference through the One -Call notification system, with all Utilities that have underground facilities at or within 15 feet of the work area. The pre -demolition conference may encompass one or more demolitions performed as a part of the contract.
C.Notification. The Contractor shall contact the One -Call notification system serving the area a minimum of 2 days and a maximum of 10 days, not including the date of the call, prior to work. The Contractor shall mark proposed locations of excavation, or other activity listed above, with white paint, white stakes or other indications as agreed to by the Utilities to facilitate the work of underground utility designation. If additional work is required, and staking, marking or other designation has been lost, the Contractor shall contact the One -Call notification system for subsequent designation. If an underground facility has been designated, but the Contractor cannot physically locate the facility, the Utility shall be notified, so that the designation can be verified. If an unmarked or unknown facility is discovered during the course of the Contractor’s operations, the Utility or suspected Utility shall be notified. If the owner cannot be determined, the One -Call notification system shall be notifi ed. The Contractor shall support and protect from damage all exposed underground facilities. The Contractor shall notify the Engineer of any accidental contact with or potential damage to any underground facility, regardless of whether the damage is visible or not. The Contractor shall provide to the Engineer, in writing, the information provided to the One-Call notification system or the Utility if it is not a One -Call notification system member, and the control number issued for each call placed to request designa tion of underground facilities. The Contractor shall protect and preserve designations until no longer required for safe work near the underground facility. The Contractor shall identify and provide to all forepersons and equipment operators, a list of emergency phone numbers for each Utility having facilities within the contract limits. Supervisors shall periodically review the location of underground facil ities with all workers who are subject to exposure, including new employees.
D.Verification. The Contractor shall verify precise location, size, depth and direction of run of an underground facility or its encasement, by hand shovel or vacuum excavation, prior to the use of powered equipment or the installation of any proposed work, including the projected line of a trenchless installation such as boring or drilling, within the tolerance zone. Powered equipment may be used to remove pavement or masonry within the tolerance zone, but only to the depth of such pavement or masonry. Powered equipment shall not be used within 4 inches of the verified location of an underground facility.
E.Contact or Damage. The Contractor shall, in the event of contact or damage to an underground facility, immediately notify the Utility and the Engineer, suspend excavation or demolition in the immediate vicinity of the contacted or damaged facility and take such emergency a ctions as are warranted to protect all endangered persons to the best of its ability.
F.Quality Level Designations. The quality of information gathered about underground utilities is shown on contract plans using a Quality Level Designation. The Quality Level Designation may be different within the same area for different underground utilities, depending on the accur acy and availability of information. If Quality Level Designations are not shown in the contract documents, information shall be assumed to be Quality Level D. Below are the Quality Level Designation definitions:
107-08 Protection and Restoration of Property and Landscape.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1
1.Quality Level A. Quality Level A is the highest degree of accuracy. The information shown on the plans has been obtained by the actual exposure (or verification of previously exposed and surveyed utility facilities) of subsurface utilities, using (typically) minimally int rusive excavation equipment to determine their precise horizontal and vertical positions, as well as their other utility facility attributes. Shown on contract plans as QLA.
2.Quality Level B. Quality Level B is the second highest degree of accuracy. The information shown on the plans has been obtained through the application of appropriate surface geophysical methods (i.e., underground cameras, radar, sonar, tone outs, etc.) to identify the existence and appropriate horizontal position of s ubsurface utility facilities. Quality Level B data are reproducible by surface geophysics at any point of their depiction. The information was surveyed to applicable tolerances and reduced onto the plans. No excavations were performed. Shown on contract plans as QLB.
3.Quality Level C. Quality Level C is the third highest degree of accuracy. The information shown on the plans has been obtained by surveying and plotting visible above -ground utility features and by using professional judgment in correlating this information to Quality Lev el D information. Shown on contract plans as QLC.
4.Quality Level D. Quality Level D is the lowest degree of accuracy. The information shown on the plans was derived solely from existing NYSDOT and/or utility company records or recollections. Shown on contract plans as QLD.
107-08 Protection and Restoration of Property and Landscape.
The Contractor shall protect and preserve all public and private property, including all existing vegetation, existing landscape features, and monuments within, along, and adjacent to the highway right of way. The Contractor shall use every precaution necessary to prevent damage, injury, pollution or destruction; shall protect all trees and other woody plants which are to remain; and shall take special care to protect the natural vegetation and surroundings including all natural drainageways, waterways, wetlands, groundwater, woods and fields. The Contractor shall store materials in such a manner as to prevent leaching and soil compaction which could be injurious to water, soils, and plants.
A.Within the Right of Way. Before beginning the use of any area within the right of way, but not within the limits of disturbance shown in the contract documents, the Contractor shall obtain the written approval of the Engineer. Before beginning the use of any area within the right of way, but outside the contract limits, the Contractor shall obtain the written approval of the Department through modification of the contract limits by change order or the issuance of a highway work permit. Approval will not be given if the area is not suitable for acceptable restoration or if serious or permanent environmental damage is foreseeable. This applies to areas such as, but not limited to: borrow areas, spoil areas, equipment and/or material storage areas, haul roads, batching areas, water points, shop areas and all similar areas. Where a contract pay item for turf establishment is not included in the contract, disturbed earth areas within the work limits shall be graded and seeded as specified for the standard turf establishment item. The cost of this work shall be included in the prices bid for the various items in the contract and no separate payment will be made therefore.
B.Outside the Right of Way. The Contractor shall notify the Engineer of the use of any specific area outside the right of way before work in any such area is begun, except areas which have been or are being used by the Contractor as its established and permanent headquarters, equipment storage sites or to commercial borrow sources, commercial gravel pits, commercial quarries, and all similar
107-08 Protection and Restoration of Property and Landscape.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 areas. The Contractor shall provide the Engineer with a copy of any permit application or notice of intent, without attachments. In accordance with the SPDES General Permit for Stormwater Discharges from Construction Activity, any construction activity that results in a soil disturbance of more than 1 acre on a single property will require SPDES permit coverage from the NYS Department of Environmental Conservation (NYSDEC). When SPDES permit coverage is required, the property owner, as the “Operator” must develop and implement a NYSDEC approved stormwater pollution prevention plan (SWPPP) and conduct required periodic inspections until the permit coverage is terminated. In accordance with the Mined Land Reclamation Law, (Environmental Conservation Law Article 23, Title 27), all borrow pits and aggregate sources outside of the State right of way, where more than 1,000 tons or 750 cubic yards, whichever is less, of minerals are removed from the earth within any twelve successive calendar months, require mining permits obtained from NYSDEC. When a mining permit is required, the Contractor, in addition to complying with restoration requirements for all areas as stated below, may be required by the Engineer to meet pertinent standards contained in the law and/or 6 NYCRR Part 420 et. seq. Where borrow pits result in the formation of ponds or low areas intermittently filled with water, the Contractor shall furnish the Engineer with a copy of its agreement with the landowner permitting the use of such areas. If such an area is within sight of any highway, the Regional Director’s written approval shall be obtained prior to the removal of borrow from such a location. If such approval is not granted, material for use on the contract or for any other State contract may not be removed from the area. If the Contractor removes material from such an area without the written approval of the Regional Director, payment will not be made for any item of work in which the material has been used. Grading plans may be required for such areas and due consideration given to the appearance of the areas if they are visible from any highway.
C.Restoration. All areas disturbed by the Contractor shall be restored to a pleasing and acceptable condition, particularly those areas within sight of the finished highway or any other highway. All such areas shall present a pleasing appearance to travelers on any highway. Where deemed necessary by the Engineer, the Contractor shall submit a grading plan. Grading plans shall include the sequence of operations, the erosion and sediment controls, final slopes and surface restoration details. Because the extent of such areas and the use and treatment during construction is within the discretion of the Contractor, within the limitations and requirements outlined, no direct payment will be made for any labor, material or equipment necessary for the restoration of these areas. The cost of the work shall be included in the amount bid for other items of work. Work shall be done in general accordance with the Department’s specifications for similar items of work. The Contractor shall repair all injuries to woody plants which are to remain by approved horticultural methods; and shall scarify the compacted soil and regrade so as to restore the property to a natural condition. Where the soil over the root area of trees to be preserved has been compacted, it shall be restored by proper cultivation to a condition to permit the entrance of water and the proper aeration of roots. In general, the restoration of disturbed areas shall include:
1.The removal of all equipment and parts, junk, rubbish, excess materials and debris of all kind;
2.Clean up as required, grading as shown on a grading plan if required; or graded so as to blend into the surrounding ground forms;
3.Scarification of yards, batch sites, haul roads, etc., to the depth necessary to support vegetation;
4.The removal of pavement or granular surfacing from, and regrading of, temporary roads or areas;
5.The repair/removal of damaged trees;
6.The fertilizing, seeding and mulching of disturbed areas;
107-09 Damage.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1
7.Grading the slopes of excavated areas to a stable condition, but in no case shall earth cut faces be left steeper than one (1) vertical on one and one-half (1.5) horizontal. All rock cut slopes shall be scaled to remove any loose or unstable rock. The restoration of disturbed areas shall be accomplished prior to contract final acceptance. The work of restoring Contractor’s work areas (storage, batching, equipment, shop areas, etc.) may be done after contract final acceptance, but shall be completed prior to execution of the final agreement.
107-09 Damage.
All damage, direct or indirect, of whatever nature resulting from the performance of the work or resulting to the work during its progress from whatever cause, including omissions and supervisory acts of the State, shall be borne and sustained by the Contractor, and all work shall be solely at its risk until it has been finally inspected and accepted by the State except that:
A.Damage by Public Traffic. Payment shall be made to the Contractor for repair or replacement of any permanent element of the highway which is completed to the stage of serving its intended function and is subsequently damaged by accident by public traffic. The Contractor must supply satisfactory evidence that such damage was caused by a public traffic accident and not by vandalism or by the Contractor’s equipment. Satisfactory evidence shall generally be limited to: accident reports filed with the NYS Department of Motor Vehicles, police agencies or insurance companies; statements by reliable, unbiased eye witnesses; or identification of the vehicle involved in the accident. Physical evidence that the damage was caused by a motor vehicle (such as tire marks or broken headlight glass) will not be sufficient unless it can be shown that the damage was not caused by the Contractor’s vehicles or by vandalism. Payment for damage by public traffic will be made only after the Contractor has demonstrated to the satisfaction of the Regional Director that it had made every reasonable effort to collect the costs from the person or persons responsible for damage. Work for which there is a item in the contract will be paid for at the unit price for that contract pay item. Work for which there is no item in the contract will be paid for at an agreed price or by means of force account. Payment will not be made for repair or replacement in any way connected with untimely failure of any portion of the highway under public traffic, and the determination regarding this matter shall be made by the Regional Director, taking into consideration the normal life and the amount of normal wear of the element involved. This provision does not relieve the Contractor of the responsibility of work zone traffic control for the contract or the responsibility of having wholly complete and acceptable work at the time of final inspection and contract acceptance. The Contractor shall not be responsible for damages resulting from faulty designs as shown in the contract documents nor damages resulting from willful acts of Department officials or employees and nothing in this paragraph or contract shall create or give to third parties any claim or right of action against the Contractor or State beyond such as may legally exist irrespective of this paragraph or contract.
B.Damage by Occurrence. The term “Occurrence” shall include only those floods, droughts, tidal waves, fires, hurricanes, earthquakes, windstorms or other storms, landslides or other catastrophes when such occurrences or conditions and effects have been proclaimed a disaster or state of emergency by the President of the United States, or the Governor of New York State, or the Federal Highway Administrator, or the chief executive of a county or city. If damage to the work in progress is caused by an Occurrence, and to the extent that such damage has been determined by the Department to be beyond that which may be anticipated from heavy storms, and also to the extent that such damage is not reimbursable by insurance carried by the Contractor, the Contractor may apply to the State to pay or participate in the cost of repairing the damage to the work, unless such damage is caused by the Contractor’s action or inaction or the Contractor’s means and methods of construction.
107-09 Damage.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 The Contractor’s written request for the State to pay or participate in the cost of rebuilding, repairing, restoring or otherwise remedying damage to the work caused by an occurrence shall be submitted to and approved by the Commissioner before performing any work other than emergency work, including emergency work necessary to provide for passage of public traffic. At the sole discretion of the Department, the contract may be terminated and the Contractor relieved of further obligation to perform the work.
C.Obligation to Indemnify by the Contractor. To the fullest extent permitted by law, the Contractor shall indemnify and save harmless the State, any municipality in which the work is being performed, and/or any public benefit corporation, railroad, or public utility whose property or facilities are affected by the work, from suits, claims, actions, damages and costs, of every name and description arising from the work under its contract during its prosecution and until the final acceptance thereof. The Contractor and any assigns, heirs, or successors in interest shall also indemnify and save harmless, to the fullest extent permitted by law, any consultant working for or on the project from suits, claims, actions, damages and costs involving personal injury and property damage arising from the Contractor’s work under the contract during its prosecution and until the final acceptance thereof. The State may retain such monies from the amount due the Contractor as may be necessary to satisfy any claim for damages recovered against the State, any municipality in which the work is being performed, and/or any public benefit corporation, railroad or public utility whose property or facilities are affected by the work, or consultants working for the State on or for the project. The Contractor’s obligation under this paragraph shall not be deemed waived by the failure of the State to retain the whole or any part of such monies due the Contractor, nor where such suit, action, damages and/or costs have not been resolved or determined prior to release of any monies to the Contractor under the contract, nor shall such obligation be deemed limited or discharged by the enumeration or procurement of any insurance for liability for damages imposed by law upon the Contractor, Subcontractor or the State, any municipality in which the work is being performed, and/or any public benefit corporation, railroad or public utility whose property or facilities are affected by the work, or any consultants working for the State on or for the project. The Contractor has the obligation, at its own expense, for the defense of any action or proceeding which may be brought against the parties specified in paragraph §107-09C. Obligation to Indemnify by the Contractor. This obligation shall include the cost of attorneys’ fees, disbursements, costs and other expenses incurred in connection with such action or proceeding. Such obligation does not extend to those suits, actions, damages and costs of every name that arise out of the sole negligence of the State, any municipality in which the work is being performed, and/or any public benefit corporation, railroad or public utility whose property or facilities are affected by the contract work, or any consultants working for the State, their agents or employees, relative to the construction, alteration, or repair or maintenance of a building, highway or structure and appurtenances and appliances thereof including moving, demolition and excavating connected therewith. The State reserves the right to join such action, at its sole expense, when it determines there is an issue involving a significant public interest.
D.Prompt Response to Claims by the Public. The Contractor’s responsibility for the contract site applies to the full limits of the contract regardless of the extent or nature of contract work at a particular location. This obligation begins when the contract is awarded and continues until contract final acceptance. The Contractor shall promptly address all written damage claims of the public and, if not addressed directly, claims shall be promptly turned over to the Contractor’s insurance carrier without prejudicing the validity of the claim. There should be an interval of no more than 10 work days between receipt of a written claim by the Contractor and receipt by the carrier. The Contractor and/or the Insurance Carrier are expected to investigate, determine and adjust such claims promptly and fairly with notice to the Engineer. The Engineer will monitor claims by the public. If the
107-10 Managing Surplus Material and Waste.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 Contractor fails to provide satisfactory resolution through a timely claims adjustment process or denies the claim without proper cause and justification, the Department may invoke Article 8 No Payment Due to the Contractor’s Non-Compliance of the contract agreement or utilize other remedies.
107-10 Managing Surplus Material and Waste.
The Contractor shall manage all surplus materials and waste generated in the performance of the contract in accordance with applicable federal, state, and local laws and regulations. Nothing herein is intended to prevent the Contractor from removing surplus materials or waste to appropriate off-site locations for beneficial reuse, recovery, or recycling purposes. The Contractor is encouraged to reuse, salvage or recycle materials to the maximum extent possible. Surplus or used materials generated from Department contracts that are easily recognizable, maintain their physical properties, are easily separated and transported, and have value as commodities are often recycled. These include metals (steel, iron, etc.), recycled asphalt pavement (RAP) in the form of chunks or millings, and recycled portland cement concrete aggregate (RCA). Surplus and used materials, unless identified otherwise, become the property of the Contractor. Waste Management shall mean the collection, transportation, transfer, processing, recovery, storage, reclamation, treatment, handling and disposal of waste whether performed directly by the Contractor or others. Unless otherwise noted in the contract documents, all materials or substances that are spent, useless, worthless, or in excess to the Department, including materials generated on-site by the Department’s contract supervision and inspection activities, are covered by this subsection. Unless specifically noted in the contract documents, placement of surplus materials or spoil will not be allowed within the right of way. Payment for managing surplus material and solid waste shall be included in the various contract pay items. The absence or unavailability of disposal areas on the contract site or the refusal of a permitted solid waste management facility to accept waste will not be the basis for a dispute for additional compensation for the disposal of wastes.
A.Excess Soil and Rock. Excess soil and rock may be generated by construction activities associated with the work. Excess soil and rock may be presumed suitable for reuse onsite absent records, existing data, or knowledge/observation to the contrary. These materials may be excess because the quantity available exceeds the quantity required, or they do not have the engineering properties required for use, or they may not be of economic value in the current location, such as when the cost to transport the material approaches or exceeds its sale value. These excess materials are not considered waste when used within the contract limits.
B.Spoil. Spoil is excess soil and rock intermixed with certain other materials that is not reused within the contract limits. Spoil may include recognizable, uncontaminated concrete (including incidental pavement markings), asphalt pavement (including incidental pavement markings), brick, glass or soil. Reinforcing steel embedded in concrete is considered an incidental metal and is included within the definition of concrete. Excess soil generated outside of New York City may be presumed to meet the criteria for Fill Material in accordance with 6 NYCRR 360.12 and may be managed as spoil absent records, existing data, or knowledge/observation to the contrary. Excess soil generat ed within New York City requires analytical confirmation to be performed in accordance with 6 NYCRR 360.13. Spoil may be sold (“placed in commerce”) to a consumer and the consumer is responsible for its use/placement. Spoil shall be evaluated in accordance with 6 NYCRR 360.13 for placement as fill for beneficial use. The Contractor may dispose of Spoil that qualifies as fill under 6 NYCRR 360.13 Table 2 as General Fill, Restricted Use Fill or Limited Use Fill. Spoil shall not be pulverized, shredded, or otherwise processed such that the individual waste components are rendered unrecognizable. S poil may be placed in accordance with 6 NYCRR 363-2.1(h) at appropriate locations outside of Suffolk and Nassau counties that are exempt from solid waste permit requirements, between sunrise and sunset, at
107-10 Managing Surplus Material and Waste.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 a facility that receives less than 5,000 cubic yards during its lifetime and takes no compensation, fee or other form of consideration. Within the Adirondack Park, spoil shall only be deposited in accordance with the requirements of the Adirondack Park Agency. Spoil that cannot be disposed of in accordance with 6 NYCRR Part 360.13 due to heavy metals, chemical or petroleum contamination shall be disposed of in accordance with Section 205 Contaminated Soil. Spoil disposal areas shall be established and restored in accordance with §107-08 Protection and Restoration of Property and Landscape.
C.Excess Asphalt and Concrete. Excess asphalt and concrete generated by construction activities associated with the work are not solid wastes when these materials are reused in accordance with the beneficial use determinations at 6 NYCRR 360.12. This includes asphalt and asphalt millings used in making hot mix asphalt or when recycled in place. Recognizable concrete, rock, and brick are not solid wastes when used as a substitute for conventional aggregate.
D.Tree Shrub and Plant Debris. Unadulterated wood, wood debris, wood chips, yard trimmings, and plant debris (trees, shrubs and other) are not solid waste when used for compost, mulch, landscaping or erosion control purposes. Such material can be used on-site or transported off-site provided the material is recycled or reused. If locations are identified within the contract documents, trees, stumps, wood chips and yard waste generated from activities within the right-of-way may be disposed of in areas within the right of way but are not subject to the provisions governing lift placement and compaction. Otherwise, such debris shall be handled by a recycling facility per 6 NYCRR 361-3 or disposed of at other permitted solid waste management facilities.
E.Construction and Demolition Debris. In accordance with 6 NYCRR 360, Construction and demolition (C&D) debris is uncontaminated solid waste resulting from construction, remodeling, repair and demolition of structures, buildings and roads. C&D debris includes fill material, demolition wastes, and construction wastes. C&D debris may include excess soil and rock or spoil, and includes but is not limited to: wood (including painted, treated and coated wood and wood products), land clearing debris, plumbing fixtures, electrical wiring, electrical components containing no hazardous liquids, nonfriable asbestos, wall coverings, plaster, drywall, roofing shingles and other roof coverings and pipes or metal attached to or embedded in these waste materials. C&D debris shall not be pulverized, shredded, or otherwise processed such that the individual waste components are rendered unrecognizable. C&D debris shall be disposed of in an permitted C&D waste management or processing facility. Nonfriable asbestos shall be disposed of at permitted C&D waste management facility. If a C&D waste facility is not available, C&D debris may be disposed of at a solid waste facility. Transport of C&D debris in quantities greater than 10 cubic yards in a single load shall be shall be shipped by a 6 NYCRR Part 364 registered waste transporter with waste tracking documentation.
F.Non-Hazardous Solid Waste. Non-hazardous solid waste includes, but is not limited to: tires, office trash, garbage, roadside litter and street sweepings. The Contractor may collect and store non- hazardous solid waste on the contract site in transfer containers or other appropriate containers pending transportation to a legally permitted solid waste management facility. The Contractor shall meet the following conditions: • Waste management activities shall be controlled to prevent odors and other nuisance conditions. • Putrescible solid waste shall be removed when transfer containers become a nuisance, are full, or weekly, whichever comes first. • Non-putrescible solid waste may be collected and stored on the site in a transfer or other appropriate container not longer than 45 days.
107-10 Managing Surplus Material and Waste.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1
G.Non-Hazardous Industrial Waste. Non-hazardous industrial waste includes, but is not limited to: asbestos, pavement marking waste, chemically contaminated soil, empty drums and treated wood products. These wastes require disposal at permitted solid waste management facilities or may be used in applications that have received generic or case-specific beneficial use determinations from NYSDEC. A waste transporter permitted by NYSDEC is required for transport of over 2000 pounds of waste in a single load to a disposal facility.
1.Asbestos. Friable and nonfriable asbestos containing materials (ACM) shall only be handled or packaged for transport by a NYS Department of Labor licensed contractor using certified personnel. Friable asbestos waste shall only be transported by a permitted waste transporter under a waste shipment record and disposed of at a permitted waste management facility approved to accept friable asbestos. Non-friable asbestos shall be transported and disposed of as C&D debris.
2.Pavement Marking Wastes. Pavement marking wastes, including millings from the localized removal of only pavement markings and not surface milling, including the pavement material and debris containing the removed markings generated by cleaning and removal operations shall be disposed of as non-hazardous industrial solid waste, at a permitted solid waste management facility. Pavement marking waste should be collected by typical construction methods such as sweeping and/or vacuuming.
3.Contaminated Soil. Soil chemically contaminated with petroleum or other non-hazardous material or used in applications that have received generic or case-specific beneficial use determinations from the NYSDEC.
4.Empty Drums or Containers that Previously Held a Known Hazardous Material. In accordance with 6 NYCRR Part 371.1(h), drums and containers that have had the contents removed by common practices, have less than one inch of product residue on the bottom, and less than 3% of the original product are considered “empty” and non-hazardous, even if the material they previously contained would otherwise have been classified as a hazardous waste. This does not apply to drums or containers that held acutely hazardous wastes. Empty drums and containers shall be recycled at a registered (or exempted) material recovery facility or disposed of at a permitted waste landfill. Empty containers may be returned to the manufacturer, sent to a reconditioner or handled as scrap metal, cardboard, etc. and are exempt from waste transporter requirements when destined for such reuse.
5.Treated Wood Products. Creosote treated wood products such as railroad ties and utility poles cannot be reused (unless they remain within the control of the railroad or Utility that owns them). Treated wood products including wood treated with creosote, chromated copper ars enate (CCA) and waterborne preservatives are typically non-hazardous wastes requiring disposal at a permitted disposal facility.
6.Polymer Based Concrete Overlay Slurry. Polymer Based Concrete Slurry (i.e., Polyester Polymer Concrete (PPC), Hybrid Composite Synthetic Concrete (HCSC), etc.) generated from diamond grinding and sawcut grooving operations associated with new or historic overlay and joint header applications shall not be discharged within NYSDOT right-of-way or private / commercial property. The Contractor shall dispose of both dewatered (solidified) and excess liquid in accordance with all applicable NYSDEC non-hazardous solid and industrial waste regulations. Slurry may be temporarily stored within 10 mil polyethylene-lined containers or pits to facilitate separation of solids from liquids and to allow for air and/or absorbent-additive drying. Contractor shall consider solidified slurry waste that passes a paint filter test approved for disposal as non-hazardous solid waste and excess liquid waste meeting minimum solids
107-10 Managing Surplus Material and Waste.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 percentage (less than 3 percent) for disposal as non-hazardous petroleum-affected liquid waste. The Contractor shall be responsible for temporary storage, onsite treatment, disposal facility waste characterization, transport and disposal of all generated slurry waste. The Contractor shall submit for review and acceptance by NYSDOT a Slurry Plan that includes any necessary onsite drainage protection, proposed location(s) and containers for temporary storage of generated slurry, slurry liquid and solid transporter information, and slurry liquid and solid waste facility information. The Slurry Plan shall be submitted to NYSDOT for review and acceptance at least three weeks prior to any grinding and/or grooving activity. The cost of storing, testing, transport and disposal of any diamond grinding and saw cutting slurry shall be included in the price bid for the concrete overlay, diamond grinding, saw cut grooving and/or joint header item(s).
H.Recycling of Coated Steel. Scrap metal is not solid waste when being recycled, in accordance with 6 NYCRR 371.1. The receiving facility shall be provided notification that metal components to be recycled or reused may have lead-based paint coatings The Contractor shall obtain written confirmation from the facility that it can accept the coated metals and will recycle/reuse the metal. For any metal components for which the coated object could potentially meet the definition of a hazardous waste, a C7 NOTIFICATION FOR GENERATORS shall be submitted to NYSDEC per 6 NYCRR Part 371.1 prior to utilizing the recycling/reuse exemption. A copy of the notification shall be provided to the Engineer prior to shipment of the material.
I.Hazardous Waste. Hazardous wastes are those wastes that are specifically “listed wastes” per 6 NYCRR 371 and/or those that display hazardous wastes characteristics for ignitability, corrosivity, reactivity and/or toxicity.
1.Generator Status. Unless specifically noted otherwise in the contract documents, for all contacts that generate 2200 pounds or more of hazardous waste per month, the Contractor shall comply with the regulations governing a Large Quantity Generator.
a.Conditionally Exempt Small Quantity Generator (CESQG). Hazardous waste regulations classify a CESQG as one that generates less than 220 pounds of hazardous waste per month and stores less than 2,200 pounds of hazardous waste.
b.Small Quantity Generator (SQG). Hazardous waste regulations classify an SQG as one that generates between 220 and 2,200 pounds of hazardous waste per month or stores between 2,200 pounds and 13,200 pounds of hazardous waste.
c.Large Quantity Generator (LQG). Hazardous waste regulations classify an LQG as one that generates 2,200 pounds or more of hazardous waste per month.
2.Hazardous Waste Handling Requirements. The Contractor shall meet the following hazardous waste requirements:
a.Waste shall be properly packaged with containers labeled with the contents, date of generation, “Hazardous Waste” and the hazard reason for which they are identified as hazardous waste (i.e. flammable, toxic, etc.).
b.Waste shall be inspected at least weekly while stored on site.
c.Waste shall be shipped by a permitted waste transporter with a hazardous waste manifest and required documentation.
d.Waste shall be disposed of at a permitted hazardous waste treatment storage and disposal facility (TSDF).
e.Waste shall be removed within 90 days after generation, unless a specific contract pay item requires removal sooner.
107-11 Air Quality Protection.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1
f.Hazardous waste shall be stored on the site of generation until manifested and shipped for disposal.
g.Preparedness and prevention features and contingency planning and emergency procedures shall be developed as per 6 NYCRR 373-3.3 and 373-3.4, respectively.
h.Personnel must be trained in hazardous waste management procedures relevant to the positions in which they are employed (6 NYCRR Part 373-3.2(g)).
i.Appropriate security shall be provided for hazardous wastes while stored on site.
J.Medical Waste. Medical waste is material that may be contaminated by blood, body fluids or other potentially infectious substances, thus posing a significant risk of transmitting infection.
1.The Contractor shall notify the Engineer upon discovery of suspected medical waste and restrict access to the location(s) using caution tape, construction fence, or similar type barrier.
2.The Department will contact the appropriate authorities (NYSDEC, NYSDOH, Police, Fire, etc.) to determine if public resources are available to remove and dispose of medical waste.
3.If public resources are not available, the Contractor shall remove and dispose of medical waste using either appropriately trained in-house or subcontracted resources. This will be considered extra work.
107-11 Air Quality Protection.
The Contractor shall schedule and conduct activities to minimize impacts to air quality and to prevent hazardous or objectionable air quality conditions within the contract limits and in areas adjacent to or affected by the work. The Engineer will suspend the performance of any construction activity that creates hazardous or objectionable air quality conditions until the unsatisfactory condition has been corrected.
A.Dust. The Contractor shall apply pro -active measures to prevent discharge of dust into the atmosphere that unreasonably interferes with the comfortable enjoyment of life and property or is harmful to plants or animals. The Contractor shall minimize dust from disturbed soil surfaces or other materials that can cause off-site damage, health hazards and traffic safety problems. Dusty conditions resulting from the Contractor's operations shall be corrected at no additional cost to the State. Buffer areas of vegetation should be left where practical. Water quality shall be considered when selecting materials for dust control. An approved dust palliative may be used in conformance with applicable conditions placed on its use. A list of acceptable dust palliatives is available at: www.dot.ny.gov/divisions/engineering/technical-services/geotechnical-engineering-bureau/dust- palliatives . For areas not subject to traffic, products and materials may be applied or placed on soil surfaces to prevent airborne migration of soil particles, including: • Vegetative Cover –provides the most practical method of dust control. • Mulch (including rolled erosion control products) –provides a fast, effective method of dust control. • Spray Adhesives –Generally composed of polymers in a liquid or solid form mixed with water to form an emulsion that is sprayed on the soil surface. The mixing ratios and application rates shall be in accordance with the manufacturer’s recommendations for the specific soils on the site. Adhesives shall not be applied to wet soils or if there is a probability of precipitation within 48 hours. For areas subject to traffic (traveling public or construction traffic), the Contractor may apply or place products and materials on soil surfaces to prevent airborne migration of soil particles, including: • Water Sprinkling – The site, especially haul roads and access routes, may be sprayed with water until the surface is wet. • Polymer Additives –Polymers mixed with water may be applied to the driving surface using mixing ratios and application rates in accordance with the manufacturer’s recommendations.
107-12 Water Quality Protection.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 The Contractor shall not apply polymer if there is a probability of precipitation within 48 hours of its proposed use. Polymers must be used in accordance with the NYSDEC issued conditions for use and application instructions. • Barriers – Woven geotextiles or stone may be placed on the driving surface to effectively reduce dust throw and particle migration on haul roads. • Windbreak – A silt fence or similar barrier may be installed to control air currents at horizontal intervals equal to ten times the barrier height. Existing vegetation that acts as a wind barrier should be preserved as much as practical. • Wheel Washing – On-road construction vehicle tires may be cleaned by mechanical or manual wet method prior to leaving the site.
B.Burning. Any material generated by any activity for the development, modification and construction of any transportation facility shall not be burned on the contract site. This shall include but not be limited to products of land clearing and demolition.
C.Prevention. The Contractor shall employ appropriate protection techniques and/or systems to prevent hazardous or objectionable air quality conditions, particularly when conducting drilling, cutting, grinding, abrasive blasting or similar operations that impact air quality.
D.Controlling Exposure to Diesel Exhaust. The Contractor shall exercise measures to protect Sensitive Receptors from the impacts of diesel exhaust fumes. Sensitive Receptors include, but are not limited to: hospitals, schools, daycare facilities, building fresh air or ventilation intakes, elderly housing or convalescent facilities. The Contractor shall ensure that diesel powered engines are located away from building air conditioners and windows. The goal is to minimize exposure of Sensitive Receptors in close proximity to diesel exhaust, in terms of both concentration and time. Close proximity is defined as within 50 feet of a Sensitive Receptor. Mitigation techniques include positioning stationary equipment exhausts greater than 50 feet from Sensitive Receptors, extension of equipment exhausts through the use of flexible tubing; protecting building air intakes; and the use of moving operations. The Contractor shall limit idling time for diesel powered equipment to 3 consecutive minutes for delivery and dump trucks and all other diesel powered equipment except as follows: • When a vehicle is forced to remain motionless because of traffic conditions or mechanical difficulties over which the operator has no control. • When it is necessary to operate a loading, unloading or processing device. • When the outdoor temperature is less than 27°F. • When the vehicle or engine is being repaired. Whenever possible and practicable, the Contractor shall locate staging areas for diesel powered vehicles waiting to load or unload materials where diesel emissions will have the least impact on Sensitive Receptors and the general public.
107-12 Water Quality Protection.
Water quality protection is a joint responsibility of the Department, as the owner and the holder of environmental permits, and the Contractor, acting as an agent for the Department. The Contractor shall protect all water resources within the contract limits and on lands adjacent to or affected by the work, and take measures to maintain water quality of receiving water bodies. The Contractor shall schedule and conduct its work to minimize soil erosion, not cause or contribute to a violation of water quality standards and prevent sedimentation on lands adjacent to or affected by the work. Construction of temporary and permanent soil erosion and sediment control measures, temporary and permanent soil stabilization, construction of drainage facilities and performance of other contract work which will contribute to the control of erosion and sedimentation shall be carried out in conjunction with related construction operations. The area of disturbance at any one time by construction operations
107-12 Water Quality Protection.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 shall be kept to a minimum and shall not exceed the limits established in the contract documents or applicable permits. Prior to the start of related construction, the Contractor shall review the erosion and sediment control plan included in the contract documents, and if necessitated by the Contractor’s operations, modify the plan for compatibility with the Contractor’s intended sequence of construction operations, to include, but not limited to: construction phases; contract milestones, installation of control measures, clearing and grubbing operations, earthwork, etc. The Contractor’s modified erosion and sediment control plan shall be submitted to the Engineer for approval, along with a progress schedule for accomplishment of temporary and permanent erosion and sediment control work in accordance with §108-01 Progress Schedule. Prior to the start of related construction, the Contractor shall submit for approval a proposed plan of erosion and sediment control and water pollution control on material storage areas, haul roads and borrow pits and a plan for stabilization, control and disposal of surplus excavated materials within the right of way. The Contractor shall submit for approval the names of individuals who will be inspecting control measures, a description of their qualifications and documentation of required training in erosion and sediment control. The Contractor’s erosion and sediment control plan shall be prepared in accordance with Department specifications and the New York State Standards and Specifications for Erosion and Sediment Control. No related work shall be started until the erosion and sediment control plans and progress schedules have been approved by the Engineer. As conditions change during construction or work is not progressed in accordance with the schedule, the Contractor shall regularly submit a progress schedule update in accordance with §108-01 Progress Schedule and an updated erosion and sediment control plan, as necessary, for approval by the Engineer. The Contractor’s operations shall be carried out in accordance with the approved erosion and sediment control plans, progress schedule, contract documents and permits. The Contractor shall comply with the following:
A.Permits. All applicable statutes, regulations, permits and approvals of the NYSDEC, USACE, and/or other water quality protection agencies and fish and wildlife agencies shall be complied with in the performance of the contract. Care shall be taken so as not to cause turbidity that will result in a visible contrast to the natural conditions of a waterway or impoundment, cause sedimentation, discharge pollutants or impair the waters for their best usages.
B.Borrow or Spoil Areas. Erosion and sediment control of borrow areas, spoil areas and construction roads shall be conducted both during and after completion of the work, to minimize soil erosion and not cause or contribute to a violation of water quality standards and prevent sedimentation on lands adjacent to or affected by the work.
C.Fording. Fording of waterways may require permit from NYSDEC, USACE, and other regulatory agencies, and will not normally be allowed. Temporary bridges or other structures may be used where a waterway crossing is necessary, but may also require permits from NYSDEC, USACE, and other regulatory agencies. Unless otherwise approved in writing by the Engineer, the Contractor shall not ford or operate mechanized equipment in waterways.
D.Work Areas Within and Adjacent to Waterways. Work areas within or adjacent to waterways, wetlands or impoundments may require authorization or a permit. Any method, structure, or work area proposed by the Contractor which may impede flood flows whether within or adjacent to the waterway, that is not included in the environmental permitting that has been obtained by the Department, shall be the responsibility of the Contractor. When work areas (including but not limited to staging areas, borrow areas, spoil areas, or gravel pits) are located within or adjacent to waterways, wetlands or impoundments, such work areas shall be isolated from the waterway, wetland or impoundment to prevent entry of sediment and shall not risk contravening water quality standards.
107-13 Pollution Prevention and Spill Response
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 Care shall be taken during both the construction and removal of barriers so as not to cause turbidity or sedimentation.
E.Removal of Temporary Obstructions. All waterways shall be cleared as soon as practicable of false work, temporary causeways, piling, debris or other obstructions placed during construction operations and which are not a part of the finished work.
F.Maintenance. Ditches and drainage structures which are filled or contain debris, or are partly or wholly inoperative, shall be cleaned and made operative before the Contractor stops work for each day, and shall be maintained in a satisfactory condition for the duration of the contract. All erosion and sediment control measures which have been displaced, or are partly or wholly inoperative, shall be repaired within 24 hours of discovery or notification to the Contractor, unless repairs are required sooner by the contract documents or by conditions that may cause a violation or nuisance.
G.Water Discharges. Water containing sediment from aggregate washing, pump discharges or other operations shall be treated by filtration, settling basin or other means sufficient to prevent turbidity or sedimentation of receiving waterways. Turbid wash water or pump discharges shall not be allowed to enter waterways or impoundments.
H.Control of Wet Concrete Waste. No wet or fresh concrete shall be allowed to escape directly or indirectly into any waterway or drainage structure. Washings from concrete trucks, mixers or other devices shall not be allowed either directly or indirectly onto the ground or into any waterbody or drainage structure. All concrete washout facilities shall be designed and constructed in accordance with the New York State Standards and Specifications for Erosion and Sediment Control. The Contractor shall ensure that water quality controls are functioning in an effective manner and address all failures or other problems in a pro-active manner, immediately. If a situation comes to the Engineer’s attention, the Engineer will inform the Contractor of unsatisfactory construction procedures and operations insofar as water quality management are concerned. The Engineer will also review the Contractor’s compliance with state and federal permit conditions as they relate to water quality. If the unsatisfactory construction procedures and operations are not corrected in a timely manner, the Engineer will suspend the performance of any or all operations in accordance with §105-01 Engineer’s Authority until the unsatisfactory condition has been corrected.
107-13 Pollution Prevention and Spill Response
A.Discharge of Pollutants. The Contractor shall implement appropriate spill and control procedures for the prevention of any discharge of fuels, chemicals, raw sewage or any other hazardous or harmful material or product to the environment. Such procedures shall include, but not be limited to, proper construction equipment maintenance practices, establishment of fuel/hazardous material handling areas, use of appropriate containment/containers and making available appropriate spill response resources. The Contractor shall promptly notify the Engineer of any petroleum or other hazardous material release to the environment. The Contractor shall also promptly notify the Engineer and stop work immediately if any signs of contamination and/or underground impediments or storage tanks, not identified in the contract documents, are discovered during earthwork activities. Signs of contamination include, but are not limited to, odor, oily sheen, sludge, soil staining and unusual fill material. Upon Contractor notification, the Engineer will immediately notify the Construction Environmental Coordinator.
B.Fuel Storage. Petroleum stored onsite in tanks and containers shall comply with EPA Spill Prevention Control and Countermeasures (SPCC) requirements in 40 CFR 112 and NYSDEC Petroleum Bulk Storage (PBS) requirements in 6 NYCRR 613. An SPCC plan is required for any site
107-14 Vacant
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 where onsite petroleum/oil storage in tanks and containers of 55 gallons or more will exceed 1,320 gallons in combined capacity. PBS registration is required for any project where onsite petroleum storage in stationary tanks or drums equal to or greater than 55 gallons exceeds 1,100 gallons in combined capacity.
C.Pesticide Application. The Contractor shall also notify the Engineer and provide product information and intended application method for any pesticide (herbicide, insecticide, rodenticide, etc.) use within the project limits. Pesticides used shall comply with the materials requirements described in §713-.13 Pesticides. Application shall be performed by an appropriate licensed individual in accordance with the product label and applicable requirements of NYS Conservation Law Article 33 and 6 NYCRR 325. Additional pesticide permits may be required for aquatic applications and pesticide applications within the New York City Watershed.
107-14 Vacant
107-15 Use of United States-Flag Vessels
In accordance with the Cargo Preference Act and 46 CFR 381, the requirements below apply to material, equipment, or commodities that are acquired for a specific Federal-aid construction contract and transported on ocean vessels (or transported across the Great Lakes). The requirements are not applicable to goods or materials that come into inventories independent of a specific Federal-aid construction contract.
A.The Contractor shall utilize privately owned United States-flag commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material, or commodities pursuant to the contract, to the extent such vessels are available at fair and reasonable rates for United States-flag commercial vessels.
B.The Contractor shall furnish within 20 days following the date of loading for shipments originating within the United States or within 30 working days following the date of loading for shipments originating outside the United States, a legible copy of a rated, ‘on-board’ commercial ocean bill-of-lading in English for each shipment of cargo described in Paragraph A to both the Contracting Officer (through the prime Contractor in the case of subcontractor bills-of-lading) and to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590.
C.The Contractor shall insert the substance of the provisions of this section in all subcontracts issued pursuant to the contract.
107-16 Ensuring Pay Equity By State Contractors
In accordance with Executive Order 162, the Contractor shall provide to the Department, on a monthly basis, detailed workforce utilization reports of the Contractor and each subcontractor that include, in addition to equal employment opportunity information, the job title and salary of each employee directly performing work on a State contract. If the Contractor cannot identify the individuals working directly on a State contract, then the Contractor shall provide such information of each employee in the Contractor’s and each subcontractor’s entire workforce. The reporting shall be defined as each calendar month, beginning and ending on the first and last day of each month, respectively. The reporting requirement shall begin on the effective date of the contract and continue for the duration of the contract term. Reports shall be submitted within 15 calendar days
108-01 Progress Schedule.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 from the end of each reporting period. This provision is in effect for the reporting period beginning on the effective date of the contract. This provision shall not relieve the Contractor’s responsibility to submit payroll certification as elsewhere provided. If information within the Contractor’s payroll certification is sufficient to fulfill the requirements of Executive Order 162, additional information shall not be required. Detailed workforce utilization reports, as required above, shall be submitted in such form, in such manner, and in such timeframe as shall be required by the Department. The Contractor shall include this provision in every subcontract so that such provision shall bebinding upon each subcontractor.
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Source: Standard Specifications (US Customary Units), 2026 (Jan) Edition. Pages 138–176 of 1,489. View official source ↗