HomeMy WebLinkAboutNYS DOT Brushes CreekE LI~L~ETI{ A. NEVILLE
CLERK
OFFICE OF THE TOV~N CLERK
TOVfN OF SOUTHOLD
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 220 OF 2002
WAS ADOPTED AT THE REGUL_~,~ MEETI1NG OF THE SOUTHOLD TOWN BOARD
ON i~L~'ICH 26, 2002:
RESOLVED that the To;~ Board of rite ¥own of Southo~d hereby authorizes and directs
Superxisor .Ioshua Y. Horron to ~ign au ~kgreemcnt bet~ een the Town of Southold and the
NYSDOT ~tbr the Brushes Creek Replacement Project and aH related documents for this project,
subject to the approval of the Tox~n A.ttomcy.
Elizabeth A. Neville
Southold Town Clerk
State of New York
Department of Transportation
State Office Building
250 Veterans Memorial Highway
Hauppauge, N.Y. '11788-5518
Subimal ChakraborU, P.E.
Regional Director
September 8, 2004
Mr. John Cushman, Town Comptroller
Town of Southold
Town Hall, P.O. Box 1179
Southold, NY 11971
Joseph H. Boardman
. Commissioner
Dear Mr. Cushman:
Attached please find two (2) signed and executed copies of the Legislative Initiative Project
Agreement for the rebuilding of the Brush's Creek Bddge, PIN# OLIP.06.001.
Two (2) copies of the FIN 421 (Application for Payment) have also been enclosed. When work
is done, please complete and sign the two "FIN 421" forms, and mail them to myoffice along
with two copies of backup data to justify the $50,000 reimbursement. ~his would normally
consist of copies of your contractor's vouchers along with a copy of your check to them.)
Upon completion of the project, and after a drive-by inspection and joint completion of final
acceptance forms, I will sign and certify your payment vouchers upon their receipt at this office.
For assistance with the completion of the FIN 421 form, or if you have any questions, please
contact me at:
M. Tamarkin, Planning Unit
New York State Department of Transportation
250 Veteran's Highway
Hauppauge, NY 11787
Phone: (631) 952-6944
Very truly yours,
MARIA TAMARKIN
Local Programs
Attachment(s)
cc: file
Legislative lnitiazive Project Agreement (MemItmK.00)
MUNICIP;MATY: Town of Sonthold
PIN:OLIP.06.001
Comptroller's Contract No. C991008
LEGISLATIVE INITIATIVE PROJECT AGREEMENT
Comptroller's Contract No. C991008
This A~eement, effective this 1st day of April, 2000, ~s between:
the New York State Department of Transportation ("N~'SDOT"),
having'its pi:incipal office in the Administration and Eng~meering Building,
1220 Washingon Avenue, State Campus, Albany, NY 12232, on behalf of New York State ("Stare");
and,
the Town of Southold (the "Grantee)
acting by and through.the Town Supervisor
with its office at Town Hall, 53095 Main Road, P.O. Box 1179, Son~huld, N.Y. 11971
This agreement identifies the party responsible for admLulstmfion, establishes the method and provision for funding .and
implementation of a Legislative Initiative project pursuant to appropriation as such project is more fully described by
Schedule A annexed to tIxis agreement or one or m~re duly executed and approved Supplemental Schedules to this
agreement_ The project st/ill be identified for the proposes of this agreemant aa the rebuilding of the Brush's Creek
Bridge (as more specifically described in such Schedule A or suppI, emanml Schedules A, the "Project").
W[TNESSETH:
WHEREAS, the State Leg/slature by Chapter 55, section i of the Laws of 2000 has appropriated funds to
NYSDOT for the performance of the Project by the Grantee, as such Project and appropriation are more particularly
described in Schedule A annexed hereto: and
WHEREAS, pursuant to author~a6.oes therefor, I~SDOT and the Grantee are deskous of progressing the
Project so appropriated; and
WHEREAS, the Grantee will administer the Project and subm/t to NYSDOT. for funding of eli~ble Project costs
pursuant to this A~eement; and
WHEREAS, the Legislative Body of the Grantee by Resolution No. 220-2002, adopted at meeting held on
March 26, 2002 approved the Project and the terms and provisions of this A~eement and has further authorized the
Supervisor of the Grantee to execute this Agreement on behalf of tiffs Grantee (copy of such Resolution is attached to
and made a part of this A~eemem); and
WHEREAS, the Grantee is not a sectarian institution,
NOW, THEREFORE, the parties agree as follows:
i. Documents Formiltg this Agreement. The agreement
consists of the following:
Agreement Form- this document titled "Legislative Initiat/ve
Project Agreement";
Schedule "A" - Description of Project and Funding;
Schedule "B" - Phases, Tas'ks and Al/ocation of
Responsibilities for construction projects; or, for non-
construction projects , Scope of Work, Tasks, Deliverables
and Duration,
EXtt~IT A - (if applicable - for construction projects) Work
Requirements;
EXHIBIT B - Mtmicipal Record Keeping Guidelines;
EXHIBIT C (if applicable) - Consultant Selection Procedures;
Appendix "A" - New York State Required Contract
Provisions; and
Municipal 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.
2. General Description of Work. The Grantee shall
procure and provide ail services, materials and equipment
necessary to complete the Project as more particularly
described in Schedules A and B. Upon its completion,
Grantee will operate and maintain the Project at no expense
to ,NYSDOT and, during the useful life of the Project Grantee
shall riot discontinu~ operation oftbe Project without the prior
written approval of NYSDOT. Grantee will not dispose of
the Project during its useful life without the prior approval of
LgYSDOT, which approval is reserved for the purposes of
assuring compliance with restrictions that may apply should
the State's grant be funded from the proceeds of tax-exempt
debt:obligations. In the event of such approved disposition
Grantee shall either cause the purchaser or trausferee to
assume Grantee's continuing obligations under this
AgreemenI, or shhll rphnbutse NYSDOT for the pro-rata
share of the grant over the remainigg nseful life of the Project.
3. Merhod of Perfornmnce of Work. The work shall be
performed by Grantee's olva forces or by contract or
contracts entered into b~) the G~'antee in accordance x~"ith
applicable law and the provisions ofEXHIBITS A and C, as
applicable to the Project and this Agreement.
4. Funding ofProjectCos~.
4.1 Limits of Funding. Subject to the terms of
the appropriation, NYSDOT agrees to make
avaiIable funds up to the amount of the appropriation
or so much thereof as is necessary for eligible
Project costs incurred by the Grantee in the
performance of the Project, as the Project and the
funding therefor is more fully described in Schedules
A and'B.
4.2 Eligible Proje~ Costs NYSDOT will fund
eligible Project costs incurred by the Grantee in
connection with the svork covered by this
Agreement- Ehgible costs sh,xlI ir~clade, bm not be
Iknited to, costs of acqnisition~ coustmcdort, repaix,
reconstruction, renovation and such other costs
associated with the Project. as are approved by
NYSDOT as reasonable and necessary in the
performan~ce o~ the Project. Efigih~ costs shalI al~o
inctude salaries and wages to employees 'of the
Grantee who are engaged in carrying 0ut the prq3ect,
fees to consullmtts and profes~onals re/z~med by the
Grantee for planning and performing th~ Project~
4.2 In no event shall 'thi~ A~reement create any
obligation to the Grantee for fuudfing or
reimbursement of any mount in excess of the lower
of:
(a) the mount stated tn Schedule A for the
State share of Project,Costs; or
Co) the ~mount stated m Schedule A as the
Appropriation us it is made available
pursuant to certificate of the Division of the
Budget; and
(c) amounts described in the preceding
paragraphs (a) or (b), less any duplicative
funding of the same Project costs from
other State sources.
4.3 Debt Financing by Grantee. Grant monies
shall not be used tq pay for interest, issuance costs or
reserves in ceanecfion with the issuance of debt by
Grantee to fund the Project, but ma3' repay principal
indebtedness incurred to fund eligible Project costs_
5. Payments to Grantee . For work performed by or
through the Grantee, NYSDOT will fund or reimburse
eligible Project costs in accordance with NYSDOT policy
and procedures.
5.1 Progress Payments. Grantee may be
reimbursed in progress payments, for eligible Project
costs incurred by Grantee in conform/ty with
Schedule A, upon submission of a voucher by
Grantee in a form acceptable to NYSDOT.
5.2 Reminage. Except where the Project
consists of organizadonaI or operating support,
NYSDOT may retain not more than 5 percent of
each progress payment except that NYSDOT may
retain not more than 10 percent of each progress
payment where the Grantee's contract with its
conwactor does nor require a performance bond or
labor and materials bond.
5.3 Final Payment. Final payment to Grantee
shall be made upqn the application of Grantee to
NYSDOT, o.n a basis of work accomplished, upon
subrnlssion of vouchers to the State, the submissiun
of a Project Completion Report (hereinafter defined)
together xx4th such data as NYSDOT deems
necessary to assure compliance with this Agreement
evidencing that th~ work of the Proj¢ct is completed.
5.4 Paytnent Certificatton. Each payment
request will contain a certification by Grantee that
payment r6quests do not duplicate reimbuysement of
Project costs being funded from other sources.
6. Project Completion Report. Grantee shall, on the
earlier of 6 months from ~roject completion or final
reimbursement by NYSDOT submit a Project Completion
Report to NYSDO~ describing the sources and uses of all
Project-related funds, including non-State funds, and the
progiammalic accomplishments of the Project.
7. Records atut Accounts. Grantee shall maintain
accurate records and accounts of all financial ~'aasacfions
which shall show in detail all income and all expenditures,
including but not limited to, pa)xaents for eligible Project
costs. Such records and accounts shall include, without
limitation, property, personnel and financial records, cash
receipts and disbursements journal and general subsidiary
ledgers. All records and accounts shall be maintaincd in
accordance with ganemlly accepted accounting standards. Ail
expenditures of the grant reimbursed monies shall be
· supported by invoices and/ur other documentation sufficient
to establish that such monies have been used in accordance
with the terms of this Agreement. The Commissioner,
Comptroller of the State of New York and any other
authorized representatives of the State of New York shall
have the right to examine all records and accounts relating to
Grantee's financial ~ansactiuns, including the expenditure of
th~ grant and all other funds secured and services rendered for
the benefit of Grantee in counedtion with the Project.
8. Ethics. No member of Grantee's governing body, or
any member of the Board of Dkectors or staff, nor any
member of their families shall benefit financially either
directly or indirectly from the giant unless such action is
necessary for the accomplishment of the Project. In such
event, Grantee shall disclose such relationship m NYSDOT
and shall obtain prior x~nhtten approval therefor from
NYSDOT.
9. NYSDOT Review. NYSDOT may rex4ew the
Grantee's performance of this agreement in such manner and
at such times as the Commissioner shall determine, and such
review may include field ~4sits by N¥SDOT representatives
to the Project and/or the offices of Grantee. Grantee shall at
all times make available its employees, records and facilities
to authorized NYSDOT representatives in connection w/Ih
any such review. Such review shall be for the purpose,
among other thin~, of ascertaining the quality and quantity,
of Grantee's performance of the Project, its use and operation.
10. Audit by Others. Grantee shall notif3, NYSDOT of
any ~udit by any governmental agency of any projects,
operations or reports of Grantee within five (5) days of
receiving information relating thereto_
£
11. Suspension or Termination. If NYSDOT determines
that Grantee has failed to dillgentiy progress the ProJect or is
in default of Grantee's obligations hereunder, NYSDOT may
by written notice to Grantee terminate this agreement,
whereupon this agreement shall terminate or, as specified by
NYSDOT, NYSDOT obligations hereunder, shall, be
sasponded upon the date of such notice or, if such notice
provides an opportunity to cure such failure or default, such
later date as may be set forth in such notice.
11.1 Repayment to State. In the event this contract
is terminated for nonperformance or default,
NYSDOT may in6lude a demand for repayment of
all financial assistance provided by the State in
connection with the Project with its final notice of
termination and Grantee shall promptly repay to the
State all funds received from the State in eeunectiou
with the Project.
i2. Inspection ami Audit. Grantee shall perrmt the
authorized representative of NYSDOT and/or the State
Comptroller to inspect and audit ali books, records and
accounts of Grantee pertaining to the Project under this
Agreement. Grantee shall maintain records relating to this
Agreement for not less than sbt (6) years after the date of
completion.
13. Term of Agreement. As to the Project and phase(s)
described in Schedule(s) A executed l~erewith, this agreement
takes effect as of the date of this Master Agreement as first
above writtan. This agreement takes effect as to the Project
mad phase(s) established in any duly executed and approved
supplemental Schedule(s) A as of the date of such
supplemental Schedule(s) A. This agreement shall remain in
effect so long as State md funding authorizations are in effect
and funds are made available pursuant ro the laws controlling
such authorizations and availabilities. However, if such
authorizations or availabilities lapse and are not renewed,
continued or reenacted, as to funds encumbered or available
and to the extent of such encumbrances or availabilities, this
agreement shal[ remain in effec~ for the duration of such
encumbrances or availabilities. Although the liquidity of
encumbrances or the availability of funds may be affected by
budgetary h{atuses, a budgetary hiatus MI1 not by itself be
construed to lapse th~s agreement~ provided any necessary
appropriations or other funding authotizatinns therefor are
eventually enacted.
14. Grantee Liabdity; bzdemnification.
14.1 If the Grantee performs work under this
A=m'eement with its own forces, it shall be
responsible for ail damage to person or property
arising from any act or nngligeuee performed by or
on behalf of the Grantee, its officers, agents,
servants or employees, contractors, subcontxactors or
others in connection therewith. The Grantee
specifically agrees that its agents or employees shall
possess the- experience, knowledge and character
necessary to qualify them individually for the
particular duties they perform.
14.2 The Grantee shall indemnify and save
harmless the State 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 Grantee its officers, agents,
servants, employees, connractors, subcontractors or
others under this Agreement. Negligent
performance of service, within the meaning of this
Article shall include, in addition to negligence
founded upon tort, negligence based upon the
Grantee's failure to meet professional standards and
resulting in obvious or patent errors in the
progression of its work.
15. Independent Contractor. The officers and employees
of the Grantee, in accordance with the stares of the Grantee
as an independent conUractor, covenant and agree that they
will conduct themselves consxstent with such status, that they
will neither hold themselves out as nor claim to be an officer
or employee of the State by reason hereof, and that they 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 or Retirement membership or credit.
pendency of this Agreement, insurance of the kinds and in
amounts hereinafter provided by insurance companies
authorized to do business in the State of New York or, if
16 bzxurance. Grantee agrees to procure and maintain
without direct cost to the State except as noted during the
Grantee is a municipality that self-insures, an endorsement for
such self insurance covering all operations under this
Agreement whether performed by ir or sub-contractors.
Before commencing the work, Grantee shall furnish ro
NYSDOT, a certificate or certificates, in a form satisfactory
to NYSDOT, sbowing compliance ,~4th th~s Article, which
certificate or eertif'u:ates, shall provide that such insurance
shall not be changed or canceled until thirty (30) days written
notice has been given to NTSDOT. The kinds and amounts
of insurance required are as follows:
16.1 Policy coveting the obligabons of Grantee in
accordance with the provisions of Chapter 41, Laws
of 1914, as amended, known as the Worker's
Compensation Law, ahd also by the l:U-ovixions of
Article 9 of the Workerk Compensation Law known
as the Disability Benefit9 Law, and this A~eement
shall be void and of no effegt unless Grantee
procures such policy and maintains it until final
acceptance of all work described here'm;
16.2 For construction and operating support
projects, Comprehensive General Liability
Insurance insuring Grantee and, as additional
insureds, NYSDOT and its employees with respect
to ail operatmns under this Agreement by Grantee,
including in such coverage any omissions and
supervisory acts of the State and its employees.
Policies of personal injury liability insurance of the
types hereinafter specified, each with a combined
single inifit of $.1 nnll~on per occurre[tce/$2 m/Ilion
aggregate for all damages arising out of personal
injury, including 'death at any time resulting
therefirom, sustained by one person in any one
accident and, subject:to that limit for each person,
all damage arising out of bodily injury, including
death at any time resulting therefrom, sustained by
two or more/persons in any one accident, damages
arising out o[ injury to or deslmction of property in
any one accident and, subject to that limit per
accident, for all damages arising out of injury to or
destruction of property during the policy period.
16.3 Automobile Liability and Property Damage
Insurance. Subject to the same rcqnircd level of
coverage set forth in §16.2 above, a policy covering
the use in connection with the work covered by the
Agreement of all owned, not owned and hired
vehicles bearing or, under the circumstances nnder
which they are being used requirtd by New York
State law to bear, license plates.
17. Assignme~r or Other Disposition of Agreement. The
Grantee agrees not to assign, transfer, convey, sublet or
otherwise dispose of this Agreement or any part thereof, or of
its right~ title or interest therein, or its power to execute such
Agreement to any person, company or corporation wkhout
previous consent in writing of the Commissioner.
18. Appendix A. Appendix A, standard provisions for
all New York State Contracts, is attached hereto and is
hereby made a part of this agreement as if set forth fully
kerein.
19. Procuremeta Stamtardx. Grantee will award
conU-acts funded pursuant to this Agreement in accordance
with procurement' lha's applicable to Grantee and otherwise
in accordance with the reqtthrements of this Agreement.
20. NYSDOT Obl~gc~ibns. NYSDOT's responsibilities and
obligations are as specifically set forth in this contract, and
neither N¥SDOT nor any of its officers or employees shall
be responsible or liable, nor shall the Grantee assert, make,
of join in any clalra or demand against NYSDOT, its
officers or employees, for any damages or other relief based
on any allag'ed .failure of NYSDOT, its officers or
employees, to undertake or perform any act, or for
undertaldng or performing any act, which is not specifically
required or prohibited by this contract.
IN ~?ITNESS WEIEREOF, the parties have caused this A~eemen[ to be executed by its duly authorized officials as of the crate
first above written.
NYS DEP~ O~SPORTATION G~E
BY: r
DATE:
APPROVED:
Attorney General
../
ELIZABETt{ ~ NEV~I.I,E
TOWN CLERK
REGISTIL~R OF VIT.kL STATISTICS
AL:kRRIAGE OFFICER
RECORDS ALkNAGEi~iENT OFFICER
FREEDOM OF INFORIVLkTION OFFICER
Town Hail, 53095 Main Road
P.O. Box 1179
Southold, New York 11971
Fax (631) 765-6145
Telephone (-631) 765-1500
southoldtown.uorttffork_net
OFFICE OF TIlE TOWN CLERK
TOWN OF SOUTHOLD
TI]IS IS TO CERTIFY THAT TIlE FOLLOWING RESOLUTION NO. 220 OF 2002
WAS- ADOPTED AT THE REGULAR MEETI1NG OF THE SOUTHOLD TOWN BOARD
ON MARCH 26, 2002:
RESOLVED that the Tow~ Board of the Town of Southold hereby authorizes and directs
Supervisor JoshuaY. Horton to sign an A~reement bet~veen the Town of Southold and the
NYSDOT for the Brushes Creek Replacement Project and ali related documents for this project,
subject to the approval of the Toxvn Attorney.
Elizabeth A. Neville
Southold To~s~ Clerk
STATE OF NEW YORK )
)SS.:
COUNTY OF )
On this /._<-~- day of ,¢7.z,4/~- ,2004 before me
personally came ~7-~s~,~-,¢ ~ /../-¢,,?~,o to me known, who, being by me
duly sworn did depose and say that he resides at ~--,4'g~,~.,/,¢~' ,
that he is the -5' 0/,¢~,~ ~,','~o,,t~ of the Municipal Corporation described in and
which executed the above instrument; that it was executed by order of the ..................
...... of said Municipal Corporation pursuant to a resolution which was duly adopted on
f'n~'~,¢ ,~..z~,~ .~ and which a certified copy is at[ached and made a i'
part hereof; and that he signed his name thereto by like order.
I~tary PuUlic
L~'.~DA J. COOPER
NOTARy PU~Uc, ~ ,~ ,~ew
~c,. 4g225¢)3. ~uf~JA Cc, arr~
S:CH'E~DU"LE A
PURPOSE:
SCHEDULE A
GRANT AGREEMENT/LEGISLATi~rE INITIATIVE
Project Des~/ription
X MAIN (Master) Agreement [] SUPPLEMENTAL Schedule No. __
Correction
[] Administrative
Proj~ctz Design and construction of a replacement bridge on Peconic Bay Boulevard
Project Completion Date: 12/31/04
P.I.N_ OLIP. 06.001
APPROPRIATION: Yea~. 99/00-/Chapter 55/i/99
GRANTEE
Name Address. County
Town o~ Southold Town Hall, 53095 Main Road, P.O. Box 1179 Suffolk
Southold, NY 11971
PROJECT DESCRIPTION - CONSTRUCTION
X P.E./Design
Start Dates:
Finish Dates:
Individual Project Phase Identification
[] ROW Incidentals [] ROW Acquisition X Construction, C/I, & C/S
PIN: OLIP.06.001
Work Type(s):
Prelim. E _ngineering/Design - Prepare final plans, specifications and construction cost estimates
Construction - Construction of a new bridge culvert on Peconic Bay Boulerard, Laurel
Route # &/or BIN #:
Route &/or Bridge Name: Brush's Creek Bridge County: Suffolk
Termini From: To:
Local Municipal Sponsor:
Other Municipal Sponsor(s)?:
applicable)
Town of Southold
% of Cost Shared by Other Municipality __
(List only if
A. S~RY OF ELIGIBLE "FARTICIP~,T. iI~G,, ~0$TS::
List Eligible. TOTAL FEDERAL STATE LOCAL
PIN PARTICIPATING PARTICIPATING AID/ MATCHING
Fiscal Shal'e(s) COSTS AID @ 8_.~0 %~ SOURCE 2: SHARE
(e.g., 9-d~git PINs)
PIN
Engineering $50,000 - 0 - $50,000 ": :~',O -
· Construction $- 0 - - 0 - - 0 -
TOTAL SSO,OOO - o - $50,000 $- o -
ELIGIBLE COSTS:
B. SUM_M_AR¥-O~'"NONCPAP~ICIPAT,I~G? COSTS',~:: :~: ~ :4~ . 'r~:'~ ~::~ [ :. .~ '
List Eligible TOTAL FEDERAL STATE LOCAL
PIN NON pARTICIPATING PARTICIPATING AID/ MATCHING
Fiscal Share(s) COSTS AID @ 8._q0 %3 SOURCE: SH~RE
(e.g.., 9-digit PINs)
PIN
Construction $350,000 - 0 - $150,000
D018648 Multi-Modal 2000
$150,000
Multi-Modal 2002 ..
TOTAL $350,000 - 0 - $300,000 $50,000
ELIGIBLE COSTS:
',~' ....... ~ :I:: :. I'~ TO~AL P,,,ROJECT ~OSTS (a' "
FEDERAL AID STATE AID LOCAL AID OTHER AID TOTAL
- 0 - $350,000 $50,000 $400,000
o ~-~
0 ~ Ol
~ ~ 0
EXHIBIT A
EXItmiT A
Work Requirements
As used in this Exhibit, the term "Municipality" means the party identified ia Schedule B as responsible for the categories identified
below. The work of the Project shall be performed in accordance with the following requirements:
1. Plans, Specifications and Estimates f. The contract between the Municipahty and its
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
(e.g. the, National Enviromnental Policy Act
CNEPA'') and State Environmental Quality
Re'dew Adt, significant effect on agricultural
districts (A~mfcuitere a~d, Markets Law, Article
25AA), the preserve, lion of historic structures,
the quality of vr~er 'and potential for flood
hazard's and losses,(En~vironmeqtal Conservation
Law, Articles 8 ~d 36) a~d certify such
compliance in a form acceptable to NYSDOT.
Contract work with any person, firm, corporation
or agency, either governmental or private, to
accomplish the Project will be in accordance
with applicable State and Federal law. The
choice of conlract engineers by the Muninipalit),
to perform' preliminary engtneering or
construction inspection is subject to the approval
of ND'SDOT.
methods shall be in accordance with
specifrcations approved by NYSDOT. The
Muuicipali~ shall design and construct the
Project, or cause it to be designed and
consumcted, in accordance with standards agreed
m by NqrSDOT under the supervision of a
professional en~neer, or architect or other
professional as agreed to by NYSDOT.
Construction supervision work shall be
performed by the Municipality or by conlxact.
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
whether or not such procedures are required for
the receipt of Federal-Aid.
Any contract plans and speciSications shall be
stamped with the seal of a professional en~neer
licensed in this State ,and shall be signed by such
professional engineer; or shall be signed by such
other professional l~censed in this State, as
approved by NYSDOT. The plans and
specifications shall be filed with NYSDOT.
contractor(s) must comply in every way with
applicable Federal laws, rules, regulations and
the Federal-Aid Policy Guide (FPG). NYSDOT
shall not be a party to any such thied part)'
2. As required by law construction contxact lettings and
coustmodon contract awards shall be based on compentive
bidding, and shall require prior approval of NYSDOT in the
following manner:
a. Prior to advertising for bids, one copy each of the
proposed consU'uction contxact, plans, specifications and
all related bidding documents shall be submitted to
NYSDOT for approval, ami must receive approval from
NYSDOT prior to such advertisement. The bid invitation
and the conn'act to be let shall contain a statement that the
conh-act will be awarded by the MunicipaLity suqoject to
the approval of NYSDOT.
b. Advertisement must be placed in newspapers,
bulletins, trade journals and/or minority publications for
a minhnum of three n,eeks to insure free and open
compefitiot~ unless a different period is approved, in
writing, by IxrySDOT.
c. After the bid opening and before award, the
following contract award package shall be submitted to
NrySDOT:
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 mount broken doxxm by fiscal
shares.
6. Competitive bidding statemant.
7. Recommendations for awaxd.
8. Analysis. c*f Iow bid, including
identification of unbalanced bids.
9. Certification of quantities of items bid
25% or greater over the en~neer's
estimate.
10. Non-collusive Bidding Certification.
11_
12.
Bidder Debarment History Certification.
For contracts over $500,000 or aZ
otherwise required:
· Schedule of proposed DBE
participation; and
· Nrys Uniform Contracting
Questionnaire (CCA- 1).
lxPfSDOT will review the Contract award package and.
upon NYSDOT approval, the Municipality shall award the
; contract and file an executed copy thereof with NYSDOT.
EXHIBIT B
EXHIBIT B
Municipal ReCord Keepiiag Guidelines
As nsed in this Exhibit, the term "Municipality" means the party identified in Schedule B as responsible for the work categories to
which the records listed below relate. The following are the record keeping requirements for State reLmbursement of participating
d~rect coats on Federal-Aid/State Aid projects (reference to FederaI requirements or agencies applies only for Federally funded
projects):
Progress Billings. After approval of the Agreement, the Municipality ma3' submit progress billings to I',~SDOT for the
Federal share, and the applicable State share of approved costs shall be supported as follows:
a)
Contracts/Consulmnt Agreements - Separate invoices or billings are required for each conU'act, each consultant
agreement, and for work performed by Municipal employees. Billings for payments made on cormacts or
consultant agreements wil! be made on NYSDOT's Form FIN 42I, as it may be amended, and supported by a copy
of the applicable pa)anent estimate(s) for contracts or consnltant a~eemants.
b)
Workby Muulqipal Employees: Billings for Municipal employees will be on NYSDOT's Fonu FIN 421,
supported by au En~neer's Payroll Abstxact 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_ Only those direct Project costs as del-mod in applicable Federal regulations and
incurred subsequent to the date of Fedcrai Highway Administration authorization can be hacluded in bi[Lings. The
supporting doanments for personal service and non-personal service costs are to include the following:
(1)
Payroll Tune Slmets - 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 ctemonstrate 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 aJlocated to Projqcts by.using an approved percentage
additive rate applied to direct.paT~'oll costs. Time sheets must correspond with applicable payroll records
and amount paid for each employee based on a comprehensive pa,yroll/labQr cost distribution system.
(2)
Engineer's Pawoll Abstract - Leave and fringe benefit addiilves are to be calculated and charged to
Projects at percentage rates prevtot~sly approved by NYSDOT for provisional billing purposes, subject to
final audit.
c)
(3)
Non-Personal Service Costs - Copies of invoices or documentation showino amounts and notations as may
be required to clearly identify the~p_ur~ose of each item. Cqpies of ~ployee reimbursement voucliers for
travel or similar cnsrs are not required with progress billings but must .be reta~ued by.the Ivlurdcipality for
subsequent audit.
NYSDOT will reimburse Mua/cipnl 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 utilizes the same
Form "FIN 421" processing procedure as is routinely used for reporthig Consultant Payment Requests.' Mum~ipa[
claims for reimbursing preliminary ~ngineering, 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. Ifa project is elig~le for State Aid4 the
term "State-Aided" should be clearly recorded on the FIN 421 form by the Municipality before it is submitted ~o
the NYSDOT Regional Office for approval and certification.
Reimbursement of any otherwise eligible State-share recluires special processing of the FiN 421 fmm by the
NYSDOT Regional Office. This process retlects both a separate funding source and any additional:eligibility
criteria applied to the State share. The Regional Office makes any necessary adjnsmaents required to the "federal
aid eligible" costs reported by a Municipality.
Completing FIN 42 l: The amount listed on lines l-3 of the Work Performed Section of the FIN 42 f, and the
supporting documentation, should be for 100% of the share of participating costs eli~b[e for~ederal aid. However,
since the amount shown on line 3 of the FIN 421 is applicable m calculating 'the Federal share only, a notation after
that amount is requked to indicate the Total Costs reported times a "Federal Aid Percentage" (e.g,
X~%"). For example. "$ i00,000 X 80%" (with "80%" being the federal aid percent)_ On the other
hand, lines 7 and 8 for such billings should reflect enb' the amount of computed Federal Share payments, ti ith Line
8 containing ouly the amount currendy being claimed for reimbursement of the federal share.
Projec~DetailLedgers. For autht purposos, ~ Project Detail Ledger is required as the officlal_accounting, l;ecord, o f. the.
Municipalig, to record and accumulate all cost transaetiuns applicable to the Project. Ali costs recorded on the Project
Detail L~dger should be for 100% of ~unh co§ts with reduction for the non-Federal share, and for any appI/:cable State
share_
Every Iransaction listed on the Project Detail Ledger ,al11 be recorded in the same level of detail as the total from each
supportin~ source document (no summarization of source documents amounts). All lrmnsactions listed on the detail Iedger
will identify the source document for the trat~saction by referencing conn-acffestimate numbers, social security numbers (for
time sheets.and en~loyee reimbursement_s), vendor or payee numbers for vouchem, etc. The applicable accounting system
rec6~'d dale will also be included for each l~ausaetions, Lc. - pay period dates for time sheets, or voucher approval or date
p,aid for payments to the consultant, employee reimbursements, etc.
The ledgers for the Project will [~clude totals for all'transactions recorded during: I) each accounting month, (2) the fiscal
year of the Muninipality, and (3) for the Project life to chte.
Source Doctono~ts. The Municipality will retain an official copy o£consultant estimates, payroll time sheets, employee
travel .claims and all other ori~nal 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 bo
~aceable through the Municipality's disbursemunt process to copies of warrants or checks issued and ~o corresponding
documentation maintafaed in the official accounting records of the Municipality's central finance office.
Audit/Disallowances. The Municipality shall cause a Certified Public Accountant to audit the performance of any consultant
contriac~ entered for the Project and retain the rnsults thareof for S tare or federal audit of this a~eement. Costs claimed or
previously ~eimbmsed that cannot be supported as outlined herein, are subject to audit disallowance by NYSDOT, the State
Comptroller, Federal Highway Administzation, and/or the U_S. Department of Transportation, Officer of the lrapector
General. Amounts paid to the Municipality by NYSDOT that are subsequently disallowed by the Federal Government are
subjec£ to recover3, 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.
EXHIBIT C
NA because of small PE cost
APPENDIX A
STANDARD CLAUSES FOR ALL NEW YORK STATE CONTRACTS
The partJse to the atl~zCr~d cordzacrc lioense, lease, amendmer~ or other Agreemerfc of any Mnd (hereinafl~, 'the co[ [b~,l~'or '~Jqis
to any party other than the State, whether a contractor, licensor, licensee, lessor, lessee or any other par
be perfex-ned withinlhe S~ate of NewYork, Contractor agrses
1. EXECUTORY CLAUSE. In accordance with Section 41
ofdOe Sta~ Rnance Law, the b-~te shall have no liabilityunder
this c~n~-act 1~ theContractor or 1=5 anyone else beyond funds
appropriated and available for this contract.
2. NON-ASSIGNMENTCLAUSE. In eccordancewith
Sec~on 138 oftJ~e State F~anca Law,.this corCcact may net be
· ' assigned bythe Contz-actor or its dghL tide or interest therein
withouL the previoUS consent, in writing, oflhe Slat~ and any
at~empt~to assign the c0nlzact without theStat6~ v~it~en
· consent axe null and ~id: -I~e~ ~, ~. ~gn
its r~ht to receive psyment without the St~t~s prior writLen
pursdant to Article 5-A of the State Finance Law.
3. COMPTROLLER'S APPROVAL. In accordance with
Secdon 112'of the b-~E~te R~ ~ (or, if ~his o~rTizac~ is with
theSl¢~ Universityor ~ty Unbem--~¢of NecvYo~ Secdon 355
or SeolJon 6218 of~he Education Law), ifthis
$10,000 ($20.000 foroer~in SU:N.Y. and C.U.N.Y. (~ ,i,~ts). or
iflJJs isan amendment for anyamount ~ a ~, ,l~.-twhich. as
soamended, exceeds,said statutory amour, or fi, bythis
been approvec[ by tlde Sta~e Comptc01ler and filed
4. WORKERS' COMPENSATION BENEFITS. In
accordance witt~ Seodon 1420fthe Sta~ ~qa~ca Law, this.
con(ract shall bevoid and of n0 force and effect unlessthe
~ shaJl ~ and maintain cox~ra~d~ng the life of
5. NON-DISCRIMINATION REQUIREMENTS. In
acc~danca with ACdde 15 of the Ex~ccr~e Law (else known as
1he Human F~hts Law) and all olf~r Sla~ and Federal ~bLC~y
will not discriminate against any employee or applicant for
employment because of race, creed, color, 9~, nadonal odgin,
age, dieabir~,,or read, al ~JS. FurlJ~m-~, in ~ordanc~ vvi~
Section 2~,' C~e of the Labor Law, if this ~s a colntrac~t for the
C~ n_~%lc~Qn, 8[t~:~(1 or i?~DaJr of~r~f pu[~l[~ b~iidir~ or publio
vv~k o'r fo/: the manufaCtUre, sate or diStfil~don of rr~tedals.
equipmer~ or st4~plies, and I~ lJ~e e~er~ l~..?~is c~ in~t~ll
that neither i~nor ~s subcor~actors shall; by reason of race,
creed, color, diseb]it'/, sex or national odgin: (a) discriminate in
hifing.acjainst any NewYorkSlate cidze~ who is qualified, and
available to perform thevw~ or (b).discdminate againstor
this corfcact, iflf!is is a buildingserviceco ,ntract as define~,jn
Sedbr~230 ,c¢'J~ Labor Law, then, in. . ~' nca vZ~,S~-~ion.,
2;.39 thereof. C?n~a.otpr agrees~,h~a~;n¢i~her it not,ts
s~ :t.x'z.>: ;tr~ctom ~h;~'.l,. [iy ~:.~l ~ oi~:.~ :, dr~-~J, ~z~lor, i ~;i':':r r ;.
Ll~ov,'.~ ~,'.~'(~)d".~i6. '~ ~'.,~.~'¢ '~ri. ~n~:d&{t~n~rr.'.~,~'a~-,-... . _.. ... ,.~.
o, S~ .I (). 12~ or ~l~or~ 239 =s ~\~ as.(~ ).~.,1~)1~ t, .~l ~, c~
6. WAG'E AND'HOURS PRQVISIONS, If this is a
building ,se~ca cor~z~co,vered I~,.Artide 9 t~ ~
~i ~rc~lt~r~'(~ ~[;l~.r~' U-~t-~r~3~ ~ ~ ~rl~ ~~
hot Jm or dc~ stqle~J ii~ said sb) LUll, oxcoPt~S 0t~
~e prevailipg wage,re and payoT p~de the pregailing
~i~,~ S~ ~ ~ in ~Ma~ ~
the Labcr ~W.
7. NON-COLLUSIVE BIDDING REQUIREMENT. In
accordance vvith BectJon 139-d of the S~ate Rmnea Law, if ti~s
con~act was awarded based upon the submission of bids,
Conl~ct or warfares, under penalty of peduw, this its bid was
· arrived at independently and without collusion.aimed at
re~1¢o1~ competition. Cont~--torfur~er warrantethat atthe
per.on executed and delivered tp the State a non-collusive
bidding certification on Contractor's behalf.
8. INTERNATIONAL BOYCOTT
~:)HIBmON. In ao~)rdance with S~-don 220-f oflJ~e Labor
theear~tzast, tha~r~tJT~r the CorCa'actor nor arysubs'~ntially
bwned ~r a~liate~ Person,~rm, partr~ip.0~cerpora'don ~
parti~ipa, ted. isf-pa~cipalJng, o( ~kfal[ p,articipate in an
inter~qetj~nat bgy~ 9~ in ,~i01~j:tion.pf~, .e federa~ ~xport
or,reb~r~tionstl~reU~der, ffs0chCon~ctor, or~nyofthe
afor~J sffi iat~s of~orm'sotor, 's c6n~'cted or's other~vise
foUr. to have ¢~at~Cl~ss~d J~ws~r regulaUons upon the'final
c~,~~, n ~r;~ii~l~osit~ef~Pl:~al (2 NYCRR
9. SET-~FF R~GHTS. The State shall have all of its
commo~ law, e~ui~b~, and s1~tutew rights of sat-off. These
fighl:s shall [noludl. e, but not be limi~d to, ~ Stete~ option to
withhol~l for Zhe ~urpCses df sst~lf any moneys dueto the
due andiowing to the "State forany, Other reason including,
wit h0 ut~, iimitati~n?ra,~ ,de[inq u~ qcies, fee delinquendss or
mone~ .rCpcnal~ reface thereto. Th~ Sf~e shall 6~rcise its
in ~=sss of sst-ofCpursuant to ar~aQclit ~fi~ zation of such
audr~ b~e Sta ,~e agency,-~ts representat~,vea, or the State
Comptroller.
10. RECpRDS. The Cor~actor shall establish and
maintain complete and accurate books, records, documents,
u~der this o2rC~-~t (hereinafter, collecd'cely'the Reaords~. The
Records~ust b~ kept for the ,balanea of the calendaryear in
wh'~h d-~/were made,nd for si~ (6) add'c~onal ~ '~er.
or errdty aulhorized 1~ o:~cluct and examination, ss well as dqe
agency or agencies invobed in 1his o:~r6act shall have ~ te
the Records dudng normal business hours at an o~ce of the
CorC~dcter vvfthin the State of NewYork or, if no such oflTce is
availabb, ara mutuallyagreeabie and reasonabb venue within
the State. for the term specified above for the purposes of
steps lo pro1~:tfrom pubic disclosure any of lJ~e Records which
are exempt from disclosure under Section 87 of 'd~e Public
timelyirCorm an appropriate State oflidal, in vvffdng, that eaid
records should not be disdossd; and (ii) said re~rdsshall be
sufl~ier~y iden,ti~ed; and (~i0 d.ssign~flon of said records as
exer~pt under l~e Sbatute ~s reasonable. NoCr~ng Uontained
here~n shaft U[mi~ish, or'in any w'cy adverse~/affecb-;tbe S~rCs
right to discovery in any pending or future litigation.
11. IDENTIFYING INFORMATION AND
PRIVACY N OTIFI'CATION:
(a)
FEDERAL EMPLOYER
IDENTIFICATION NUMBER
and/or FEDERAL sOCIAL
sEcuRITY NUMBER.
All invoices or ;NewYork State standard
v~hers ~mitted fur payment ferl~e ssle of
go.ds ofear~4ces orlJ~e lease of naal or Pef~J2nal
properWto a NewYork State agency must
indudethe PaY=~ identificalJon number, i.e.,
the sslbCs or-I¢~¢~-¢¢~ ~ number. The
number'iseither the pa~e~s Federal empb~r
id~ ~Lirm~ numberor F~deral scdal sscur~/
has;hO'Ih ~.s~ nL~qbers. Failure te indude this
4: ,"~ ~ .
the payee';d~.~iOt have such number or
reasons ~v~the~payee dea~ not tiave such
numbe~¢E n!u~bers~=:~ ,-: .... .......
(b) PRIVACY NOTiFiCATION. "
(1) Theau~ority~o requesHheabove mi
i~on from a ssfler ofgoods ons~¢~ic~ or
a lessor of real or personal properly, and the
author~,~i~i0 ~~,~nd
in .q~-tjon ,5 of tJ~e ~ Ta~Law. Disd0sure of
this Jnformstion bythesaller or lessorto the
S~te is mar~atery. T~e pdndpa[ purpose for
which the informaljo~ is collected is to enable
other who have bean delinquent in
filing tax returns or may have
understated their l~x liabilities and to
general[,/identify persons affecrasd by
the taxes administered by the
The information will be used for tax
administzalJon purpo~=~ and for any
other purpose authorized by law.
(2) 7he pe~onsl is requ~t~J bylhe ~ng
unit of the agency con~tJng to purchase the
goods or set, cea or lease the r~l er personal
informadqn is. maiqlainedin. NeWYorkSlate~s
~,erC~ai ~an'dng,Systerq, by the Direcl~r of
AESOB, A[15en¥, New York 12236.
12. EQUAL EMPLOYMENT
OPPORTUNITIES FOR M]NORIT1. ES AND
wOMEN: In aCCOrdance ~ Secrdon 312 ofthe Exeaudve
instrument, provide'rig ~97 a total expenditure in excess of
$25,000.00, where6y a o~rriTaclJng agencyis~oommitted to
expend or doea expend funds in return for labor, services,
supplies, equipment, materials or anycombinati0n of the
foregoing, to be perfo~ for, or rendered or furnished lo the
contracting agency; or (ii) a written Agreement ~n excess of
$100,000.00 whereby a con~"actJng agencyis committed to
expend ordoes expend.fur..~, s for the acquisilJ0n, cons~ctJon,
demolition, replacement~ .major repair or renovation of real
properlvand i~lJ-eri~n; or (i. i0 a ~ Agreement
in e:<. ~---- of $100,000.00 Wberebythe owner of a S~[~ essLsted
lJ~ acquis'rdon, cons~t.~o~, demolFdon, r~,~ major
~pair or renovation of real p~:~rb/and im~lh~a~on
for such projeot, ~:hen:
(a) ]~e ~will not discrimina~ against
employee~ or applicants for employment
because of race, creed, color, nal~onal origin,
sex, age, disability or marital steCz~, and will
undertake or conl~nue existing,programs of
a~i~ aclJm to ensure ~qat minority group
mer0bers, and women are afforded equa
em'~oy ,m, ent opportumt~es w~thout
d~scnm~r~dbn. AflirrnaUveac~onsha mean
,.~. ~..~i~n~h~b empl0y~ent,:j0b ~esignment,
prqrr~,odo,~, upg ~dings, d~ot~on, transfer,
I~ry0i~ 0r 1~minat]0i3 and ~o~payor olJ-~
fbrrrt~'of ~:ompen~ati0~l;
(b) at the request of line corCca~eg ageno/, lJ~
Contractor shall request each employment
agency, labor union, or authorized
representative of v~rkere ~ which it has a
collective bargaining or other Agreement or
unclere~anding, to furnish a vvfittea s~atement
that such employment agency, labor L~ion or
or race, creed, color, na~onat origin, sex, age,
disabifityor marital ~ and that such union
or reprec~ ~bL;~will aflimnative~ cooperate in
the implementation of tbe. ContractoVs
obligations, herein; and
(c) the Co, ,b ~-tor shall ~{e, in all ealicit;mJons
or a~]~zerdsenqerrcs for ~1~, ~L in ~
~of~~ ~1 q~l~
~ ~. ~[or~ na~n~ e~gin, ea~ age.
disa~ii[~ or.~ari~'~atds.
Contractor v~[I ~ndude the pro~.~oris~ff~', '~" and 't~', ab0~e, in
eve~ sub~ntra~ o~er $25,000,00'~or the constFu~
d~l~on, r~l~ ~r ~ir, ~;pla~i~ or
d~ign ~ ~1 p~ a~ im~o~ ~n~(~'Wo~)
~ion 312 do~ not applyto: (i) wo~,go~s or ~eM~
~ ~ ~is ~, ,b~ ~ ~i) ~~6.~e N~Y~
~e; or f,) ~nM~ ~, ~ns~an~,~a~ o~ ~leor
~. ~ ~ ~11; ~ ~:~¢:~or
or sub~n~a~o[wKh th~ r~uir~e~any f~eral law
~ ~ im~on of~e ~uir~ ~ p~o~'
~du~ ~~ a~y~ ~a~
and Women's .B~sin~s Develo~'~rtaini~g here
13. CONELIOT. I~G TERM~ In. theeventofa
this Appendix'A, 1:he terms Of t%is:Appendix'A shall ,
14. GOVE,.RNING LAW. Thi~ contract shall be
governed bylhe la~s ofl~s Sial~ of NevvYork 6~cept vvhens the
Federal supremacy clause requires otherwise.
15. LATE ~AYMENT. -i]melihess of payment and
anyinterest 10 be I~id to Oanlz~ctor for late paymer~ shall be
goven~ed byAr~de ><]-A of ~e S~e RPance Law I~ ~e extent
required by law.
16. NO ARBITRATION. Disputes involving this
~orro-~t, ~uding lJ~e breech or aJle~a:l breach ff~e~, may not
· besubm~r~d to binding arbi~.a~Jon (exceptwheresl~oJ~dly
a~"~zed) but must irb-~, be heard b a court ofo~rnpe~nt
jurisdiction of the State of New York.
1 7. SERVICE OF PROCESS. In addition to the
methods of s~rvice allc~wed by ~d~e StYe CMl Pra~ca Law ~
Ru~s t~CPLR1, ~ hereby~ tn,S~O~ Of pror~ ·
:upon it,by register~cl Or c:ei't~ed mail, return receipt ~.
~,::~ h~eundc-,r~hall be complete ulSon Cont~or'~ ~Jal
1~c~ip~ ofp~:x~s or uFon the S~s re,pt of d'~e'~"U~L~;ff'~:'e~
by~e Udited,'.S~ace P~J Servfce as r~ or undeliverable.
cverlfchange ofa~dFessio ~ic;h ser~op Qf process can be
~n~ Cont~ac;to r v~TIJ '~ave~lJg~re/(~O)~lendar days after
~er,vice hereu~J~r [s complete in which to respond.
STATE OF NEW YORK )
)SS.:
COUNTY OF )
On this day of in the year 2001 before me. the undersi~med.
;personally appeared , personally known to me or proved to me on tl~ basis of
satisfactory evidence to be the individual(s) whose name(s) is (are).subscribed to the within instrument and
· acknowledged to me that he/she/they executed the same in his/her/their capacity(les) and that by his/her/theh:
signature(s) on the instrument, the individual(s), or the person upon behalf of which the individual(s) acted,
executed this instrument.
Notary Public
STATE OF NEW YORK
DEPARTMENT OF TRANSPORTATION
AlbANY, N.Y. 12232
Mr. Jobhua Y, Horton
Supcrvi=or
Town of Southold
Town lta[1, 53095 Main Road
P-O. Box 1179
Southold, N.Y. 11971
June 9. 2004
RE: C991008
Enclosed ple~e find six (6) copies of the above referenced agreement bctwccn the Ne~
York State Department of Transportation and the Town of Southold. Please sign ~d
have notari?ed all six copies or' tttc si~maLure and notary pages marked by the red flags
and return to the following address:
Ms Jean Pastore
New York Stare Depmxment of Transporratton
Pro.am Management Section
Gov. Harriman State Office Campus
Building ~5. Room 515
.&]ban3', N. '~. 12232
Should you have questions regarding these a~eemenrs, feel free to call me ar
(518) 457- 4075.
Sincerely,
Jean Pastore
Pro_re'am Manager
Enclosures {.6)
LEGISLATIVE INITIATIVE PROJECT AGREEM]ENT
Comptcoller'8 Contract No. C991008
WITNESSErH:
WJtEREAS, the State Legistavare by Chapter )5, sc,~tion t of the Laws of 30u0 bas appmpriamd fimds to
I'q~-SDOT tbr the performance of the Project by the Grantee, as such Project and appropiiat[on are more particularly
described in Schedule A annexed hereto; and
WI-IEREAS. the Grantee vail admini,ter rite Project and submit to Nnt'SDOT fi~r fimdlng of elig[bte Project costs
\¥~EA$, thc LcgiMafive Body of the Grantee by Resolution Nu. 220-2002, adopmd at meeting he~d
March 26, 2002 approved the Project and the terlt~ aad provisions of this A~teemcm and [la~ tth~her aurhortzed me
Supervisor of tl~e Grantee to execute t~is Agreement on behalf of this Grantee (copy of stroh Rc~oludon i~ aaached m
and made a part of fids Agreement): and
Schedule "B" - Ph~cs, Ta~ and Pdtocat[on of
cotzstmction prg]ecr~, Scope of Work~ T~ks. Deliverables
and Daration.
EXff4ffB IT B - MurSc[pM Record Keeplug Guideithes:
Municip~ Resolutionfs) - duly adt~pmd municipal
resolution[s) authorizing the appropriate municipal official
execute tiffs ,\greement on bel,air of the Mumcip.~lity and
appropriating the fixrdlng required therefor.
reser,e~ ia coauecdon wkh the issu,'alce of debt by
Grantee m f~md the Project. but nut)' repay
cl[giblc Pmjcct cu~ts in accordance x~ith NYSDOT policy
and pr tlccdure~.
£thic$ No member of Grantee's governing body, or
any member of r/~e Bored of Directors or staff, 11o[ all)
member ,~f d~ei~ families shall bencfi£ financially d[hcr
dlrecd5 or indirc,:tly fr~,m the grant unle~a auch action 1<
necessar~ for the accomplishment of the Project. In such
event. Grantee shalt disclose such relationship to NYSDOT
md shall obtain prior written approval therefor /'rom
NYSDOT.
Tnsttrance. Subject m the ~ame required h:xcl of
NrYS DEP.~-.TMENT OF TRANSPOR~I'AI'ION
GRANTEE
TITL/~ffJg~hua Y Hnrton, Supervisor
Town of Southold
DATE: 6715/04
)dPPROVED .AS TO FORM:
BY:
STATE OF NEW YORK
)SS.:
COUNTY OF )
On this /-¢:/,C day of_ .2'g,'w',~- ,2004 before me
personally came .2-~,,,'c,,~ ~-r _,yo,~oM to me known, who, being by me
duly sworn did depose and say that he resides at ~£b--~-,o?¢,~7- _,
that he is the ~u~'£g~'f~'a,~ of the Municipal Corporation described in and
which executed the above instrument; that it was executed by order of the ...................
...... of said Municipal Corporation pursuant to a resolution which was duly adopted on
zT~9.~_..u~,~'~- - ,j.z,,~ and which a certified copy is attached and made a
part hereof; and that he signed his name thereto by like order.
~ Notate'Public
SCHEDULE A
PURPOSE:
SCFIEDUI ,F, A
GRANT AGR EFMENT/LEGISI~A. TI~ I]Nfl L&TiVE
Project De~cripfion
X MAIN (Master} Agreement [] SUPPLEMENTAL Schedule No.
Correction
[] Admmis;rative
Projec[: Design and construction of a replacement bridge on Peconic Bay Boulevard
Project Completion Dute: 12d31/04
PJ.N. OLIP.06.001
APPROPRk&TION: Year: 99/00-/Chapter 55/1./99
Namc
Town of Southold
GRANTEE
Address
To~m Hall. 53095 Main Road, P.O. Box 1179
Southold, N~.' 11971
Suffolk
PROJECT DESCRIPTION - CONSTRUCTION
X P.E./Design
Individual Project Phase Identification
[] ROW Incidentals [] ROW Acquisition X Construction, C/l,
PIN: OLIP.06.001
Work Type(s):
Pxelim. En~ineet/~/Design - Prepare tirol plans, specifications and constmcdon cost estimates
ColmtvucfiOll Conscrucl~oa of a new bridge cuk err on Peco~c Bay Bo01evard, Lauzd
Route # &/or BIN #:
Route &/or Bridge Name: Brush's Crock Bndg~ County: Suffok
Termini From: To:
Local 3,funicipal Sponsor:
Other Municipal Sponsor(s).;:
applicable)
Town of Sottr~old
% of Cost Shared by Other Municipahrv (,~t ox~ly if
A. SU31~hRY OF ELIGIBLE "P.~RTIC~PAT1NG" COSTS
List Eligible
Fiscal Share(s)
(e.g., 9-dlgit PINs)
PIN
- Engineering
- Construction
TOTAL
PARTICIPATING
COSTS
$50,000
FEDERAL
PARTICIPATING
AID @ 80 %~
STATE
/~D/
SOURCE
$50,000
SFY99/O0 M I
LOCAL
MATCHING
SHARE
s: o -
TOTAL $50,000 - 0 - $50,000 S- 0 -
ELIGIBLE COSTS:
B.
SUM2~IARY OF ('NON PARTICIPATING" COSTS
List Eligible
PIN
Fiscal Share(s)
(e.g., 9-Ogit PiNs)
PIN
- Construction
D018648
TOTAL
ELIGIBLE COSTS:
TOTAL
NON PARTICIPATING
COSTS
$350,000
$350,000
FEDERAL STATE
PARTICIPATING AID/
SOURCE:
$150,000
Multi-Modal 2000
$150,000
l~lulti-Motlal 21102
$300~000
LOCAL
MATCHING
SHARE
850,000
$50,000
C.." '-:': TOTAL P~OJEt~T COSTS (a,II sources) ,
FEDERAL AID STATE AID LOCAL AID OTHER AID TOTAL
- 0 - $350,000 $50,000 $400,000
SCHEDULE B
SCHEDULE B: Construction Phases, Subphase/Tasks, and Allocation of Responsibility Page 1 of 3
Instructions: Enter an "X" to indicate the appropriate Phase, then assign the responsibility lot each applicable Subphase task by entering an "X" in either the ~YSDOT
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 arlocated to Non-State Labor Fames
or a Locally Administered Contract.
ConstrLzction PHASE/SUBPFrASE ~ .~Jl:~cadonol'Rcspcmsibili[y
Al. Preliminary Engineering ("PE") Ph;tse
1. Scopinq: Prepare & distribute all required project repeals, ir~cluding an Expanded Project Proposal (EPP) or Scoplng Summary X
Memorandum (SSM), as appropriate.
2. Pedorm data collection and analysis for design, including traffic counts and forecasts, accident data, land use arld developrnent X
analysis and forecasts.
3. Preliminary Deslqn: Prepare & distribute Design Report/Design Approval Document (DAD), Including anviroamental X
analysislassessmetss, and olher reports required to demonstrate the completion of specitic design subphases ar tasks and/or to secure
the approval/authorization to proceed.
4. Review & Cimulate all project reports, plans, and other project data to obtain the necessary review, approval, a~:d/or olher i~:put arid X
actions required of other NYSDOT units and external a~encies.
5. Obtain aerial photography and photogmmmetric mapping. NA NA
6. Pedorm all surveys let mapping and design, X
7. Detailed Desicn: Perform all project design, including preparation of plan sheets, cross-sections, proliles, detail sheets, specialty iteras,
shop drawings, and other items requlred in accordance with the Highway Design Manual, including all Highway Design, including
pavement evaluations, Including taking and analyzing cores; desigr~ of pavement mixes and applications procedures; preparation of bridge X
site data package, [f necessary, and all Struclural Desigr~, including hydraulic analyses, if necessary, foundation design; and alt design of
highway appurtenances & systems (e.g., Signals. IVHS fac[lilies), and maimenance And protection of trsflic plans. FRA cdteria will apply
to rail work.
8. Pedorm landscape design (including erosion control). X
9. Design environmenta. I mitigation, where appropriate, in connection wrth: Noise readings, projections, sir quality monitoring, emissions
projections, hazardoL~s waste, asbestos, detarmins, tion el need for cultural resources survey. X
10. Prepare demolition contracts, utility force,alien pla. ns/contracts, and any other plans snd/or ec~ntrast documents requlred to advance,
separately, any podions el the project w~ich may be more appropriately pro.qressed separately and indeper~dently. X
A2. Right-of-Way (ROW) Incidentals
8. Prepare a Right-of-Way plan. NA NA
9. Prepare relocation plans, if required. NA NA
B. Right of Way (ROW) Acquisition
1. Pedorm all Right-of-Way (ROW) Acquisition work, including negotiations with pregedy owners, aeguisit[on of properties and
accomp,=mying legal work, payments to and/or deposits on behalf of properly 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 NYSDO~ is to ~teguire NA NA
3roperty on behalf of tine Municipality, the Mtmicipalib/agrees to accept and take title [o any and all permanent properly rights ,,,o acquired
which form a part of the compleled Project.
2. Provide required relocation assistance, including payment of moving expenses, replacement housing s~Jpplements, modg~ge interest NA NA
differentials, closing costs, mortgage prepayment fees.
3. Conduct condemnation proceedings, coud, and any other legsl actions reqaired to acquire properties. NA NA
4. Monitor all ROW Acquisition work and activities, including review and processing of payments to property o~ers, NA NA
5. Provide official certificagon 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 pregedy(ies) will be available if such properEes NA HA
are not in hand at the time of contract award.
6. Conduct ~tny property management activiites, includ~eg establisbmer~t and coltectieg rents, building maintencr~ce and repairs, and any
other activities necessary to sustain properties and/or tenants u~ti[ ll~e sites are vacated, demofished, or otherwise used for the NA NA
construction project.
7. Subsequent to completion of the Pr(~ject, conduct ongoing properly man~tgemets activities in a martner consis[ent with applicable
Federal, State ~nd local requirements including, as applicable, the development of ~y ancillary uses, establishment and collection of re~t r.~A NA
pregedy maintenance and any other related activities,
C. Construction (C), Supervision (C/S) and inspection (C/I) Phase
1. Advertise contract lettings and distribute contract documents to prospective bidders. X
2. Conduct all contract lettings, including receipt, opening, and an~tlysis of bids, evaluatio~Icertil[catiog ct bidders, nofiFicadon (~i rejected X
b~ds/bidders, and ~wardieg of the construction contrsct(s).
3. Receive and process bid deposits and verify any bidder's insurance and bend coverage that may be required. X
EXHIBIT A
EXHIBIT A
Work Requirements
,7.
'the hlmt[cioali~' shall cmuply with all
applicable statures permitq, ordlnat~ces, rtdes
me project including tho~e fi~r projects which
[e.g the ~admlal Envirormaental P,licy Act
("NEPA"i and State Eaviroank~ntal Quali~..
Con[tact work vdTh any person, firm. corporation
,r agency, either govcrnmcn[gl or pd~ate, m
accompllsk the Pr,~Jeet x~ill be in accord:race
xgtth applicable State and Federal iax~. The
cbthee of c.mtract engineers by the Municlpalitv
to perform prclimlnary engineering or
con,ruction inspection i~ subject to the approval
of NYSDOT.
Any contract plaus and specifications shall be
stamped ~ith the seal of a professional cng[acer
licensed in fids Stat~ and shall he sign'~d by :.ach
prafcss[onal eaghaeer, or shall ~e .i~ned by :~uch
other profess[omni ticensed in tiaL~ State. as
approved by NYSDOT. The pimps and
,pec[fications shall be filect x~ Rh NYSDOT.
bidding, and shall requi~e prior approval of NYSDOI In the
EXHIBIT B
EXHIBIT B
Municipal Record Keeping Guidelines
proj¢c[~):
Work by Mumcipa[ Frnplu?cc~ - B21[ngs tbr Mtmicipal cmplu> ees ~1I be on N YSDOT'~ F[~nn FIN 421,
(3)
c)
EXHIBIT C
NA because of small PE cost
APPENDIX A
APPENDLX A
STANDARD CLAUSES FOR ALL NEW YORK STATE CoN~rR&c ['S
2. NON-ASSIGNMENT CLAUSE. In accordance with
eof, un 138 of the Sk~te ~nance L~,v, ~is cormac~ n~5/r-~t be
3. COMI~FROLLER'SAPPROVAL. In accordancewith
~=~tJon 112 of ~ State Rna~x:e Law (c~, if tJY~ co~tract is wit~
ti~e S~t~ U niver~ity or City Ur fM~b/of New York, Section 3C~
4. WORKERS' COMPENSATION BENEFITS. In
accorde hoe with S6~'ion 142 of tl~e StYe ~ nan(e Law, this
corm-act shall be void and of no force and eff~ unless the
Co~ ac~ emil provide and n-~Jr~n coverage dudng l~e I;~e of
6. WAGE AND HOURS PROVISIONS. if this is a
public vv~rk corCc-~t ~ by Ad~9~ B ofl~e Eabor Law or a
building sen/ice contrac~ cover~J byAr'Cde 9 thereof, neid~c<
m~n~r~; Corfce~r ard ~ subcointractncs n'~st pa'¢ at lees~
~ined by the S'~atm ~ Depertn~r'~ in accordal~:e vv~
8. INTERNATIONAL BOYCOTT
PROHIBmON. In ~ccordance with ,Sec~c~ 22.0-f of t~ne Labor
r z~Er the St~, C,~-np~[~- v,,~'~n frye (b) b~r-~ssdays of such
11. IDENTIFYING INFORMATION AND
PRIVACY NOTIFICATION:
FEDERAL EMPLOYER
IDENTIFICATION. NUMBER
and/or FEDERAL SOCIAL
SECURITY NUMBER.
All invoices or NewYork State standard
(b) PRIVACY NOTIFICATION.
(1) 'The authority to tectuc~ ~ce abo~ ~
other who have been delinquent in
filing tax returns or may have
12. EQUAL EMPLOYMENT
OPPORTUNITIES FOR MINORITIES AND
every subcot~l~ac~ over $2B,000.00 for the censtruction,
S't'ATE OF NEW YORK
CO LLN. Y OF
On this _ day of in tile year 2001 before me. thc undersigned.
personally appeared . permnall.x known to me or proved to me on the basis of
satisfactory cvidence to be thc individual(s) whose name(sD is (are) subscribed to the within instrument arid
acknowledged to me that he/she/they executcd the same in his/hcr/their capac[ty(ies) and that by his/hcr/their
si~maturc(s) on the ir~trunv-nt, the individual(s), or the person upon behalf o£ which the indi,,Sdual(s) acted,
e.xecuted this instrument.
NoraD, Public