HomeMy WebLinkAboutNYS DOT Drainage Enhancement Project' STATE SYSTEM PROJECT AGREEMENT (RevBe f.O I B
MUNIC/?ALffY,: TOWN OF $OUTffOLD P/N: 0042.30
ST/ATE SYSTEM PROJECT AGRE£MENT
Comptroller's Contract NO.
Department of Transportation ("NYSDOT'), having its principal office in the Administration and Enginee~rJng
Building, 1220 Washington Avenue, State Campus, Albany, NY 12232, on behalf of New York State ["State"),
and
the Town of Southold (the "Municipality")
acting by and through the Town Supervisor
with ifs office at Town Hall; P.O. Box 1179, Southold, NY 11971
This agreement identifies the parb/responsible for aaministration, and esfab[ishe~ the method or provision for
funding, of applicable phases of a project on the State highway system, as such project and phases are more
fully described by Schedule A annexed to this agreement or one or more duly executed and approved
Supplemental Schedules A to this agreement. The phases that are potentially the subject of this agreement, as
further enumerated below, are: Preliminary Engineering ("PS'} and R[cjht-of-Way Incidental ["ROW Incidentals")
work; Acquisition; Construction; and/or Construction Supervision and Inspection. Theprojecf, which is on a State
· Highway, shall be ijdentified for the purposes of this agreement as Drainage Enhancement Project in the Town
at Southold (as more specifically described in such Schedule A or supplemental Schedules A, the "Project").
WITNESSETH:
WHEREAS, pursuant to Highway Law § 10(35) the Commissioner of Transportation (the"Commissione¢'l and
the Municipality may enter into an agreement with a municipality for the performance of work connected with
or necessitated by on authorized or anticipated project for the construction, reconstruction or maintenance of
the State Highway SysTem; and
WHEREAS, N¥SDOT has requested the Municipality to perform mitigation of State Highway stormwater
runoff impacts on surface waters located within the Municipality; aha
WHEEEAS, N¥SDOT will reimburse approved ProjecT costs to the Municipality; aha
WHEREAS, there is a substantial oublic interest in ana benefit TO the Project, which will aid in the
preservation of water quality; and
WHEREAS, the Legislative body of the Municipality by Resolution approved the Municipality's
entry info this Agreement and provides any necessary funding therefor (a copy of such, Resolution is attached
to this Agreement). ' "" -
NOW, THEREFORE. the parties agree as follows:
1. Documents Forming this Agreement.
agreement consists of the following:
This
~"Agreemenf Form - this document titled "State
System Project Agreement
"~ScheduJe "A" - Description of Project Phase
and. funding reauirements;
IScheduJe "B" - Phases. Subphase/Tasks, ana
Allocation of Responsibility
IIEXHIBIT 'A"- Work Reauirements
IIEXHIBIT "B" -
Guidelines
IEXHIBI7 "C" -
Municipa~ Record Keeping
(if applicable) Consultant
Selection Procedures
~Appendix "A" - Xlew York State Required
Contracf Provisions
STATE SYST£M ?ROJECT AGREEidENT RevBet. OlBI
MUNICIPALITY: TOWN OF $OUTffOLD ?IN: 0042.30
IMunioipai Resolution(s) - duly adopted
municipal resolution(s) authorizing the
appropriate municipal official to execute
this Agreement on behalf of the Municipality
and appropriating the funding required
therefor.
ARTICLE 1: PROJECT RESPONSIBILITIES
1.1 General Description of Work. The work of
the Pro)eot consists generally of oreliminary
engineering arid)or right-of-way incidental and/or
right-of,way acquisition work and/or construction
and/or construction supervision and inspection
gecleral!y des¢~bed below and contained in the
work prog?m a[fached hereto as Schedule B, and
any additions or deletions mcide thereto by NYSDOT
subseq~er~t to the e×ecution of this Agreement for
the purposes of c°t3forming to New York State
requirements.
1.2 Design and Cons"trucfion. The Municipality
shall design and construct the Pro]eoT, or cause it to
be designed and constructed, in accordance with
NYSDOT standards and subject to NYSDOT
approval, under the supervision of a professional
engineer licensed in this State, All improvements
undertaken pursuant to this Agreement will be
designed, With normal maintenance, to render any
bridge provided or,improved hereuriderstructuraJly
sourld for a minimum period of 30 years, cna any
hJghycay provid;~d or improved hereunder
structurally sound fora minimum period of 20 years,
ana any appurtenances provided or impreved
hereunder structurally sound for a minimum per[od
of 10 '/ears.
1.3 Access. Control, Operation, Maintenance
and Reconstruction of Project. The Municipality
shall have such access fo and control of the dghf of
way related fo the ProjecT as it may require for the
performance of the work of the Prelect. The State
of New York through NYSDOT shall assume all
ownership and maintenance resoonsibilities of the
~mprovements upon their completion.
ARTICLE 2: MANNER OF PERFORMING WORK
2.1 Performing Work. The Municipality may
contract with any person, firm, corporation or
agency, to accomplish the Project, in
accordance with applicable law.
2.2 Plans and Specifications. The contract
plans and specifications prepared in connection
with the Project shall be stamped with the seal of
a professional engineer licensed in the State and
shall be signed by such professional engineer. All
plans, specifications and estimates in connection
therewith must be submlJted to and approved by
NYSDOT before any construction is initiated,
field surveys, mapping and the pr:eparat[on of any
other reports or documents as required' may take
place pdor to such approval of plans,
specifications and estimates. Approval of plans,
specifications, estimates, contracts and change
orders, as applicable, should not be construed as
confirmation of the appropriateness of every
Project engineering decision or technical detail
represented thereby or contained therein, which
are and remain the responsibility of the
professional engineer.
2.3 Force Account or Contract Work. The
Municipality shall accomplish the work of the
Pre)eot either with its own forces or b'/contract let
in accordance with law.
2.4 Traffic Control DeWces. To the extent
required by Vehicle and Traffic Law §1680, the
New York State Manual of Uniform Traffic Control
Devices will be followed.
ARTICLE 3: PROJECT COSTS;
REIMBURSEMENT REQUIREMENTS
3.1 Pro)eot Funding; Reimbursement. The
Municipality will fund Pro)eot COSTS in the first
instance and shall be reimbursed by NYSDOT for
Pro]eot WOrK completed and accepted Dy
NYSDOT in accordance with a NYSDOT approved
Pro)eot Cost Estimate, in total amount nOT to
exceed the NYSDOT share of Project costs shown
in Schedule A.
3.2 Project Cost Estimate. Prior to the letting of
any contracT for the work of the Project the
Municipality shaft submit to NYSDOT for NYSDOT's
approval a detailed estimate, by chase, of
Project costs.
STATE SYSTFJt4 PROJECT AOREEMENT 'RevBef. O IB
MUNICI?ALI~: TOWN OF SOUTffOLD PIN: 0042.30
3.3 Allocation of Costs. The approved Project
costs associated with the State System will be
reimbursed by the State.
3,4 Retainage. NYSDOT may retain an amount
not to exceed 5 percent of Project-related costs
unfii the Project is finally accepted by NYSDOT and
the Municipality. Upon such acceptance, subject
to any applicable adjustments NYSDOT shall pay to
the Mun[cipali~ the amounts so retained,
3.5 Reimbursement Procedures. In order to be
eligible for reimbursement under this Agreement,
the Municipality shall cedify in a form acceptable to
NYSDOT the actual Project costs to the Municipality
oF the work, done by or for the Municipality that
were necessary for the performance of the Project
in accordance with NYSDOTL¢ approvals under this
Agreement.
3.6 Periodic Reimbursement. If the Municipality
finds it desirable to have reimb, ursement made
periodically, upon the request and ceddficafion
therefor oy the Municipality may submit progress
payment vouchers based on Eligible Project Costs
incurred under the oreceding subsection. Payment
through progress payments prior to completion of
the Project shall not exceed the State's share of
eligible Project costs shown in Schedule A, less
re,fainage. These payments shall be made as
moneys become available therefor.
3.7 Final Payment. Subject TO final Project
inspection by NYSDOT, final payment shall be made
upon request of the Municipality on the basis af
work accomplished, upon submission of a voucher
cedifying actual Eligible Project Costs ex~ended for
the completed and accepted' Project,
ARTICLE 4: ASSIGNMENT
4.1 Other than contracting for the performance
of its responsibilities as contemplated herein, the
MUi'4ICIPALITY covenants agrees not to assign,
transfer, sublet or otherwise dispose of this
Agreement or any part thereof, or any af its right,
title or interest therein, or its power to execute this
Agreement without the pdor written consent af the
Commissioner of Transportation.
4.2 Term of Agreement. As to the Project and
phase(s) described in Schedule(s) A execufe~
herewith, this agreement takes effect as of the
date of this Agreement as first above wdften. This
agreement takes effect as to the Project and
phases(si established in any duly executed and
approved supplemental Schedule(s) A as of the
date of such suppiementa] Schedule(s) A. This
agreement shall remain in effect so long as State
aid funding authorizations are in effect and funds
are made available pursuant to the laws
controlling such authorizations and availabi~fies.
However. 's such aL~thodzations or availabilit]es
lapse and are no'[ renewed, contJnued or
reenacted, as to funds encumbered or available
and to the extent of such encumbrances or
availabilities, this agreement shall remain fn effect
for the duration of such encumbrances or
availabilities. Although the liquidity of
encumbrances of the ava)lability of funds,may be
affected by budgetary hiatuses, State budgetary
hiatus will not by itself be construed to lapse, this
agreemenJ, provided any necessary State
appropriations or other funding authorizations
therefor are eventually enacted.
ARTICLE 5: ADDITIONAL PROVISIONS
5.1 Provisions required by law as contained in
Appendix A are attached hereto and made a
part hereof as if fully set for[h herein.
5.2 Public Use. The ProjecT constructed or
improved pursuant fo this Agreement will be
available at all times for use by the public and no
signs ar physical borders to the conTrary shall be
erected by the Municipality.
5.3 State Access. Project construction
contracts shall permit and require thatcontroctors
permit the State and/or NYSDOT TO inspect the
Project and WOrK sites at any time deemed
necessaw by the State and/or NYSDOT.
5.4 SEQRA. In connection with the Project the
Municipality is the lead agency for the purposes of
the State Environmental Quality Review Act
STATE E¥STEM Pt~Ofl£CT AGREEMENT {RevBet. OIB]
MUNICI?AL[TY: TOWN OF $OUTHOL,D PIN: 0042.30
("SEQRA'). NYSDOT is an involved agency.
,5.5 Independent Contractor. Th~ parties
recognize that they are independent contractors
pursuant, to this Agreement and will conduct
themselves as such; that they will neither hold
themselves out as nor claim to' be an officer or
empJoyee~of each other by reason hereof; and
they will not by reason hereof make any claim,
dem,gnd or application fo of for any right or
privilege applicable fo an officer or employee of
bno~er pady.
5,6 Municipal Liability.
5.6.1 If the Munieipalify performs work under
this agreement with ifs own forces, it shall be
responsible for all damage to person or
property adsing from any act or negligence
performed by or on behalf of the
Municipality, its officers, agents, servants or
employees, contractors, subcontractors or
others in connection therewith. The
Municipality specifically agrees that ifs
agems or employees shall possess the
experience, knowledge and character
necessaw fo qualify them individually for the
particular duties they perform.
5.6.2 The Municipality shall indemnify and
save harmless the State, its officers and
employees for
all damages and COSTS arising out of any claims,
suits, actions, or proceedings resulting from the
negligent performance of work by or on behalf of
the Municipality its officers, agents, servants,
employees, contractors, subcontractors or OThers
under this agreement, Negligent performance of
service, within the meaning of this section shall
include, in addition to negligence founded upon
tod, negligence based upon the Municipality's
failure to meet professional standards and resulting
in obvious or patent errors in the progression of its
work.
5.7 NYSDOT Obligations. NYSDOT's
responsibilities and obligations are as specifically set
fod'h in this contract, and neither NYSDOT nor any of
its officers or employees shal be responsible or
liable, nor shall the Municipality assert, make, or
loin in any claim or demand against NYSDOT, its
officers or employees, for any damages or other
relief based on any alleged failure of NYSDOT, its
officers or employees, fo undertake or perform
any act, or for undeJffaking or performing any act,
which is not specifically required or prohibited by
this agreement.
5.8 Audit; Records. The Municipality shall
permit the authorized representatives of the
Commissioner and/or the State Compfreller to
inspect and audifall books, records and accounts
of the Municipality pertaining fo the work
described in Schedule A or the Project, fo the
extent deemed necessaw by the State.' All such
records shall be retained by the Municipality for a
minimum of three years after the later of the
submission of the Municipality's latest certification
of cc~ts or the State's last reimbursement thereof.
5.9 Required Clauses. Attached hereto arid
made a part of this agreement, as if set forth fully
herein, is Appendix A, standard clauses for all New
York State contracts.
4
STATE SYSTEM PROJECT A~RF~MENT (RevJ~et. O IB)
MUNICIPALI~K:tOWNOF$OI~THOLD PIN:O042.$O
tN WITNESS WHEREOF, the parties hereto have set their hands and seals the date first set forth above.
Agency Certification:
tn addition to the acceptance of this contract I also certify the
orig[pa/~:;opJes of thl~s~gnat?re page will be at fached ~ ~l ~her
BY: ~ I ~ ~ Jl ~ fortheCommission~
DEC 1,
............ .......... :..
COUN~ OF SUFFOLK)
DATE: 1!~' /01.,.
On this day of November , 2001, before me personally came
Jean W. Cochran fomeknown, who, beingbymedulyswomdiddeposeandsayfha~heresides
at 270. Boisseau Ave, Southold: thafShe is the Supervisor of the Municipal Corporation
described in and which executed the above instrument that if was executed' by order of the Board of
SupervisOrs of said Municipal Corporation pursuant to a resolution which was duly adopted on
November 8, 2001 and which a certified copy Js attached and made a pall hereof; and that~e signed
h~name thereto by like order.
MELANIE DOROStG
NOTARY PUBLIC, State of New Yo~
No, 01D04834870
Qualifiedtn Suffolk County - _
Commission Expires Septer~er 3~ ,,,~,~0 0~-~
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SCHEDULE A
STA TE SYSTEM PROJECT AGREEMENT
AGREEMENTPURPOS~
. MAIN (Master) Agreement 0 SUPPLEMENTAL Schedule No. _ 0 Administrative Correction
Beginning Eligibility Date for Project Expenditure Reimbursement:
Individual Project Phase Identification
o P.E.lDesign 0 ROW Incidentals 0 ROW Acquisition . Construction, CIIIS
Start Date:
Finish Date:
September 15. 2001
December 31, 2002
PIN: 0042.30.301
Work Type(s): Removal and Disposal of Approximafely 6500 Cubic Yards of Non-hazardous
Confaminated Soil within the footprint of the Stormwater Detention Faciiity on Town property (in
connection with NYSDOT Project PIN #004199 road resurfacing project inclusive of drainage).
Work under this reverse betterment will aiso include Temporary Erosion and Sediment Controi, Slope
Stabilization via Grading and Seeding, and Fencing as Appropriate for Safety Purposes.
Location: North Side of Rt. 25 Approximately 1500 Ft. West of Silvermere Road, Town of Southold.
Project Costs to be Funded as follows:
A. FUNDING SUMMARY- FEDERAL AID PARTICIPATING COSTS (if applicable)
List Eligible TOTAL FEDERAL STATE LOCAL
PIN PARTICIPATING PARTICIPATING FUNDINGI MATCHING
Fiscal Share(s) COSTS AID@% SOURCE: SHARE
(e.g., 9-digit PINs)
PIN~
none n/a
I TOTAL I -0-1 -0-1 -0- -0-
ELIGIBLE COSTS:
B. FUNDING SUMMARY - NON-FEDERAL AID PARTICIPATING COSTS (if applicable)
List Eligible Other NY State Other Non-Gov't LOCAL Overmatch,
PIN NYS DOT Fund Source Betterment, or In-
Fiscal Share(s) FUNDINGI SOURCE Gov't Fund (if any) Kind Contribution
(e.g., 9-digit PINs) Source
0042.30.301 $ 150,000 -0- -0- $0
LIST SOURCE: State Dedicated Fund n/a n/a n/a
C. TOTAL PROJECT COSTS (all sources)
FEDERAL AID STATE AID LOCAL AID OTHER AID TOTAL
-0- $ 150,000 -0- -0- $ 150.000
Footnotes:
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SCHEDULE B: Construction Phases, SubphaselTasks, and Allocation of Responsibility Page 1 of 3
Instructions: Enter an "X" to indicate the appropriate Phase, then assign the responsibility for each applicab/e Subphase task by entering an "X" in either the NYSDOT
column to allocate the task to State labor Forces or a State Contract, or enter an "X" in the other appropriate column to indicate a task allocated to Non-State labor Forces
or a locally Administered Contract."
Construction PHASE/SUBPHASE Allocation of
Responsibility
NYSDOT ~IUN1ClPAlITY
Al. Preliminary Engineering ("PE") Phase
1. Scopino: Prepare & distribute all required project reports, including an Expanded Project Proposal (EPP) or Scoping Summary
Memorandum (SSM), as appropriate.
2. Perform data collection and analysis for design, including traffic counts and forecasts, accident data, land use and development
analysis and forecasts.
3. Preliminarv Desion: Prepare & distribute Design Report/Design Approval Document (DAD), including environmental
analysis/assessments, and other reports required to demonstrate the completion of specific design subphases or tasks and/or to secure
the approval/authorization to proceed.
4. Review & Circulate all project reports, plans, and other project data to obtain the necessary review, approval, and/or other input and
actions required of other NYSDOT units and external agencies.
5. Obtain aerial photography and photogrammetric mapping.
6. Perform all surveys for mapping and design.
7. Detailed Desion: Perform all project design, including preparation of plan sheets, cross-sections, profiles, detail sheets, specialty
items, shop drawings, and other items required in accordance with the Highway Design Manua/, including all Highway Design, including
pavement evaluations, including taking and analyzing cores; design of pavement mixes and applications procedures; preparation of
bridge site data package, if necessary, and all Structural Design, including hydraulic analyses, if necessary, foundation design; and all
design of highway appurtenances & systems (e.g., Signals, IVHS facilities), and maintenance and protection of traffic plans. FRA
criteria will apply to rail work.
8. Perform landscape design (including erosion control).
9. Design environmental mitigation, where appropriate, in connection with: Noise readings, projections, air quality monitoring,
emissions projections, hazardous waste, asbestos, determination of need for cultural resources survey.
10. Prepare demolition contracts, utility relocation plans/contracts, and any other plans and/or contract documents required to advance,
separately, any portions of the project which may be more appropriately progressed separately and independently.
Construction PHASE/SUBPHASE Allocation of
Responsibility .
h NYSDOT II.\UNICIPALITY
11. Compile PS&E package, including all plans, proposals, specifications, estimates, notes, special contract requirements, and any
other contract documents necessary to advance the project to construction.
12. Conduct any required soils and other geological investigations.
13. Obtain utility information, including identifying the locations and types of utilities within the project area, the ownership of these
utilities, and prepare utility relocation plans and agreements, including completion ot Form HC-140, titled Preliminary Utility Work
Agreement.
14. Determine the need and apply for any required permits, including U. S. Coast Guard, U. S. Army Corps of Engineers, Wetlands
(including identification and delineation of wetlands), SPDES, NYSDOT Highway Work Permits, and any permits or other approvals
required to comply with local laws, such as zoning ordinances, historic districts, tax assessment and special districts.
15. Prepare and execute any required agreements, including:
-- Railroad force account
__ Maintenance agreements for sidewalks, lighting, signals, betterments.
-- Betterment Agreements
_ Utility Work Agreements for any necessary Utility Relocations of Privately owned Utilities. .
16. Provide overall supervision/oversight of design to assure conformity with Federal and State design standards or conditions,
including final approval of PS&E by NYSDOT
A2. Right-of-Way (ROW) Incidentals
1. Prepare ARM or other mapping, showing preliminary taking lines.
2. Right-of-Way (ROW) mapping.
3. Obtain abstracts of title and certify those having an interest in right-ot-way to be acquired.
4. Secure Appraisals.
5. Perform Appraisal Review and establish an amount representing just compensation.
6. Determination of exemption from public hearing that is otherwise required by the Eminent Domain Procedure Law, including "de
minimus" determination, as may be applicable. If NYSDOT is responsible for acquiring the right-of-way, this determination may be
performed by NYSDOT only if NySDOT is responsible for the Preliminary Engineering Phase under Phase A 1 of this Schedule B.
Construction PHASE/SUBPHASE Allocation of
Responsibility .
." NYSDOT f..IUNtClPAllTY
7. Conduct any public hearings andJor informational meetings as may be required by the Eminent Domain Procedures Law, including
the provision of stenographic services, preparation and distribution of transcripts, and response to issues raised at such meetings.
8. Prepare a Right-of-Way plan.
9. Prepare relocation plans, if required.
B. Right of Way (ROW) Acquisition
1. Perform all Right-of-Way (ROW) Acquisition work, including negotiations with property owners, acquisition of properties and
accompanying legal work, payments to and/or deposits on behalf of property owners; Prepare, publish, and pay for any required legal
notices; and all other actions necessary to secure title to, possession of, and entry to required properties. If NYSDOT is to acquire
property on behalf of the Municipality, the Municipality agrees to accept and take title to any and all permanent property rights so
acquired which form a part of the completed Project.
2. Provide required relocation assistance, including payment of moving expenses, replacement housing supplements, mortgage interest
differentials, closing costs, mortgage prepayment fees.
3. Conduct condemnation proceedings, court, and any other legal actions required to acquire properties.
4. Monitor all ROW Acquisition work and activities, including review and processing of payments to property owners.
5. Provide official certification that all right-of-way required for the construction has been acquired in compliance with applicable
Federal, State or local requirements and is available for use and/or making projections of when such property(ies) will be available if
such properties are not in hand at the time of contract award.
6. Conduct any property management activities, including establishment and collecting rents, building maintenance and repairs, and
any other activities necessary to sustain properties and/or tenants until the sites are vacated, demolished, or otherwise used for the
construction project.
7. Subsequent to completion of the Project, conduct ongoing property management activities in a manner consistent with applicable
Federal, State and local requirements including, as applicable, the development of any ancillary uses, establishment and collection of
rent, property maintenance and any other related activities.
X C. Construction (C), Supervision (CIS) and Inspection (C/I) Phase
1. Advertise contract lettings and distribute contract documents to prospective bidders. X
Construction PHASE/SUBPHASE Allocation of
Responsibility
" NYSDOT MUNICIPALITY
2. Conduct all contract lettings, including receipt, opening, and analysis of bids, evaluation/certification of bidders, notification of rejected X
bids/bidders, and awarding of the construction contract(s).
3. Receive and process bid deposits and verify any bidder's insurance and bond coverage that may be required. X
4. Compile and submit Contract Award Documentation Package. X
5. Review and approve any proposed subcontractors, vendors, or suppliers. X
6. Conduct & control all construction activities in accordance with the plans and proposal for the project. Maintain accurate, up-to-date X
project records & files, including all diaries & logs, to provide a detailed chronology of project construction activities. Procure or provide
all materials, supplies & labor for the performance of the work on the project, & insure that the proper materials, equipment, human
resources, methods and procedures are used.
7. Test and accept materials, including review and approval for any requests for substitutions. X
8. Design and/or re-design the project or any portion of the project that may be required because of conditions encountered during X
construction.
9. Administer construction contract, including the review and approval of all contractor requests for payment, orders-on-contract, force X
account work, extensions of time, exceptions to the plans and specifications, substitutions or equivalents, and special specifications.
10. Review and approve all shop drawings, fabrications details, and other details of structural work. X
11. Administer all construction contract claims, disputes or litigation. X
12. Perform final inspection of the completed work to determine and verify final quantities, prices, and compliance with plans X
specifications, and such other construction engineering supervision and inspection work necessary to conform to Municipal, State and
FHWA requirements, including the final acceptance of the project by NYSDOT.
EXHIBIT A
Work Requirements
The work of the project shall be performed in accordance with the following requirements:
1.
Plans, Specifications and Estimates
a. The Municipality shall comply with all
applicable statutes, permits, ordinances, rules and
regulations relative to the development of the project
including those for projects which may have a significant
effect on the environment State Environmental Quality
Review Act, significant effect on agricultural districts
(Agriculture and Markets Law, Article 25AA), the
preservation of historic structures, the quality of water
and potential forflood hazards and losses (Environmental
Conservation Law, Articles 8 and 36) and certify such
compliance in a form acceptable to NYSDOT.
b. Contract work with any person, firm,
corporation or agency, either governmental or private, to
accomplish the Project will be in accordance with
applicable State law. The choice of contract engineers
by the Municipality to perform preliminary engineering
or construction inspection is subject to the approval of
NYSDOT.
c. All construction materials and construction
methods shall be in accordance with specifications
approved by NYSDOT. The Municipality shall design
and construct the Project, or cause it to be designed and
constructed, in accordance with standards agreed to by
NYSDOT under the supervision of a professional
engineer, or architect or other professional as agreed to
by NYSDOT. Construction supervision work shall be
performed by the Municipality or by contract.
d. The record sampling program, independent
testing and quality assurance procedures applicable to
federal-aid Projects performed by the Municipality shall
be in accordance with specifications approved by the
NYSDOT.
e. Any contract plans and specifications shall be
stamped with the seal of a professional engineer licensed
in this State and shall be signed by such professional
engineer, or shall be signed by such other professional
licensed in this State, as approved by NYSDOT. The
plans and specifications shall be filed with NYSDOT.
f. The contract.between the Municipality and its
contractor(s) must comply in every way with applicable
State laws, rules, regulations. NYSDOT shall not be a
party to any such third party contract.
2. As required by law construction contract lettings and
construction contract awards shall be based on competitive
bidding, and shall require prior approval of NYSDOT in the
following manner:
a. Prior to advertising for bids, one copy each of
the proposed construction contract, plans, specifications
and all related bidding documents shall be submitted to
NYSDOT for approval, and must receive approval from
NYSDOT prior to such advertisement. The bid invitation
and the contract to be let shall contain a statement that
the contract will be awarded by the Municipality subject
to the approval of NYSDOT.
b. Advertisement must be placed in newspapers,
bulletins, trade journals and/or minority publications for
a minimum of three weeks to insure free and open
competition, unless a different period is approved, in
writing, by NYSDOT.
c. After the bid opening and before award, the
following contract award package shall be submitted to
NYSDOT:
1. Proof of publication of advertising for bids.
2. Certification of all bids received with tabulation
of up to six lowest.
3. Copy of the proposal signed by the bidder
selected for award of the contract.
4. If the award is not to be made to the lowest
bidder, a statement of explanation.
5. Bid amount broken down by fiscal shares.
6. Competitive bidding statement.
7. Recommendations for award.
8. Analysis of low bid, including identification of
unbalanced bids.
9. Certification of quantities of items bid 25% or
greater over the engineer's estimate.
10. Non-collusive Bidding Certification.
11. Bidder Debarment History Certification.
12. For contracts over $500,000 or as otherwise
required:
. Schedule of proposed DBE
participation; and
. NYS Uniform Contracting
Questionnaire (CCA-1).
NYSDOT will review the Contract award package and,
upon its approval,. the Municipality shall thereupon award the
contract and file an executed copy thereof with NYSDOT.
EXHIBIT B
Municipal Record Keeping Guidelines
The Municipality will comply with the following record keeping requirements for State reimbursement of participating Federal-aided
or State-aided Project costs (below requirements apply to either funding type unless otherwise noted):
1. Progress Billings. After approval of the Agreement, the
Municipality may submit progress billings to NYSDOT for the
Federal share, and the applicable State share of approved costs
shall be supported as follows:
a)
Contracts/Consultant Agreements - Separate invoices or
billings are required for each contract, each consultant
agreement, and for work performed by Municipal
employees. Billings for payments made on contracts or
consultant agreements will be made on NYSDOT's Form
FIN 421, as it may be amended, and supported by a
copy of the applicable payment estimate(s) for contracts
or consultant agreements.
b)
Work by Municipal Employees - Billings for Municipal
employees will be on NYSDOT's Form FIN 421,
supported by an Engineer's Payroll Abstract for the
period(s} covered by the billings, copies of payroll time
sheets for the applicable billing period and copies of
paid invoices or supporting documents for all non-
personal service cost items in excess of $250. For
Federal-aid projects, only those direct Project costs as
defined in applicable Federal regulations and incurred
subsequent to the date of Federal Highway
Administration authorization can be included in billings.
The supporting documents for personal service and non-
personal service costs in all cases are to include the
following:
(1) Pavroll Time Sheets - The signature of the
employee and approval of the employee's supervisor is
required on each time sheet. These signatures attest to
the employee's assignment and hours worked on the
Projects indicated, and demonstrate that periods of paid
leave are charged to appropriate leave categories or
accounts. Employee time for such leave, holidays,
vacation or other paid leave cannot be charged directly
to Projects on time sheets since such costs must be
allocated to Projects by using an approved percentage
additive rate applied to direct payroll costs. Time sheets
must correspond with applicable payroll records and
amount paid for each employee based on a
comprehensive payroll/labor cost distribution system.
(2) Engineer's Pavroll Abstract - Leave and fringe
benefit additives are to be calculated and charged to
Projects at percentage rates previously approved by
NYSDOT for provisional billing purposes, subjectto final
audit.
(3) Non-Personal Service Costs - Copies of invoices
or documentation showing amounts and notations as
may be required to clearly identify the purpose of each
item. Copies of employee reimbursement vouchers for
travel or similar costs are not required with progress
billings but must be retained by the Municipality for
subsequent audit.
c} NYSDOT will reimburse Municipal personal service,
fringe benefits, non-personal service and related costs
which are clearly identifiable to a specific project. Local
claims for reimbursement of such expenditures utilize
the same Form "FIN 421" processing procedure as is
routinely used for reporting Consultant Payment
Requests. Municipal claims for reimbursing preliminary
engineering, construction engineering or other approved
work _ whether performed by Municipal employees or
by a Consultant - requires only the completion of a
single column of Total Costs which pertain solely to
eligibility for the Federal Aid component. If a project is
eligible for State Aid, the term "State-Aided" should be
clearly recorded on the FIN 421 form by the
Municipality before it is submitted to the NYSDOT
Regional Office for approval and certification.
Reimbursement of anv otherwise eligible State-share
reauires sDecial Drocessing of the FIN 421 form bv the
NYSDOT Regional Office. This process reflects both a
separate funding source and any additional eligibility
criteria applied to the State share. The Regional Office
makes any necessary adjustments required to the
"federal aid eligible" costs reported by a Municipality.
ComD/eting FIN 421: The amount listed on lines 1-3 of
the Work Performed Section of the FIN 421, and the
supporting documentation, should be for 100% of the
share of participating costs eligible for federal aid.
However, since the amount shown on line 3 of the FIN
421 is applicable to calculating the Federal share onlv. a
notation after that amount is required to indicate the
Total Costs reported times a "Federal Aid Percentage"
(e.g., "$_X_%"). For example, "$100,000X80%"
(with "80%" being the federal aid percent). On the other
hand, lines 7 and 8 for such billings should reflect only
the amount of computed Federal Share payments, with
Line 8 containing only the amount currently being
claimed for reimbursement of the federal share.
2. Proiect Detail Ledgers. For audit purposes, a Project
Detail Ledger is required as the official accounting record of the
Municipality to record and accumulate all cost transactions
applicable to the Project. All costs recorded on the Project Detail
Ledger should be for 100% of such costs with reduction for the
non-Federal share, and for any applicable State share.
Every transaction listed on the Project Detail Ledger will
be recorded in the same level of detail as the total from
each suooorting source document (no summarization of
source documents amounts). All transactions I isted on
the detail ledger will identify the source document for
the transaction by referenci ngcontractlestimate numbers,
social security numbers (for time sheets and employee
reimbursements), vendor or payee numbers for
vouchers, ete. The applicable accounting system record
date will also be included for each transactions, i.e. - pay
period dates for time sheets, or voucher approval or date
paid for payments to the consultant, employee
reimbursements, ete.
The ledgers for the Project will include totals for all
transactions recorded during: 1) each accounting month,
(2) the fiscal year of the Municipality, and (3) for the
Project life to date.
3. Source Documents. The Municipality will retain an
official copy of consultant estimates, payroll time sheets,
employee travel claims and all other original source documents
for transactions listed on the Project Detail Ledger. These will be
systematically filed in an order that will facilitate retrieval. All
expenditure vouchers or other cost documents must also be
traceable through the Municipality's disbursement process to
copies of warrants or checks issued and to corresponding
documentation maintained in the official accounting records of
the Municipality's central finance office.
4. Audit/Disallowances. For Federal-aid projects the
Municipalityshall cause a Certified Public Accountantto auditthe
performance of any consultant contract entered for the Project
and retain the results thereof for State or federal audit of this
agreement. Costs claimed or previously reimbursed that cannot
be supported as outlined herein, are subject to audit disallowance
by NYSDOT, the State Comptroller, Federal Highway
Administration, and/or the U.S. Department of Transportation,
Officer of the Inspector General. Amounts paid to the
Municipality by NYSDOT that are subsequently disallowed by the
Federal Government are subject to recovery by NYSDOT from
the Municipality, or at the option of the State, will be offset or
reduced against current or future reimbursement claims on the
same or other Projects.
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APPENDIX A
STANDARD CLAUSES FOR All NEW YORK STATE CONTRACTS
The parties to the attached contract, license, lease, amendment or other Agreement of any kind (hereinafter, "the contract"
or "this contract") agree to be bound by the following clauses which are hereby made a part of the contract (the word "Contractor"
herein refers to any party other than .the State, whether a contractor, licensor, licensee, lessor, lessee or any other party):
1. EXECUTORY CLAUSE. In accordance with Section 41 of
the State Finance Law, the State shall have no liability under
this contract to the Contractor or to anyone else beyond funds
appropriated and available for this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with Section
138 of the State Finance Law, this contract may not be assigned
by the Contractor or its right, title or interest therein assigned,
transferred, conveyed, sublet or otherwise disposed of without
the previous consent, in writing, of the State and any attempts
to assign the contract without the State's written consent are
null and void. The Contractor may, however, assign its right to
receive payment without the State's prior written consent
unless this contract concerns Certificates of Participation
pursuant to Article 5-A of the State Finance Law.
3. COMPTROLLER'SAPPROVAL. In accordance with Section
112 of the State Finance Law (or, if this contract is with the
State University or City University of New York, Section 355 or
Section 6218 of the Education Law), if this contract exceeds
$5,000 ($20,000 for certain S.U.N.Y. and C.U.N.Y. contracts),
or if this is an amendment for any amount to a contract which,
as so amended, exceeds said statutory amount, or if, by this
contract, the State agrees to give something other than money,
it shall not be valid, effective or binding upon the State until it
has been approved by the State Comptroller and filed in his
office.
4. WORKERS' COMPENSATION BENEFITS. In accordance
with Section 142 of the State Finance Law, this contract shall be
void and of no force and effect unless the Contractor shall
provide and maintain coverage during the life of this contract
for the benefit of such employees as are required to be covered
by the provisions of the Workers' Compensation Law.
5. NON-DISCRIMINATION REQUIREMENTS. In accordance
with Article 1 5 of the Executive Law (also known as the Human
Rights La'w) and all other State and Federal statutory and
constitutional non-discrimination provisions, the Contractor
will not discriminate against any employee or applicant for
employment because of race, creed, color, sex, national origin,
age, disability or marital status. Furthermore, in accordance
with Section 22O-e of the Labor Law, if this is a contract for the
construction, alteration or repair of any public building or
public work or for the manufacture, sale or distribution of
materials, equipment or supplies, and to the extent that this
contract shall be performed within the State of New York,
Contractor agrees that neither it nor its subcontractors shall, by
reason of race, creed, color, disability, sex or national origin: (a)
discriminate in hiring against any New York State citizen who
is qual ified and avai lable to perform the work; or (b)
discriminate against or intimidate any employee hired for the
performance or work under this contract. If this is a building
service contract as defined in Section 230 of the Labor Law,
then, in accordance with Section 239 thereof, Contractor agrees
that neither it nor its subcontractors shall, by reason of race,
creed, color, national origin, age, sex or disability: (a)
discriminate in hiring against any New York State citizen who
is qualified and available to perform the work; or (b)
discriminate against or intimidate any employee hired for the
performance of work under this contract. Contractor is subject
to fines of $50.00 per person per day for any violation of
Section 220-e or Section 239 as well as possible termination of
this contract and forfeiture of all moneys due hereunder for a
second or subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a public work
contract covered by Article 8 of the Labor Law or a building
service contract covered by Article 9 thereof, neither
Contractor's employees nor the employees of its subcontractors
may be required or permitted to work more than the number
of hours or days stated in said statutes, except as otherwise
provided in the Labor Law and as set forth in prevailing wage
and supplement schedules issued by the State Labor
Department. Furthermore, Contractor and its subcontractors
must pay at least the prevailing wage rate and payor provide
the prevailing supplements, including the premium rates for
overtime pay, as determined by the State Labor Department in
accordance with the Labor Law.
7. NON-COLLUSIVE BIDDING REQUIREMENT. In
accordance with Section 139-d of the State Finance Law, if this
contract was awarded based upon the submission of bids,
Contract or warrants, under penalty of perjury, this its bid was
arrived at independently and without collusion aimed at
restricting competition. Contractor further warrants that at the
time Contractor submitted its bid, an authorized and
responsible person executed and delivered to the State a non-
collusive bidding certification on Contractor's behalf.
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8. INTERNATIONAL BOYCOTT PROHIBITION. In
accordance with Section 220-f of the Labor Law and Section
139-h of the State Finance Law, if this contract exceeds $5,000,
the Contractor agrees, as a material condition of the contract,
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that neither the Contractor nor any substantially owned or
affiliated person, firm, partnership or corporation has
participated, is participating, or shall participate in an
international boycott in violation of the federal Export
Administration Act of 1979 (50 USC App. Sections 2401 et
seq.) or regulations thereunder. If such Contractor, or any of
the aforesaid affiliates of Contractor, is convicted or is
otherwise found to have violated said laws or regulations upon
the final determination of the United States Commerce
Department or any other appropriate agency of the United
States subsequent to the contract's execution, such contract,
amendment or modification thereto shall be rendered forfeit
and void. The Contractor shall so notify the State Comptroller
within five (5) business days of such conviction, determination
or disposition of appeal (2 NYCRR 105.4).
9. SET-OFF RIGHTS. The State shall have all of its common
law, equitable and statutory rights of set-off. These rights shall
include, but not be limited to, the State's option to withhold for
the purposes of set-off any moneys due to the Contractor under
this contract up to any amounts due and owing to the State with
regard to this contract, any other contract with any State
department or agency, including any contract for a term
commencing prior to the term of this contract, plus any
amounts due and owing to the State for any other reason
including, without limitation, tax delinquencies, fee
delinquencies or monetary penalties relative thereto. The State
shall exercise its set-off rights in accordance with normal State
practices including, in cases of set-off pursuant to an audit, the
finalization of such audit by the State agency, its
representatives, or the State Comptroller.
10. RECORDS. The Contractor shall establish and maintain
complete and accurate books, records, documents, accounts
and other evidence directly pertinent to performance under this
contract (hereinafter, collectively "the Records"). The Records
must be kept for the balance of the calendar year in which they
were made and for six (6) additional years thereafter. The State
Comptroller, the Attorney General and any other person or
entity authorized to conduct and examination, as well as the
agency or agencies involved in this contract, shall have access
to the Records during normal business hours at an office of the
Contractor within the State of New York or, if no such office is
available, at a mutually agreeable and reasonable venue within
the State," for the term specified above for the purposes of
inspection, auditing and copying. The State shall take
reasonable steps to protect from public disclosure any of the
Records which are exempt from disclosure under Section 87 of
the Public Officers Law (the "Statute") provided that: (i) the
Contractor shall timely inform an appropriate State official, in
writing, that said records should not be disclosed; and (ii) said
records shall be sufficiently identified; and (iii) designation of
said records as exempt under the Statute is reasonable.
Nothing contained herein shall diminish, or in any way
adversely affect, the State's right to discovery in any pending or
future litigation.
11. IDENTIFYING INFORMATION AND PRIVACY
NOTIFICATION:
(a) FEDERAL EMPLOYER IDENTIFICATION NUMBER
andlor FEDERAL SOCIAL SECURITY NUMBER.
All invoices or New York State standard vouchers
submitted for payment for the sale of goods of services
or the lease of real or personal property to a New York
State agency must include the payee's identification
number, i.e., the seller's or lessor's identification
number. The number is either the payee's Federal
employer identification number or Federal social
security number, or both such numbers when the
payee has both such numbers. Failure to include this
number or numbers may delay payment. Where the
payee does not have such number or numbers, the
payee, on his invoice or New York State standard
voucher, must give the reason or reasons why the
payee does not have such number or numbers.
(b) PRIVACY NOTIFICATION.
(1) The authority to request the above personal
information from a seller of goods or services or a
lessor of real or personal property, and the authority to
maintain such information, is found in Section 5 of the
State Tax Law. Disclosure of this information by the
seller or lessor to the State is mandatory. The principal
purpose for which the information is collected is to
enable the State to identify individuals, businesses and
other who have been delinquent in filing tax returns or
may have understated their tax liabilities and to
generally identify persons affected by the taxes
administered by the Commissioner of Taxation and
Finance. The information will be used for tax
administration purposes and for any other purpose
authorized by law.
(2) The personal is requested by the purchasing unit
of the agency contracting to purchase the goods or
services or lease the real or personal property covered
by this contract or lease. The information is
maintained in New York State's Central Accounting
System by the Director of State Accounts, Office of the
State Comptroller, AESOB, Albany, New York 12236.
12. EQUAL. EMPLOYMENT OPPORTUNITIES FOR
MINORITIES AND WOMEN: In accordance with Section 312
of the Executive Law, if this contract is: (i) a written Agreement
or purchase order instrument, providing for a total expenditure
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in excess of $25,000.00, whereby a contracting agency is
committed to expend or does expend funds in return for labor,
services, supplies, equipment, materials or any combination of
the foregoing, to be performed for, or rendered or furnished to
the contracting agency; or (ij) a written Agreement in excess of
$100,000.00 whereby a contracting agency is com!TIitted to
expend or does expend funds for the acquisition, construction,
demolition, replacement, major repair or renovation of real
property and improvements thereon; or (iii) a written
Agreement in excess of $100,000.00 whereby the owner of a
State assisted housing project is committed to expend or does
expend funds for the acquisition, construction, demolition,
replacement, major repair or renovation of real property and
improvements thereon for such project, then:
(a) The Contractor will not discriminate against
employees or applicants for employment because of
race, creed, color, national origin, sex, age, disability
or marital status, and will undertake or continue
existing programs of affirmative action to ensure that
minority group members and women are afforded
equal employment opportunities without
discrimination. Affirmative action shall mean
recruitment, employment, job assignment, promotion,
upgradings, demotion, transfer, layoff, or termination
and rates of payor other forms of compensation;
(b) at the request of the contracting agency,
the Contractor shall request each employment
agency, labor union, or authorized
representative of workers with which it has a
collective bargaining or other Agreement or
understanding, to furnish a written statement
that such employment agency, labor union or
representative will not discriminate on the
basis or race, creed, color, national origin,
sex, age, disability or marital status and that
such union or representative will affirmatively
cooperate in the implementation of the
Contractor's obligations herein; and
(c) the Contractor shall state, in all
solicitations or advertisements for employees,
that, in the performance of the State contract,
, all qualified applicants will be afforded equal
employment opportunities without
discrimination because of race, creed, color,
national origin, sex, age, disability or marital
status.
Contractor will include the provisions of "a", "b" and "c",
above, in every subcontract over $25,000.00 for the
construction, demolition, replacement, major repair,
renovation, planning or design of real property and
improvements thereon (the "Work") except where the Work is
for the beneficial use of the Contractor. Section 312 does not
apply to: (i) work, goods or services unrelated to th is contract;
or (ii) employment outside New York State; or (iii) banking
services, insurance policies or the sale or securities. The State
shall consider compliance by a Contractor or subcontractor
with the requirements of any federal law concerning equal
employment opportunity which effectuates the purpose of this
section. The contracting agency shall determine whether the
imposition of the requirements of the provisions hereof
duplicate or conflict with any such federal law and if such
duplication or conflict exists, the contracting agency shall
waive the applicability of Section 312 to the extent of such
duplication or conflict. Contractor will comply with all duly
promulgated and lawful rules and regulations ofthe Governor's
Office of Minority and Women's Business Development
pertaining hereto.
13. CONFLICTING TERMS. In the event of a conflict between
the terms of the contract (including any and all attachments
thereto and amendments thereof) and the terms of th is
Appendix A, the terms of this Appendix A shall control.
14. GOVERNING LAW. This contract shall be governed by
the laws of the State of New York except where the Federal
supremacy clause requires otherwise.
15. LATE PAYMENT. Timeliness of payment and any interest
to be paid to Contractor for late payment shall be governed by
Article XI-A of the State Finance Law to the extent required by
law.
16. NO ARBITRATION. Disputes involving this contract,
including the breach or alleged breach thereof, may not be
submitted to binding arbitration (except where statutorily
authorized) but must, instead, be heard in a court of competent
jurisdiction of the State of New York.
17. SERVICE OF PROCESS. In addition to the methods of
service allowed by the State Civil Practice Law & Rules
("CPLR"), Contractor hereby consents to service of process
upon it by registered or certified mail, return receipt requested.
Service hereunder shall be complete upon Contractor's actual
receipt of process or upon the State's receipt of the return
thereof by the United State Postal Service as refused or
undeliverable. Contractor must promptly notify the State, in
writing, of each and every change of address to which service
of process can be made. Service by the State to the last known
address shall be sufficient. Contractor will have thirty (30)
calendar days after service hereunder is complete in which to
respond.
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