COMPLIANCE REPORTING REQUIREMENTS

COMPLIANCE REPORTING REQUIREMENTS TAPPAN ZEE HUDSON RIVER CROSSING PROJECT TA# TANY-12-18B CONTRACT# D214134 Presented by: Jeanette Pineda, Cmpliance Administratr Jennifer Radesca, Asst. Cmpliance Administratr Tappan Zee Cnstructrs, LLC Page 1

PROJECT LOCATION 15 miles Nrth f NYC 25 Miles t Statue f Liberty Carries I-87/I-287 ver Hudsn River Vital ecnmic link acrss the Hudsn River Cnnectin between Mid-Atlantic States and New England Majr Cmmuter Rute Owned and Maintained by New Yrk State Thruway Authrity

WHY DO WE NEED THE NEW BRIDGE? Existing bridge carries 138K vehicles per day vs. design capacity f 100K Functinally bslete, majr structural and peratinal deficiencies, high accident rate Frecasting $1B in maintenance ver next 10 years

CLIENT & MANAGING AGENCIES New Yrk State Thruway Authrity (NYSTA) - CLIENT New Yrk State Department f Labr (NYSDOL) Federal Highway Administratin (FHWA) The Office f Federal Cntract Cmpliance Prgrams (OFCCP) New Yrk State Department f Transprtatin (NYSDOT) Manages EBO New Yrk State Office f The Inspectr General

MEETING AGENDA APPROVALS REGISTRATIONS QUESTIONNAIRES PROJECT LABOR AGREEMENT SIGNATORY UNIONS ESTABLISH ALL UNION MATTERS PRIOR TO MOBILIZATION EBO REGISTRATION & SET UP NEW OR EXISITING VENDORS ASSIGNMENT TO CONTRACT #D214134 WEEKLY COMPLIANCE REPORTS CERTIFIED PAYROLL REPORTS COPELAND FORMS EBO WORK FORCE SUMMARY MONTHLY COMPLIANCE REPORTS DBE Utilizatin Frm Cntractr Safety Stats Frm Subcntractr Utilizatin Frm OFCCP Reprting Requirements-New Hire Infrmatin EBO OVERVIEW: Setting up EBO fr D214134 Cntract: AAP15 - EEO Officer Infrmatin Set Up Cntract Emplyees Assign Emplyees t Cntract Enter Wrkfrce Labr Hurs Autmatically generate Wrkfrce Summary & Wrkfrce Utilizatin Reprts Verificatin f Payments

P.L.A. SIGNATORY UNIONS All Unin/Jurisdictinal matters are t be established prir t starting wrk n the prject. All Subcntractrs shuld cntact Westchester & Rckland Cunty Building Trades Cuncil. Westchester: 914-762-2492 Rckland: 845-634-4601 NYS Building & Cnstructin Trades Cuncil: 518-435-9108

LETTER OF ASSENT - PLA All Unin/Jurisdictinal matters are t be established prir t starting wrk n the prject. All Subcntractrs shuld cntact Westchester & Rckland Cunty Building Trades Cuncil. Westchester: 914-762-2492 Rckland: 845-634-4601 NYS Building & Cnstructin Trades Cuncil: 518-435-9108

SUBCONTRACTOR APPROVAL PROCESS All cnstructin subcntractrs/sub-cnsultants, regardless f tier level, must be apprved by NYSTA (via CONR89 Frm) Register with NYS Divisin f Crpratins Register with the NYS Office f The State Cmptrller Updated CCA-2 Vendr Questinnaire Email t William A. Ringwd, Jr. f NYSTA Bill.Ringwd@newnybridge.cm Subcntractr Assigned t Prject in EBO (D214134) CONR89 Frm submitted t subcntractr/tier-subcntractr fr executin CONR89 Submitted t NYSTA fr apprval **Reference: Letter Dated September 1, 2015 f yur handut

CONR89 FORM FOR APPROVAL

EQUITABLE BUSINESS OPPORTUNITY SOLUTION - EBO Ntary Public Once the subcntractr is apprved by NYSTA, all are required t cmplete a REQUEST FOR EBO SYSTEM LOG-IN/PASSWORD The Subcntractr is t assign an EBO Administratr The frm will be prvided via email as a Wrd.dc The EBO Administratr will be respnsible fr: Set up f Emplyees Cntract Wrk Hurs Wrkfrce Summary Verificatin f Payment Annual 1391 Frm Submissin Cmmunicatin with NYSDOT fr EBO REQUEST FOR EBO SYSTEM LOG-IN/PASSWORD Signature Certificatin fr Crpratins, Sle Prprietrships, General Partnerships, Jint Ventures and ther business entity(s) Firm s r Jint Venture s Legal Name: Firm s r Jint Venture s d/b/a Name, if different: Firm s r Jint Venture s Federal ID Number: APPLICANT INFORMATION Check One: Gender Race Primary Categr Prgram Cntract Ty Name and Title f Firm s r Jint Venture s Primary Lg-in Hlder: Primary Phne: Mailing Address: Mailing Address: E-mail Address: City: State: Zip Cde: SIGNATURE AND NOTARIZATION On behalf f the abve-listed cmpany, firm, partnership, jint venture r business entity, I hereby agree t cmply with the terms and cnditins f access t and use f the Internet Gvernment Slutins (IGS) Equitable Business Opprtunities (EBO) system set frth in the System User Agreement attached t this applicatin frm. Signature f Applicant (A principal fficer f the cmpany, firm, partnership, jint venture, r business entity[s] with binding cntractual authrity. Fr Jint Ventures, a principal fficer frm bth firms must sign and have applicatin ntarized): STATE OF COUNTY OF (Printed Name) (Signature) (Title) On the day f in the year befre m e, the undersigned, persnally appeared, persnally knwn t me r prved t me n the basis f satisfactry evidence t be the individual whse name is subscribed t the within instrument and acknwledged t me that he/she executed the same in his/her capacity, and that by his/her signature n the instrument, the individual, r the persn upn behalf f which the individual acted, executed the instrument. STATE OF COUNTY OF Ntary Public (Printed Name) (Signature) (Title) On the day f in the year befre me, the undersigned, persnally appeared, persnally knwn t me r prved t me n the basis f satisfactry evidence t be the individual whse name is subscribed t the within instrument and acknwledged t me that he/she executed the same in his/her capacity, and that by his/her signature n the instrument, the individual, r the persn upn behalf f which the individual acted, executed the instrument.

CERTIFIED PAYROLL WEEKLY Weekly Reprting Requirement Dcuments - Due every Wednesday by nn t be delivered via email t: CPR@TZC-LLC.COM Certified Payrll (CPR) Submissin: Certified Payrll Reprts Cpeland Reprt EBO Wrk Frce Summary Detailed Frmat EBO Reprting Updated Weekly Daily Reprt Attachment A f yur agreement: When signed by TZC PM, shuld be cc d t Jeanette.Pineda@tzc-llc.cm **Reference: Daily & Weekly Packet Handuts Lwer Tier Subcntractrs are t submit CPRs t their Sub-Prime Sub-Prime are t retain a cpy fr their recrds Sub-Prime are t submit CPR t TZC fr all Lwer Tier Subcntractrs Original CPRs are t be retained in yur ffice fr 6 years frm submissin date Nte: Prime Cntractrs are t review all CPR submissins fr accuracy prir t submissin t TZC. *Failure t prvide the abve listed dcuments deems yur submissin incmplete and will be rejected.

CERTIFIED PAYROLL (CPR) FORM - SAMPLE NOTE: All CPR received after the scheduled deadline will require a letter n cmpany letterhead explaining the delinquency f yur submissin and MUST be signed by a Principal f yur cmpany. The letter will be submitted t the NYSTA & NYSDOL alng with yur CPRs.

COPELAND ACT FORM - SAMPLE

EBO WORK FORCE SUMMARY - SAMPLE

MONTHLY COMPLIANCE DOCUMENTS Mnthly Cmpliance Dcuments (MCD) - Due n the 26 th f each mnth delivered via email t Jeanette.Pineda@tzc-llc.cm, cpy Jennifer.Radesca@tzc-llc.cm Mnthly Submissin B33 - Cntractr Safety Statistics Frm TA-W1022-9 - Utilizatin Plan fr All Subcntractrs TA-W1023-9 - DBE Utilizatin Frm OFCCP Reprting Requirements - New Hire Infrmatin **Reference: Mnthly Reprting Packet Handut Lwer Tier Subcntractrs are t submit MCD t their Sub-Prime Sub-Prime are t retain a cpy fr their recrds Sub-Prime are t submit MCD t TZC fr all Lwer Tier Subcntractrs Primes t prvide TZC with all payments made t tier-subcntractrs within the reprting perid

CONTRACTOR SAFETY STATISTICS FORM CSS FORM - SAMPLE Key Pints: Supervisr Name: Name f Field Supervisr Cntractr: Cmpany Name Mnth: Mnth & Year Reprting Week Ending: Mnth & DAY Emplyee Wrk Hurs: Mnth: # f man hurs wrked fr the mnth YTD: # f man hurs YTD N. f Hurs Since Last Lst Wrkday Case: Shuld match yur YTD unless there was a recrdable incident.

TA-W1022-9 UTILIZATION PLAN FOR ALL SUBCONTRACTORS Nte: If n lwer tier subcntractrs are emplyed (cntracted) by yur firm, the frm must still be cmpleted with the wrd Nne r N/A in the FIRST bx prvided fr the listing f subcntractrs.

TA-W1023-9 PAYMENTS TO D/M/WBE SUBCONTRACTING FIRMS This frm is fr DBE Subcntractrs r DBE Supplier payments ONLY. All payments made t NON-DBE Lwer Tier Subcntractrs are t be prvided under separate cver by the Sub-Prime. Nte: If n lwer tier subcntractrs are emplyed (cntracted) by yur firm, the frm must still be cmpleted with the wrd Nne r N/A in the FIRST bx prvided fr the listing f subcntractrs.

OFCCP REPORTING REQUIREMENTS

TZC COMPLIANCE TEAM S ROLE Manage TZC cmpliance effrts verseeing all Labr Cmpliance and DBE reprting f all subcntractrs, regardless f tier level, wrking n the Tappan Zee Hudsn River Crssing Prject D214134, TANY-12-18B, all while maintaining an accurate accunt f the cmmitments & attainments utilizing EBO. Obtain Subcntract Apprvals frm NYSTA Liaisn between Subcntractr and NYSDOL fr the Prject Internal Audit and Submissin f all CPRs Adhere t PLA requirements, prevailing wages & benefit packages Mnitr and Maintain accurate accunt f Cmmitment and Attainments utilizing the EBO System Cmpliance apprval f invices

SUBCONTRACTOR COMPLIANCE RESPONSIBILITIES All Tier Subcntractrs are t adhere t the same prcess as their Prime: Require apprval frm NYSTA prir t mbilizatin n site. All subcntractrs are t submit cmpliance dcuments n time with strict adherence t the submissin days & dates as per the Prime Cntract. Lwer tier subcntractrs are submit cmpliance dcuments t their Prime. Sub-Primes are respnsible fr reviewing sub tier dcumentatin fr accuracy prir t submissin t TZC. Sub-Primes are required t submit all subcntractr payment infrmatin t TZC as part f the mnthly cmpliance reprts.

EQUITABLE BUSINESS OPPORTUNITY SOLUTION - EBO EBO is an Internet-based management cntrl system that prvides gvernment agencies with the tls t develp, implement and mnitr a Disadvantaged Business Enterprise prgram in accrdance with 49 CFR Part 26, including all the tls necessary t set agency and cntract gals, mnitr nn-discriminatry prcurement and award prcesses, execute availability, utilizatin and disparity studies, set and mnitr labr gals and prvide statistical evidence t remedy discriminatin as identified, and t mnitr and reprt n participating cntracts. EBO Overview: AAP15 - EEO Officer Infrmatin Set Up Cntract Emplyees Assign Emplyees t Cntract Enter Wrkfrce Labr Hurs Autmatically Generates: Wrkfrce Summary & Wrkfrce Utilizatin Reprts Verificatin f Payments Reference: EEO Infrmatin https://www.fhwa.dt.gv/prgramadmin /cntracts/1273/1273.pdf

Thank yu fr yur time and attentin. Tgether we can make this a success. TZC WELCOMES YOU TO THE PROJECT.