HomeMy WebLinkAboutNYSDOT Multi-Modal Funding ELIZABETH A. NEVILLE
TOWN CLERK
REGISTRAR OF VITAL STATISTICS
MARRIAGE OFFICER
RECORDS MANAGEMENT OFFICER
FREEDOM OF INFORMATION OFFICER
Town Hall, 53095 Main Road
P.O. Box 1179
Southold, New York 11971
Fax (631) 765-6145
Telephone (631) 765-1800
southoldtown.northfork.net
OFFICE OF THE TOWN CLERK
TOWN OF SOUTHOLD
September 8, 2004
M. Tamarkin, Planning Unit
New York State Department of Transportation
250 Veteran's Highway
Hauppauge, NY 11788
Re: Multi-Modal #3 Program
Dear Ms. Tamarkin:
Enclosed herewith are six (6) copies along with the original agreement for the
Multi-Modal #3 Program project. Each document has been signed, dated, and
notarized as you requested. Also attached to each document is a certified Town
Board resolution approving the contract agreement and designating the signatory.
Also included are three (3) separate certified copies of the same resolution.
Please do not hesitate to contact me if there is any further required. Thank you.
Very truly yours,
Linda J. Cooper
Deputy Town Clerk
EBC.
Universal Multi-Modal Capital Project Agreement (UnivMMproj.wpd)
MUNICIPALITY: Town otSouthold
PROJECT ID NUMBER: S4133, BIN:
IN WITNESS WHEREOF, NYSDOT has caused this Agreement to be signed by its authorized representative and
Sponsor has caused this Instrument to be signed by its duly authorized officer, to be effective on the date first
written above.
Sponsor
BY: Martin Sidor
TITLE: Deputy Supervisor
DATE: September- 8, 2004
.N_ ~S D _E_P. 6 R T M_ _E. _N T C)_F.T_R ANS _P. p R T,~[IO N
BY:
tar the Commissioner of TronspoHalion
DATE:
Agency Certiticalion: In addition to the acceptance at
this contract I also certify that eriginal copies af this
signature page will be altached to all other exact copies
of lhis contract.
APPROVED:
BY:
For the Comptroller pursuant
to Section 11:2, State Finance Law
APPROVED AS TO FORM:
BY:
NYS Attomey General
Sponsor ACKNOWLEDGMENT
STATE OF NEW YORK
COUNTY OF ~ G~,F' ~'~,.:/~ )
On Ibis ~ ~ _ day ~-~ ~, bef~e me p~sonally came
~ I~ , to me kno~, who ~ing by me duly sw~ did de~se and say the he/~esides at ~rz ~ ~ ;
that he/~ i~ lhe ~ 4~ ,f ~1~4 ~ of the Sponsor de,rind in and ~ich executed the o~ve ins~menl;
that he/she was aulh~zed to execute the d~ument on ~half of said Sponsor p~suant 1o a resolution which was duly adopt~ on
~e~ 7. ~ ondtowhichaceHffiedcopyisatlachedandmadeopoHher~f.
LINDA J. CooPER
No{ar'/Publ c. State of New¥ork
o 482')563, Suffolk,~oun_ty., __
ELIZABETH A. NEVILLE
TOWN CLERK
REGISTB. AR OF VITAL STATISTICS
MARRIAGE OFFICER
RECORDS/~L~qAGEMENT OFFICER
FREEDOM OF INFORM.~TION OFFICER
Town Hail, 53095 Main Road
P.O. Box 1179
Southold, New York 11971
Fax (631) 765-6145
Telephone (631) 765-1800
southoldtown.northfork.net
OFFICE OF THE TOWN CLERK
TOWN OF SOUTHOLD
THIS IS TO CERTIFY THAT THE FOLLO~VING RESOLUTION NO. 653 OF 2004
WAS ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TO~VN BOARD
ON SEPTEMBER 7, 2004:
WHEREAS, a project for the replacement of bridge culvert at Brushes Creek, P.I.N. 54133 (the
Project") is eligible for funding [under Title 23 U.S. Code, as amended, and] New York State's
Multi-Modal Program administered by the NYS Department of Transportation ("NYSDOT');
and
WHEREAS, the Town Board of the Town of Southold has advanced the Project by making a
commitment to advance funding of the non-local share and funding of the full local share of the
costs of the Project; and
gVHEREAS, the Toxvn Board has previously approved the above subject- project;
gVHEREAS, the Town Board has previously authorized and paid 100% of the federal and non-
federal share of the cost of bridge replacement work for the Project or portions thereof; and
NOW, THEREFORE, it is hereby
RESOLVED, that the Toxvn Board of the Town of Southold hereby authorizes and directs
Deputy Supervisor Martin Sidor to execute all necessary Agreements, certifications or
reimbursement requests for Federal Aid and/or Multi-Modal Program Funding on behalf
of the Toxvn of Southold with NYSDOT in connection with the Project, and it is further
RESOLVED, that a Certified Copy of this Resolution be filed with the Commissioner of
Transportation of the State of New York by attaching it to any required and/or appropriate
Agreements executed in connection with the project bet~veen the Town of Southold and the State
of New York.
Elizabeth A. Neville
Southold To~qa Clerk
JOSEPH H. BOARDMAN
COMMISSIONER
STATE OF NEW YORK
DEPARTMENT OF TRANSPORTATION
ALBANY, N.Y. 12232
GEORGE E- PATAKI
GOVERNOR
Mr. John Cushman
Town of Southold
P.O. Box 1179
Southold, NY 11971
Dear Mr. Cushman:
August 23, 2004
~O .';~0. ~.'.": ·
This is to advise you that the Multi-Modal #3 Program project identified in Schedule A of the
attached contract agreement has been officially approved for funding. The next step in the
approval process is the joint execution of this Contract Agreement between NYSDOT and the
project sponsor.
Reimbursement cannot occur before this contract is fully executed and approved by the State
Comptroller. The enclosed contract agreement copy requires an authorized signature. Please
review the agreement, and make 6 cppies, thap ~i~.on~ dante, and notaize each cody on the
signature page and return them to the NYSDOT Regional Office Multi-Modal #3 representative
listed below, along with three original Certified Board Resolutions approving the Contract
Agreement and designating the signatory.
After you have received your returned copy of the State Comptroller-executed Agreement, you'
will begin to receive quarterly reimbursement request forms for any eligible expenditures that
have been made. Submission of your completed form to your NYSDOT Regional Office Multi-
Modal #3 representative will enable you to obtain reimbursement for these expenditures. It
should be noted that the establishment of a formal quarterly schedule is pending.
Reimbursements may not exceed the approved or actual eligible Multi-Modal ~ project costs,
whichever is less. Only eligible local cost disbursements associated with approved Multi-Modal
#3 p~.~ject(s) which were completed on or after April 1, 2002 will qualify for reimbursement by the
~zate Comptroller. ~
I will be the prime contact person for the Multi-Modal #3 Program in the Region 10 office, and
may be reached at: (631)952-6944. The address is:
M. Tamarkin, Planning Unit
New York State Department of Transportation
250 Veteran's Highway
Hauppauge, NY 11788
Respectfully yours, ,
Maria Tamarkin
Local Pmgrarns
Multi-Modal fl3 Program
Project Information Sheet
1,) Name of Municipality or Organization Initiating Project:
Town of Southold
2.) Project Title
Replacement o~ Bridge, Brushes Creek Bridge
4.) PrejectOwnerName: Town of SouthoId
5.) Municipal or Organization Contact:
Name\Title: James McMahon
Organization: Town of Southold.
Address: Town Hall, PO Box 1179
City~,State~Zip: Southold. NY 11971
6.) PrejectLocation: . Peconic Ba.v Blvd. ~Rrk'ln_e) Route\Name( if applicable):
From Mile Post(or other Reference Point): To:
7.) ProJect Descrlpflon \Scope: Replace bricln_e culvert nv~r
PrOject ID': S4133
3.) Maximum MMP #3 Reimbursement:
$150,000.00
E-mail Address (if any): James. McMahon0Town. $outhnld.
NY.US
COST SUMMARY ESTIMATES Beginning Ending
Date Data
PROJECT PHASE Fe~feml Aid 3tale MM #3 Fund Other State Funds Local Funds MM/YY MM/YY
co~m~uon I ~, l ~ lO0 '~ ~i
$150.000 · ~ ~,', ~---,-'' ,,,,n ~219,650 I O~
TOTAL:
$150~000 ~200,000 $219,650
9.) Eligible Project Type (Please check one):
__Highway Resurfacing
_Highway Reconstruction
_Port Storage Authority
__Rail Rehabilitation.
__New Rail Co.nsL
10.) VERIFICATION STATEMENT: In addition to repmsenUng this project with the specific information provided above, attached also is
documentation to be used for the purpose of enabling NYSDO'Ps required funding approval review in accordance with the requirements of
the New York State Environmental Quality Review Act (SEQRA). I further certify that this project's completion date was/will be on or
after April 1, 2002.
Signature of responsible Local Official:
Please prlnt name and title: Martin Airtnr: I~a?.~ty Supervisor (~31) 765-1889
NAME TITLE TELEPHOHE
initial
Universal Multi-Modal Capital Projecl Agreement IUnivMMproj.wpd)
MUNICIPALITY: Town al $outhold
PROJECI-IDNUMBER: S4133, BIN:
MULTI-FtODAL PROGRAM CAPITAL PROJECT
COMPTROLLER'S CONTRACT NO.
THIS AGREEMENT made this __ day of ,20_, is by and between:
the New York State Department of Transportation ("N¥SDO'r'), having its principal office at 50 Wolf Road,
Albany, New York 12232
and
the Town of Southold (the Sponsor; Grantee),
with offices at Town Hall, PO Box 1179, Southold, NY 11971 .
to provide for the funding, construction, reconstruction, improvement, reconditioning and preservation of a project
or projects within the Multi-Modal Programs, consisting of rail passenger facility and equipment, rail freight facility,
certain port facility; fixed ferry facility, municipal and private airport and aviation facility, and State, county, town,
city, and village road, highway, parkway and bridge capital projectJs), as more fully described for the purposes of
this contract in Schedule(s) A hereof (the "Project"). The amount of N¥SDOT's funding pursuant to this Agreement
shall be limited to Project Eligible Costs actually incurred, in no event to exceed the amount(s) identified in
Schedule A for funding by NYSDOT.
WITNE$SETH:
WHEREAS, Transportation Law §14-k establishes the Multi-Modal Programs, that provide Thruway Authority or
Dormitory Authority of the State of New York (DASNY) funding (as applicable) for projects authorized pursuant to
such section as approved by the Commissioner of Transportation, following appropriation by the Legislature or
pursuant to authorization by the Legislature for capital projects; and
WHEREAS, pursuant to appropriation or authorization for capital projects Multi-Modal Programs funding of the
Project herein is authorized and, the Sponsor certifies to N¥SDOT that the service life of the Project is 10 or more
years; and
WHEREAS, for the following project types the Sponsor also certifies as follows:
for airports and aviation facilities - that federal funding is not available to the Project, but the Project
is consistent with an approved airport layout plan;
for State or local roads, highways and bridges - lhat the Multi-Modal Programs funding is not used for
the mandated non-federal share of a federally funded project and the amount of municipal funds
appropriated for transportation capital projects is not and shall not be reduced because of the
Multi-Modal Programs funding; and
Universal Multi-Modal Capilal Projec! Agreement (UnivMMpl'oj.wpdJ
MUNICIPALITY: Town oJSouJhoJd
PROJECT ID NUMBER: S4133, BIN:
DCheck if State-administered Federal Aid applicable
{Cannot apply to aviation or to provide the non-federal share at highway/bridge projects}:
WHEREAS, the United States has provided for the apportionment of federal-aid funds to the Slate for
lhe purpose of carp/lng out federal-aid projects; and
WHEREAS, NYSDOT is authorized to provide such federal aid to the Sponsor or use such federal aid for
lhe Project and such federal aid is being provided through this agreement; and
WHEREAS, the Sponsor is not a sectarian organization,
NOW THEREFORE, the parties agree as follows:
1. Documents Forming this Agreement. The
agreement consists of the following:
JlAgreement Form - this document titled
"Multi-Modal Program Capital Project
Agreemenl';
ISchedule "A" - Pro:eot Description, Funding
and Developmenl Schedule;
ISchedule "B" - Scope of Work
JEXHIBIT A - Work Requirements
·EXHIBIT B - Record Keeping Guidelines
IJEXHtBIT C (as applicable) - Consultant
Selection Procedures
·Appendix "A" - New York State Required
Contract Provisions
IResolution(s) - duly adopted municipal or, as
applicable, corporate resolution(s) authorizing
the appropriale official of the Sponsor to
execute this Agreement on behalf of the
Sponsor and appropriating or otherwise
providing lhe Project funding required
therefor.
1.1 For Stale administered Federal Aid
projects {not applicable to airports, aviation
facilities or road, highway, parkway or bridge
projects] that include federal funding under
this Agreement, the Agreement shall also
include:
JAppendix "B" (as applicable) Requirements for
Federally Aided Transportation Projects
2. Work, Maintenance & Operation. Sponsor shall
render all services and furnish all materials and equipment
necessary to complete the Project described in Schedule
A, inclusive of the Scope of Work described in Schedule B,
and shall fund all costs attendant such completion. The
work of the Project may consist generally of the categories
of work marked and described in Schedule B for the
scope and phase in effect according to Schedule A or
one or more supplemental Schedules A as may hereafter
be executed by the parties hereto and approved as
required for a State contract, and any additions or
deletions made thereto by NYSDOT subsequent to the
execution of such Schedules A for the purposes of
conforming to New York State or to Federal requiremenls.
Sponsor shall perform its work in accordance with the
Work Requirements set forth in Exhibit A annexed herelo.
2.1 Operation and Maintenance at Project.
Upon Project completion, Sponsor will operate
and maintain lhe Project at no expense to
N¥SDOT and, during the useiul life of the Project
according to federal guidelines, Sponsor shall not
discontinue operation of the Project without the
prior written approval of NYSDOT.
2.2 Disposition or Encumbrance of Project.
Sponsor will not dispose of or encumber the
Project or cause the Project to be withdrawn/rom
public service during its useful life without the prior
approval of NYSDOT, which approval is reserved
for the purposes of assuring compliance with: (1)
N¥$DOT or Sponsor assurances or certifications to
a Federal agency in connection with federal
funding or the Multi-Modal Funding made
hereunder; and/or (2) Project restrictions that
may apply because the Multi-Modal Funding
is funded from the proceeds of tax-exempt
debt obligations.
3. Project Commencement, Completion.
Subject to the State Comptroller's approval, this
Agreement takes effect on the date above written.
Sponsor will diligently pursue the Project to
completion within the time set forth in Schedule A.
Failing Project completion within such period, or
agreement by NYSDOT to extend Project completion
date for good cause, this Agreement will expire and
be of no further force or effect.
4. Municipal Deposit. Where work is performed
by consultant or construction contract entered by
N¥SDOT, or by NYSDOT forces, the Sponsor shall
deposit with the State Comptroller, prior to the award
of NYSDOT's contract or NYSDOT's performance of
work by its own forces, the full amount of the non-
federal share of the Project costs due in accordance
with Schedule A.
5. Multi-Modal Funding; Reimbursement of
Eligible Project Costs. Subject to compliance with this
Agreement, NYSDOT agrees to reimburse Project costs
identified in Schedule A attached hereto in an
amount not to exceed the lesser of actual eligible
Project costs or the Multi-Modal Program funding
amount. Multi-Modal Program funding shall be used
solely for the payment of Eligible Costs (hereinafter
defined) Sponsor incurs in performing the Project. For
work performed by NYSDOT, NYSDOT will directly
apply applicable federal aid and any applicable
Sponsor Deposit for the non-federally aided portion,
and shall request Thruway Authority or Dormitory
Authority of the State of New York (DASNY) funding [as
applicable) of Multi-Modal aid to the Sponsor as
described below. For work performed by or through
the Sponsor, NYSDOT will reimburse the Sponsor with
applicable federal aid and Multi-Modal aid as
described below.
5.1 State Administered Federal Aid (not
applicable to airport/aviation or
highway/bridge projects). NYSDOT will
administer federal funds for the benefit of the
Municipality for the federal share and will fund
the percentage designated in Schedule A of
Universal Multi-Modal Capital Pro[ect Agreement (UnivMM~Oj.wpd)
MUNICIPALITY: Town of Southold
PROJECT ID NUMBER: S4133, BIN:
of federal aid participating costs incurred in
connection with the work covered by this
Agreement, subject to the limitations set fodh on
Schedule A. For work performed by or through the
Sponsor, NYSDOT will reimburse federal aid-eligible
expenditures in accordance with NYSDOT policy
and procedures.
5.2 Multi-Modal Aid. Multi-Modal Aid.
N¥SDOT will: (a) for Multi-Modal Program 1 I"MMPI"
in Schedule A) funding, request Thruway Authority
reimbursement to the Sponsor or, for State
administered State highway system projects to
N¥SDOT; and/or, (b) for Multi-Modal Program 2
("MMP2" in Schedule A) funding, N¥SDOT will
reimburse to the Sponsor from State monies in the
first instance, and request corresponding Thruway
Authority reimbursement to NYSDOT; and/or, lc) for
Multi-Modal Program 3 ("MMP3" in Schedule A)
funding, request Dormitory Aulhority of the State
of New York (DASNY) reimbursement to the
Sponsor or, for State administered State highway
system projects to N¥SDOT for the Mulli-Modal
share of participating Project costs incurred in
connection with the work covered by this
Agreement, subject fo the amounts lhereof and
limitations set forth on Schedule A. Only "Eligible
Project Costs" (as defined in Multi-Modal Program
criteria issued by N¥SDOT) are reimbursable.
5.2.1 Multi-Modal Eligible Project Costs. To
be eligible for Multi-Modal aid, Project
costs must: (a) be eligible pursuant to
§5.2.2 below and such other Multi-Modal
Program Policies and Criteria as are
established for each mode by NYSDOT;
and, (b) be for work which, when
completed, has a certifiable service life of
at least 10 years, and (c) meets the
requirements of the State Environmental
Quality Review Act (SEQRA).
5.2.2 State Aid-Eligible Costs. State Aid-
Eligible Project costs include costs of
acquisition, construction, repair,
reconstruction, renovation, equipment and
other related costs as set forth in the
Project Descriplion in Schedule A. Sponsor
may also use State-aid hereunder for the
reJmbursemenl of salaries and wages to
employees of Sponsor for carrying out the
Project: fees to consultants and
3
professionals retained by Sponsor for
planning and performing the Project,
and such other costs and expenses
directly related to such employees,
consultants and professionals for the
Project.
5.2.3 Sponsor Debt Service. Multi-
Modal program funds shall not be
used to pay for interest, issuance costs
or reserves in connection with the
issuance of debt by Sponsor to fund
the Project, but may repay principal
indebtedness incurred to fund Eligible
Project costs, which shall then be
retired, redeemed or defeased by the
Sponsor. Sponsor shall not issue debt
to finance Project costs that are
funded from the proceeds of Thruway
Authority or Dormitory Aulhority of the
State of New York (DASNY) obligations
issued to finance the Multi-Modal
program.
5.3 Other State-Aid. Subject to the terms
of applicable appropriations and statutes
associated with State-aid for the Project
provided through this Agreement, N¥SDOT will
reimburse eligible Project costs from such
other State-aid as may be identified in
Schedule A hereof for payment under this
Agreement. The eligibility of such costs shall
be determined in accordance with
subdivisions 5.2.2 and 5.2.3 hereof, subject to
such further or other reimbursement eligibility
requirements or restrictions that impose in
connection with the applicable other State-
aid funding source or program authorization.
6. Payment at Applicable Federal-Aid, Multi-
Modal and Other State-Aid. Payment of applicable
Federal-Aid, Multi-Modal and other State-aid
hereunder shall be as follows:
6.1 Payment Upon Completion.
Except where §6.2 applies, payment
to Sponsor shall be made upon the
application of Sponsor 1o NYSDOT
upon Project completion, on the basis
of work accomplished and, subject to
applicable retainage, the submission
Universal Multi-Modal Capital Proiect Agreement (UnivMM~oj.wpd)
MUNICIPALITY: Town Of $outhold
PROJECT ID NUMBER: S4153, BIN:
of duly completed payment requests and
certifications in a term approved by
N¥SDOT, including such information as
NYSDOT deems necessary to assure
compliance with the program
requirements and this Agreement.
6.2 Periodic Reimbursement. tf the
Sponsor and N¥SDOT find it desirable to
have reimbursement made periodically in
accordance with a payment cycle
established by NYSDOT and, upon the
request and certification therefor by the
Sponsor, NYSDOT may authorize payments
(by the Thruway Authority, State
Comptroller, or DASNY, as applicable)
based on billings prepared by the Sponsor
in accordance with NYSDOT requirements,
and based on costs incurred as disclosed
by the records lhereof, as required by the
Project, with applicable adjustments
(including for applicable retainage) to be
made after audit by NYSDOT or, as
applicable because of federal funding,
FHWA, the Federal Transit Administration or
Federal Aviation Administration. These
payments shall be made as moneys
become available therefor.
6.3 Sponsor Certifications. The Sponsorwill
certiN in each payment request that: (i)
Project work was performed in
accordance with the State Environmental
Quality Review Act ISFQRAJ; (ii) Project
work was performed in accordance with
the design and contractual requirements
of Sponsor and Sponsor"s design
professional; and (iii} such payment
request does not duplicate reimbursement
of costs and services received from other
sources.
7. Records and Accounts. Sponsor shall maintain
accurate records and accounts of all financial
transactions which shall show in detail all income and all
expenditures, including but not limited to, payments for
Fligible Costs. Such records and accounts shall include,
without limitation, property, personnel and linancial
records, cash receipts and disbursements journal and
general subsidiary ledgers. All records and accounts shall
be maintained in accordance with generally accepted
accounting standards and as required by Exhibit B
annexed hereto. All expenditures of reimbursed costs
hereunder shall be supported by invoices and/or
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 dght fo examine all records and
accounts relating to Sponsor's financial transactions,
including the expenditure of the Multi-Modal Funding
and all other funds secured and services rendered for
the benefit of Sponsor in connection with the Project.
8. Ethics Considerations. In addition to Sponsor's
conforming with the any applicable provisions of
Public Officers Law §73 (Business or Professional
Activities by State Officers and Employees and Party
OfficersI and General Municipal Law ~806 (Code of
Ethics) as related to the expenditure of the Multi-
Modal Funding made hereunder, no member of
Sponsor"s governing body, its officers or employees, or
any member of the Board of Directors or staff, nor any
member of their families shall benefit financially either
directly or indirectly from the Multi-Modal Funding
unless such action is otherwise in accordance with
law and is necessaw for the accomplishment of the
Project. In such event, Sponsor shall disclose such
relationship to N¥SDOT and shall obtain prior wdtten
approval therefor from N¥SDOT.
9. NYSDOT Performance Review. NYSDOT may
review the Sponsor's performance of this agreement
in such manner and at such times as N¥SDOT shall
determine, and such review may include field visits by
NYSDOT represenlatives to the Project and/or the
offices of Sponsor. Sponsor shall at all times make
available its employees, records and facilities to
authorized N¥SDOT representatives in connection with
any such review. Such review shall be for the
purpose, among other lhings, of ascertaining the
qualify and quantity of Sponsor's performance of the
Project, its use and operation.
I0. Notice of Governmental Audit. Sponsor shall
notify NYSDOT of any audit by any governmental
agency of any projects, operations or reports of
Sponsor within five (5) days of receiving information
relating thereto.
11. Project Maintenance and Operation. Upon
Project completion the Sponsor shall provide for the
Universal Multi-Modal Capital Project Agreement JUnivMMproj.wpd)
MUNICIPALITY: Town of Southotd
PROJECT IDNUMBER: S4133, BIN:
maintenance and operation of the Project facilities and
equipment for the purpose of providing safe and efficient
transportation operations. The maintenance schedule
shall remain in effect for a period of at least 10 years from
Project completion and shall not be terminated without
prior written authorization from N¥SDOT.
12. State Recovery of Ineligible Reimbursements.
NYSDOT shall be entitled to recover from the Sponsor any
moneys paid to the Sponsor pursuant to this Agreement
which are subsequently determined to be ineligible for
applicable Federal Aid or Multi-Modal Aid hereunder.
13. Inspection and Audit. Sponsor shall permit the
authorized representative of N¥SDOT and/or the State
Comptroller to inspect and audit all books, records and
accounts of Sponsor pertaining to the Project under this
Agreement. Sponsor shall maintain records relating to this
Agreement in accordance with the Records requirements
of Appendix A.
14. Contract Executory
14.1 This Agreement shall be deemed executory
only to the extent of money available to the State
for its performance and no liability on account
thereof shall be incurred by the State beyond
money available therefor.
14.2 This agreement shall remain in effect so long
as federal and State funding authorizations are in
effect and funds are made available pursuant to
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
shall remain in effect for the duration of such
encumbrances or availabilities. Although the
liquidity of encumbrances or the availability of
funds may be affected by budgetary hiatuses, a
federal or State budgetaw hiatus will not by itself
be construed to lapse this agreement, provided
any necessary federal or State appropriations or
other funding authorizations therefor are
eventually enacted. Sponsor"s continued
performance during such a budgetaw hiatus
cannot, by itself, obligate the State to making
expenditures without appropriations.
5
15.
Sponsor Liability.
15.1 If the Sponsor performs work under this
agreement with its own forces, it shall be
responsible for all damage to person or
property arising from any act or negligence
performed by or on behalf of the Sponsor, its
officers, agents, servants or employees,
contractors, subcontractors or others in
connection therewith. The Sponsor
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.
15.2 The Sponsor shall indemnify and save
harmless NYSDOT and the State for all
damages and costs arising out af any claims,
suits, actions, or proceedings resulting from
the negligent performance of work by or on
behalf of the Sponsor, 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 tort, negligence based upon the
Sponsor's failure to meet professional
standards and resulting in obvious or patent
errors in the progression of its work.
16. No Assignment of lranster of Contract.
Sponsor agrees not to assign, transfer, convey, sublet
or other,vise dispose of this contract or any part
thereof, or of its right, title or interest therein, of its
power to execute such contract to any entity, public
or private, without the previous written consent of
N¥SDOT first having been obtained.
17. Independent Contractor. The officers and
employees of the Sponsor, in accordance with the
status of the Sponsor as an independent contractor,
covenant and agree that they will conduct
themselves consistent 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 tar any right or
privilege applicable to an officer or employee of the
State, including, but not limited to, Workers'
Compensation coverage, Unemployment Insurance
Universal Multi-Modal Capital Project Agreement (UnivMMp'oj.wpd)
MUNICIPALITY: Town at Southold
PROJECT IDNUMBER: S4133, BIN:
benefits, Social Security or Retirement membership or
credit.
18. 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 herein.
19. Term of Agreement. As to the Project and phase(s)
described Jn Schedule(s) A executed herewith, this
agreemenl takes effect as of the date of this Master
Agreement as first above written. This agreement takes
effect as to lhe Project and phaseJs) established in any
duly executed and approved supplemental Schedule(s) A
as of the date of such supplemental Schedule(s) A. This
agreemenl shall remain in effect so long as applicable
federal aid and Multi-Modal aid funding authorizations are
in effect and funds are made available pursuant to the
laws controlling such authorizations and availabilities.
However, if such authorizations or availabilities lapse and
are nol renewed, continued or reenacted, as to funds
encumbered or available and to the exfenl at such
encumbrances or availabilities, this agreement shall
remain in effect for the duration of such encumbrances or
availabilities. Although the liquidity of encumbrances or
the availability of funds may be affected by budgelary
hiatuses, a federal or State budgetary hiatus will not by
itself be construed to lapse this agreement, provided any
necessary federal or State appropriations or other funding
authorizations therefor are eventually enacted.
Universal Multi-Modal Capital Project Agreement (UnivMMpt0j.wpd)
MUNICIPALITY: Town Qf Southold
PROJECTID NUMBER: S4133, BIN:
IN WITNESS WHEREOF, NYSDOT has caused this Agreement to be signed byits authorized representative and
Sponsor has caused this Instrument to be signed by its duly authorized officer, to be effective on the date first
written above.
Sponsor/
BY: /roshua Y. Horton
TITLF~/ Southold Town Supervisor
DATE: October 22,
HYS DEPARTM[NT OF TRANSPORTATION
BY:
for the Commissioner of Transpodation
DATE:
Agency Ceflification: In addition 1o the acceptance of
lhis contract I also cedify thai original copies of this
signature page will be attached fo all other exact copies
of this contract.
APPROVED:
BY:
For the Comptroller pursuant
to Section 1 1 2, State Finance Law
APPROVED AS TO FORM:
BY:
NYS Attorney General
Sponsor ACKNOWLEDGMENT
STATE OF NEW YORK )
COUNI~ OF Suffolk )
Onlhis 22ndday October ,'2001~,beferemepersonallycame Joshua Y. Horton
, to me known, who being by me duly swom did depose and say the heJ~e resides at Greenport. NY ;
that heNhe is the S U pervisor of the Sponsor described in and which executed the above inslmment;
that he,~he-wos authorized to execute the document on behalf of said~Sponsor pursuant to a resolution which was duly adopted on
October 5. 200q and to which a cerfifled copy is bltached and made a parl hereof.
~ NOTARY PUI~C
LINDA J COOPER
NOTARY PUBLIC, State of New York
NO. 01CO4822563, Suffolk County
Term Expires December 31, 20 z)~.
Multi-Modal Project Agreement - Schedule A
Instruction: One Schedule may b~ used for all Phases
Project Commencement Date: 4/11200t
Page 1 of 2
OSC Municipal Contract #
Project Completion Date: fl31104
AGREEMENT PURPOSE: · MAIN (Master) Agreement [] SUPPLEMENTAL Agreement or Schedule
AGREEMENT COVERS (Check all boxes that apply as shown in tables below):
[] Multi-Modal (MM) Program #1 (MMPf) [] Multi-Modal #2 (MMP2) · Multi-Modal #3 * (MMP3 *)
· When MM#3 funds are administered under this Contract Agreement, any MMP1 &/or MMP2 funds listed are For Information Purooses Only
· Multi-Modal Program #'1, 2, or 3 & other State Funding [] Multi-Modal Program #1, 2, or 3 & Federal Aid
[] Multi-Modal Program #1, 2, or 3 & other State Funding & Federal Aid
PROJECT TYPE:
[] Rail [] Port [] Aviation
[] Fixed Ferry Facility
PROIECT IDENTIFICATION:
[]State System HlghwaylBrldge · Local Highway/Bridge
MULTI-MODALIDENTIFIC~TION NUMBER: 54133
Project: Replacement of Bridge, Brushes Creek Bridge
Location: Peconic Bay Boulevard (Bridge)
Project Owner/Operating & Maintenance Responsibility: Town of Southold
Type of Organization):
· Municipality [] Public Authority
[] Railroad Corporation[] Transportation Corporation
[] Business Corporation [] Partnership
[] Not-for-Profit Corporation
[] Educational Corporation
[] Proprietorship []
[] Tax-exempt
Check Project Phases Covered by this Agreement:
[] P.E./Design [] ROW Incidentals [] Acquisition lconstruction, C/I, & C/S
List all APPLICABLE 6 or 9-digit PIN Fiscal Sharas eligible for Multi-Modal funding (e.g., 123456.121; 123456.122):
Work Type(s): Bridge Replacement
Reference or, if DESCRIPTION Maximum Authorized
applicable, List Project Multi-Modal Funding
Identification Number Amount
S4133 Replacement of Bridge, Brushes Creek Bddge ~~'~
~;~..'-:.; . .:,: ..~.~
,;.~,...'.. ~..".: :.' .,~ ?' "; ..?-.'.:.~'1~
TOTAL $15o,000
Parle 2 of ?
'B, SUMMARY OF ELIGIBLE SLATE MULTI-MODAL PROGRAM COSTS
List Eligible
Fiscal Share(s)
(by PIN if applicable)
-MP2:MS2223.30A*
-MMP3 S4133'*:
see footnotes below
TOTAL MULTI-
MODAL
ELIGIBLE COSTS
TOTAL
ELIGIBLE
COSTS
$150,000'
$~50,000
$300,000 $0
FEDERAL
Pa~icipating
SHARE @__%
(IF APPLiCABLE
STATE
MULTIMODAL
FUNDING
$150,000'
$150,000
~;300,000
LOCAL
MATCHING
SHARE
$0
$0
TOTALS
$150,000'
$150,000
$300,000
C. Summary of NON- MULTI-MODAL PROGRAM Costs, if any
List any other
Fiscal Share(s)
(by PIN, if applicable)
-0LIP06.001***
see footnote below
List Applicable Fund
SOURCE
(e.g., 100% Local
Expenditure, Other Agency,
Authority, Private, Utility,
Federal Aid type)
Legislative Initiative***
Local Funds
OTHER STATE FUNDED
AMOUNTS
$ 50,000***
TOTAL Other Costs:
Other
Federal or
NON-STATE
FUNDED
AMOUNTS
$219,650
TOTALS
$ 50,000***
$219,65o
$269,65O
II
O. ESTIMATED LOCAL DEPOSIT REQUIRED (if NYSDOT Administered Project or work):
E. TOTAL PROJECT COST SUMMARY for this Phase (all sources)
$0
TOTAL
FEDERAL AID
(if applicable)
TOTAL
MULTI-MODAL
STATE SHARE(S)
MMP2: $150,000'
MMP3: $150,000'*
TOTAL
LOCAL
SHARE
$219,650
TOTAL
OTHER AID
(including any
other State Aid)
$50,000***
TOTAL FUNDING
(all sources)
$569,650
Footnotes:
* MM2000 funds are covered under Contract D018648, recorded for informational purposes only.
** When MM#3 funds are listed above, any MM1 &/or MM2 and Legislative Initiative funds are recorded for Informational
Purposes Only
*** Legislative Initiative funds covered under Contract C991008, recorded for informational purposes only.
S(~HEDULE B: Construction Project Type Phases, Subphases/Tasks, and Allocation of Responsibility
Page I of 4
Instructions: Enter an "X" to indicate the appropriate Phase, then assi§n the responsibility for each applicable Subphase tas/~ 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 aoorooriate column to indicate a task allocated to Non-State Labor Forces or a Locally Administered Contract.
Allocation of Responsibility
PHASE/SUBPHASE
NYS DOT ~UNIC~PAUTY
X Al. Preliminary Engineering ("PE") Phase
1. Scouinq: Prepare and distribute all required project reports, including an Expanded Project X
Proposal (EPP) or Scoping Summary Memorandum (SSM), as appropriate.
2. Perform data collection and analysis for design, including traffic counts and forecasts, X
accident data, land use and development analysis and forecasts.
3. Preliminary Desiqn: Prapara and distribute Design Report/Design Approval Document X
(DAD), including environmental analysis/assessments, and other reports raquirad to
demonstrate the completion of specific design subphases or tasks and/or to secure the
approval/authorization to proceed.
4. Review and Cimulate all project reports, plans, and other project data to obtain the X
necessary review, approval, and/or other input and actions required of other NYSDOT units
and external agencies.
5. Obtain aedal photography and photogrammetric mapping. X
6. Perform all surveys for mapping and design. X
7. Detailed Desi(3n: Perform all project design, including preparation of plan sheets, cross- X
sections, profiles, detail sheets, specialty items, shop drawings, and other items required in
accordance with the Highway Design Manual, all Highway Design (including pavement
evaluations, taking and analyzing cores; design of pavement mixes and applications
procedures), preparation of any necessary bddge site data package and all Structural Design
(including any necessary hydraulic analyses, foundation design), all design of highway
appurtenances and systems (e.g., Signals, IVHS facilities), and maintenance and protection of
traffic plans. FRA criteda will apply to rail work.
8. Perform landscape design (including erosion control). X
9. Design environmental mitigation, where appropriate, in connection with: Noise readings, X
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 X
contract documents required to advance, separately, any portions of the project which may be
more appropriately progressed separately and independently.
11. Compile PS&E package, including ail plans, proposals, specifications, estimates, notes, X
special contract requirements, and any other contract documents necessary to advance the
project to construction.
Allocation of Responsibility
PHASE/SUBPHASE
NYS DOT MUN~,~J. nY
12. Conduct any required soils and other geological investigations. X
13. Obtain utility information, including identifying the locations and types of utilities within the X
project area, the ownership of these utilities, and prepare utility relocation plans and
agreements, including completion of Form HC-140, titled Preliminary Utili~ Work Agreement.
14. Determine the need and apply for any required permits, including U. S. Coast Guard, U.S. X
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: X
- 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 Federel and State X
design standards or conditions, includin~l final approval of PS&E by NYSDOT
X A2. Right-of-Way (ROW) Incidentals
1. Prepare ARM or other mapping, showing preliminary taking lines. X
2. Prepare Right-of-Way (ROW) mapping. X
3. Obtain abstracts of title and certify those having an interest in right-of-way to be X
acquired.
4. Secure Appraisals and perform Appraisal Review. X
5. Establish an amount representing just compensation. X
6. Determine whether any "de minimus" or other exemption from public hearing that would X
otherwise be required by the Eminent Domain Procedure Law is 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 Al of this Schedule B.
7. Conduct any public hearings and/or informational meetings as may be required by the X
Eminent Domain Procedures Law, and are not exempt from hearing requirements per
paragraph A2-6 above, including the provision of stenographic services, preparation and
distribution of transcripts, and response to issues raised at such meetin~ts.
8. Prepare a Table of Right-of-Way Acquisitions for inclusion in the Design Report. X
9. Prepare relocation plans, if required. X
Allocation of Responsibility
PHASE/$UBPHASE
NYS DOT ~-~UNIC~Atrw
X B. Right of Way {ROW) Acquisition (for a Federal-aided project, eminent
domain, condemnation or municipal Right-of-Way acquisition activities must be accomplished
in compliance with the Uniform Relocation Assistance and Property Acquisition Policy Act of
1970, as amended. NYSDOTwill monitor the right-of-way activities for compliance.)
1. Perform all Right-of-Way (ROW) Acquisition work, including negotiations with property X
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 a~ons necessary to secure title to, possession of, and ent~j to requirad properties. If
N¥SDOT is to acquire property on behalf of the Municipality, the Municipality agrees to accept
delivery of title to any and all permanent property rights acquired for the project (other than any
rights of way acquired for a reverse betterment or other project involving an Interstate or state
highway) and the Municipality directs its signatory to this agreement to accept delivery of the
deed(s) from NYSDOT conveying the acquired property upon completion of the Project or
sooner at the mutual agreement of N¥SDOT and the municipality.
When the Municipality performs Right-of-Way Acquisition work it shall designate the local
responsible official for making key decisions regarding the acquisition process (e.g., adoption
of a minimum payment; setting the just compensation amount; approval of administrative or
legal settlements; need or conditions for releases of encumbrances; signing the acquisition
maps; commencement of condemnation proceedings; signing the right-of-way clearance
certificate; and other administrative decisions as necessary).
2. Provide required relocation assistance. X
3. Conduct condemnation proceedings, court, and any other legal ad'dons required to acquire X
properties.
4. Monitor all ROW Acquisition work and activities, including review and precessing of X
payments to propen~y owners.
5. Provide right-of-way Clearance Certificate at appropriate time prior to construction. X
6. Conduct property management activities, including establishment and collection of X
occupancy and use permit fees, building maintenance and repairs, and any other activities
necessary to sustain properties and/or tenants until the sites are vacated, demolished, or
othent~ise used for the construction project.
7. Subsequent to completion of the Project, conduct ongoing property management X
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, properbj maintenance and any other related actlviUes.
~ C. Construction (C), Supervision (C/S) and Inspection (C/I) Phase
1. Advertise contract lettings and distribute contract documents to prospective bidders. X
Allocation of Responsibility
PHASE/$UBPHASE
NYS DOT MU N~CIPALIIY
2. Conduct all contract lettings, including receipt, opening, and analysis of bids, X
evaluation/certification of bidders, notification of rejected 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 X
may be required.
4. Compile and submit Contract Award Documentation Package.
X
5. Review and approve any proposed subcontractors, vendors, or suppliers. X
6. Conduct and control all construction activities in accordance with the plans and proposal for X
the project. Maintain accurate, up-to-date project records and files, including all diades and
logs, to provide a detailed chronology of project construction activities. Procure or provide all
materials, supplies and labor for the performance of the work on the project, and insure that the
proper materials, equipment, human resources, methods and procedures are used.
7(A). For non-NHS or State Highway System Projects: Test and accept materials,
including review and approval for any requests for substitutions.
7(B) For NHS or State highway System Projects: Inspection and approval of materials Contractual
such as bituminous concrete, Portland cement concrete, structural steel, concrete Inspection reqs. of
by conbactm'
structural elements and/or their components to be used In a federal aid project will be NYSDOT and sub&
performed by, and according to the requirementa of, NYSDOT. The Municipality shall
make or require provision for such materials inspection in any contract or subcontract
that Includes materials that are subject to inspection and approval in accordance with
the applicable NYSDOT design and construction standards associated with the federal
aid project.
8. Design and/or rs-design the project or any portion of the project that may be required X
because of conditions encountered during censtmction.
9. Administer construction contract, including the review and approval of all contractor X
requests for payment, orders-on-contract, force 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 X
work.
11. Administer all construction contract claims, disputes or litigation. X
12. Perform final inspection of the completed work to determine and verify final quantities, X
prices, and compliance with plans specifications, and such other construction engineering
supervision and inspection work necessary to conform to Municipal, State and FHWA
requirements, including the finel acceptance of the project by NYSDOT.
<
X
W
EXHIBIT A
Work Requirements
The work of the project shall be performed in accordance wilh the following requirements:
t. The Sponsor shall comply with all applicable statutes,
permits, ordinances, rules and regulations relative to the
developmenl of lhe pro]ecl including those for projects
which may have a significant effect on lhe environment
(e.g. the National Environmental Policy Act ("NEPA") and
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 for flood hazards and losses
(Environmental Conservation Law, Articles 8 and 36) and
certify such compliance Jn a form acceptable to NYSDOT.
approval of NYSDOT, in the following manner:
As may be required by NYSDOT and for all federal-
aid projects, prior lo advertising for bids, one copy
each of the proposed contracl, plans,
specifications and all related bidding documents
shall be submitted to NYSDOT for approval. The
bid invitation and the contract to be let shall
contain a statement that the contract will be
awarded by the Sponsor subject fo the approval
of NYSDOT.
2. 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 contracl between the Sponsor and its
contractor(s) must comply in every way with applicable
laws, rules, regulations. NYSDOT shall not be a party to any
such third party contract.
3. Plans, Specifications and Estimates FOR CONSTRUCTION
PROJECTS
As may be required by NYSDOT and for all federal-
aid projects: (ii all construction materials and
construction methods shall be in accordance with
specifications approved by NYSDOT: (ii) the Sponsor
shall design and construct the Project, or cause it lo
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 Sponsor or by conlracl.
As may be required by NYSDOT and for all federal-
aid projects, the record sampling program,
independent testing and quality assurance
procedures applicable to federal-aid Projects
performed by the Sponsor shall be in accordance
with specifications approved by NYSDOT whether
or not such procedures are required for the receipt
of Federal-Aid.
Any contract plans and specifications submitted to
NYSDOT for approval shall be stamped with the
seal of a design professional licensed in this Stale
and shall be signed by such professional as
approved by NYSDOT. As may be required by
NYSDOT and for all federal-aid projects, the plans
and specifications shall be filed wilh NYSDOT.
Advertisement for competitively bid projects 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.
The following contract award items shall be
maintained and submitted to NYSDOT upon
'request:
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 hal 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 Iow bid, including
identification of unbalanced bids.
9. Certification of quantities of items
bid 25% or greater over lhe
estimate.
10. Non collusive Bidding Certification.
11. Bidder Debarment History
Certification.
12. For contracts over $500,000 or as
otherwise required:
· Schedule of proposed DBF
participation; and
· NYS Uniform Contracting
Questionnaire (CCA-1).
4. As required by law, contract procurements shall be
based on competitive bidding, and shall be sub]ecl to the
EXHIBIT B
Record Keeping Guidelines
The following are the record keeping requirements for
costs:
Project Account Cost Classifications. Sponsor
shall establish and maintain, in accordance with
requirements established by NYSDOT and
approved by the State Comptroller, separate
accounts within its existing accounting system
or set up independently, to be known as the
Project Account. Sponsor will segregate and
group Project costs so that Sponsor can furnish
on reasonable notice, cost information in the
following cost classifications:
(a) Purchase price or value of land;
(b) Incidental costs of land acquisition;
(c) Costs of contract construction;
(d) Engineering costs of plans and
designs;
(e) Engineering costs of supervision and
inspection;
(f) Other administrative costs;
(g) Costs of equipment acquisition;
(h) Miscellaneous cost not otherwise
included.
Project Account Ledger. For audit purposes,
the Project Account Ledger will record and
accumulate all cost transactions applicable to
the Project. All costs recorded in the Project
Account should be for 100% of such costs
without reduction for the non-Federal share, and
for any applicable Federal share.
Every transaction listed on the Project Account
Ledger will be recorded in the same level of
detail as the total from each supporting source
document (no summarization of source
documents amounts). All transactions listed on
the detail ledger will identify the source
document for the transaction by referencing
contract/estimate numbers, vendor or payee
numbers for vouchers, etc. The applicable
accounting system record date will also be
included for each transactions
The ledgers for the Project will include totals for
all transactions recorded during: 1) each
accounting month, (2) the fiscal year of the
Sponsor, and (3) for the Project life to date.
State reimbursement of Multi-Modal Funding-eligible Project
NYSDOT within a Project Budget. The Project
Account shall be charged all Eligible Project Costs
actually paid for the Project. All costs charged to
the Project Account, incJuding any approved
services contributed by the Sponsor or others, shall
be supported by properly executed payrolls, time
records, invoices, contracts, or vouchers
evidencing in proper detail that nature and
propriety of the charges, in accordance with the
requirements of NYSDOT as approved by the State
Comptroller.
Source Documents. The Sponsor will retain an
official copy of all 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 Sponsor's disbursement process to
copies of warrants or checks issued and to
corresponding documentation maintained in the
official accounting records of the Sponsor's central
finance office.
Checks, Orders and Vouchers. Any check or order
drawn by the Sponsor with respect to any item
which is or will be chargeable against the Project
Account will be drawn only in accordance with a
properly signed voucher then on file in the office of
the Sponsor stating in proper detail the purpose for
which such check or order is drawn. All checks,
payrolls, invoices, contracts, vouchers, orders, or
other accounting documents pertaining in whole or
part to the Project shall be clearly identified, readily
accessible and, to the extent feasible, kept
separate and apart from all other such documents.
Audit/Disallowances. Project Costs claimed or
previously reimbursed that cannot be supported as
outlined herein, are subject to audit disallowance
by NYSDOT, the State Comptroller or Officer of
the Inspector General. Amounts paid to the
Sponsor by NYSDOT that are subsequently
disallowed are subject to recovery by NYSDOT
from the Sponsor, or at the option of the State,
will be offset or reduced against current or future
reimbursement claims on the same or other
projects.
Eligible Project Costs. Eligible Project Costs
shall consist of costs within the Project Account
Cost Classifications that are approved by
'6
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SAMPLE RESOLUTION BY MUNICIPALITY
(Multi Modal Program Project)
RESOLUTION NUMBER:
Authorizing the implementation, and funding in the first instance of the State Multi-Modal
Program-aid [and State adminislered federal program-aid] eligible costs, of a capital project,
and appropriating funds lherefor.
WHEREAS, a Pro]ecl for the , P.I.N.
(the Pro]ecl") is eligible for funding [under Title 23 U.S. Code, as amended, and ] New York
State's Multi-Modal Program administered by the NYS Department of Transportation ("NYSDOT"); and
WHEREAS, the of desires to advance the Project by making a commitment of
advance funding of the non-local share and funding of the full local share of the costs at the Projecl: and
NOW, THEREFORE, the
Board, duly convened does hereby
RESOLVE, that the
further
Board hereby approves the above-subject project: and il is hereby
RESOLVED, that the Board hereby authorizes the
the first instance 100% of the federal and non-federal share of the cost of
or portions thereof; and if is further
of to pay in
work for the Project
RESOLVED, that the sum of is hereby appropriated from
[or, appropriated pursuant to _] and made available to cover the cost of
participation in the above phase of the Project; and if is furlher
RESOLVED, that in the event the full federal and non-federal share costs of the project exceeds the
amount appropriated above, thb of shall convene as soon as possible to
appropriate said excess amount immediately upon the notification by the thereof,
and it is further
RESOLVED, that the of the of be and is
hereby authorized to execute all necessary Agreements, certifications or reimbursement requests for
Federal Aid and/or Multi-Modal Program Funding on behalf of the of with
NYSDOT in connection with the advancement or approval of the Project and providing for the
administration of the Project and the municipality's first instance funding of project costs and permanent
funding of the local share of federal-aid and all Project costs that are not so eligible, and it is further
RESOLVED, that a certified copy of this resolution be tiled with the New York State Commissioner of
Transportation by attaching it lo any necessary Agreement in connection with the Project. and it is further
RESOLVED, this Resolution shall take effect immediately.
RESOLVED, that a Certified Copy of this Resolution be filed with the Commissioner of Transpodation
of the State of New York by attaching it to any required and/or appropriate Agreements executed in
connection with the project between and the State of New York; and il is further
RESOLVED, that this Resolution shall take effecl immediately.
STATE OF NEW YORK )
) SS:
COUNTY OF )
I, , Clerk of , New York, do hereby certify that I
have compared the foregoing copy of this Resolution with the original on file in my office, and that the
same is a true and correct transcript of said odginal Resolution and of the whole thereof, as duly adopted
by said at a meeting duly called and held at the on
by the required and necessary vote of the members to approve the Resolution.
WITNESS My Hand and the O[ficial Seal of
,2000.
· New York, ihis day of
(Clerk, )
Standard Clauses for ~S Contracts Append.ix A
STANDARD CLAUSES FOR NYS 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 pan of the contract (the word "Contractor" herein refers to any party other than the State,
whether a contractor, licenser, 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 hinds 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, transfen-ed~
conveyed, sublet or other,vise 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 nmy,
however, assign its right to receive payment without the State's prior v,'citten consent unless this contract
concerns Certificates ofparficipation pursuant to Article 5-A of the State Finance Law.
3. COMPTROLLER*S APPROVAL. In accordance with Section 112 of thc State Finance Law (or. if this
contract is with the State University or City University of New York, Section 355 or Section 6218 of thc
Education Law), if this contract exceeds $15,000 (or the minimum thresholds agreed to by the Office of thc
State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any an~oant 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 when the value or reasonably estimated value of such consideration exceeds
$10,000, it shall not be valid, effective or binding upon the State until it has been approved by the State
Comptrnllcr and filed in his office. ComptroQer's approval of contracts let by the Office of General Scr*'ices is
required '.','hen such contracts exceed $30,000 (State Finance Law Section 163.6.a).
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. To the extent required by Article 15 of the Executive
Law (also known as the Human Rights Law) 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, sexual orientation, age, disability, genetic
predisposition or cartier status, or marital status. Furthermore, in accordance with Section 220-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 manufacmre, 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 uot 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 qualified and available to perform the work; or (b) discriminate against or intimidate
any employee hired for the performance of 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 fmcs of $50.00 per person per day for any violation of Section 220-e or Section 239
as `.,,'ell 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
.. ~A-30
Standard Clauses for NYS Contracts A~endix A
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 foCth in prevailing wage and
supplement schedules issued by the State Labor Deparlment. Furthermore, Contractor and its subcontractors
must pay at least the prevailing wage rote and pay or provide the prevailing supplements, including the
premium rotes for overtime pay, as determined by the State Labor Deparlment in accordance with the'Labor
Law.
7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State
Finance Law, if this contract was awarded based upon the submission of bids, Contractor warrants, under
penalty of perjury, that its bid was arrived at/ndependently 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
behal£
8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-fofthe Labor Law
and Section 139-h of the State Finance Laxv, if this contract exceeds $5,000, the Contractor agrees, as a
material condition of the contract, 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 AdmimsWatinn 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 (2NYCRR 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 ofsetoffany
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-offrights in accordance with normal State practices including, in cases
of set-offpursnant 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 or three (3) years after final payment, whichever is later. The
State Comptroller, the Attorney General and any other person or entity authorized to conduct an 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 fi.om 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 and/or FEDERAL SOCIAL SECURITY NUlvIBER. All invoices or New
York State standard vouchers submitted for payment for the sale of goods or services or the lease of real or
~A-31
Standard Clauses for NYS Contracts Appendix A
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 it.5 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 others 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 information 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 Accounting Operations, Office
of the State Comptroller, 110 State Street, Albany, New York 12236.
12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN. In accordance
with Section 312 of the Executive Law, if this contxact is: (i) a written agreement or purchase order
instrument, providing for a total expenditure 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 conta'acting agency; or (ii) a
written agreement in excess of $100,000.00 whereby a contracting agency is committed 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 v, xitten agreement in excess of $100,000.00 whereby the owner
ora 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
lbr 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 termfl~ation and rotes of pay or 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 u, ritten statement that such employment agency, labor union or representative will
not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital statas and that
such union or representative v,4ll 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 employmem oppommities without
discrimination because of race, creed, color, national origin, sex, age, disability or mahtal status.
Contractor will include the provisions of %", "b", and "c" above, in every subcontract over $25,000.00 lbr the
construction, demolition, replacement, major repair, renovation, planning or design of real property and
improvements thereon (the "Work") except wbere the Work is for the beneficial use of the Contractor. Section
312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii) employment outside New
York State: or (iii) banking services, insurance policies or the sale of securities. The State shall consider
~A-32
Standard Clauses for NY$ Contracts Appendix A
compliance by a contractor or subcontxactor 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
mles and regulations of the Empire State Development Corporation's Division of Minority- and
Women-owned Business Development (MWBD) pertaining hereto.
13. CONFLICTING TER3,1S. In the event of a conflict between the terms of the contract (including any and
all attachments thereto and amendments thereof) and the temps of this 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 I l-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 stamtotily 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 States Postal Service as refi~sed 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
thiriy (30) calendar days after service hereunder is complete in which to respond.
18. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and
warrants that all wood products to be used under this contract award will be in accordance with, but not
limited to, the specifications and provisions of State Finance Law § 165. (Use of Tropical Hardwoods) which
prohibits purchase and use of tropical hardwoods, unless specifically exempted, by the State or any
governmental agency or political subdivision or public benefit corporation. Qualification for an exemption
under this law will be the responsibility of the con~-actor to establish to meet with the approval of the State. In
addition, when any portion of this contxact involving the use of woods, whether supply or installation, is to be
performed by any subcontractor, the prime Contractor 4411 indicate and certify in the submitted bid proposal
that the subcontractor has been informed and is in compliance with specifications and provisions regarding
use of tropical hardwoods as detailed in §165 State Finance Laxv. ,Stay such use must meet with the approval
of the State; otherwise, the bid may not be considered responsive. Under bidder certifications, proof of
qualification for exemption will be the responsibility of the Contractor to meet ,Mth the approval of the State.
19. PURCHASES OF APPAREL. In accordance with State Finance Law 162 (4-a), the State shall not
purchase any apparel from any vendor unable or unwilling to certify that: (i) such apparel was manufactured
in compliance with all applicable labor and occupational safety laws, including, but not limited to, child labor
laws, wage and hours laws and workplace safety laws, and (ii) vendor will supply, with its bid (or, if not a bid
situation, prior to or at the time of signing a contract with the State), if knox~xt, the names and addresses of
each subcontractor and a list of all manufacturing plants to be utilized by the bidder.
~A-33
APPENDIX B
Requirements for Federally Aided Transportation Projects
There is a substantial body of requirements that attach to the use of Federal highway or transportation aid.
These requirements create or overlay processes, procedures, documentary requirements, authorizations,
approvals and certifications that may be substantially greater or different from those that are not funded with
federal aid and proceed under applicable State and local laws, customs and practices. Under Title 23 of the
United States Code NYSDOT is responsible for the administration of transpodation projects in New York State
to which NYSDOT provides federal highway or transportation aid. Through this Agreement, which provides or
is associated with such funding, NYSDOT delegates various elements of project and funding administration as
described elsewhere in this Agreement. In undertaking a federally aided project, the Municipality, Authority,
Sponsor or Project Manager designated under this Agreement with federal aid funding or project
administration undertakes to proceed in compliance with all the applicable Federal aid requirements.
NYSDOT has, in cooperation with FHWA, assembled the body of federal aid requirements, together with
information, NYSDOT procedures and practices in its "Procedures for Locally Administered Federal Aid
Projects" manual (available both in hard copy and through NYSDOT's web site at
http://www.dot.state.ny, us/pubs/Iocalproi/Iocal.html). In addition, t he Municipality, Authority, Sponsor or
Project Manager designated under this Agreement with federal aid funding or project administration that
enters federally aided project construction contracts is required to physically incorporate into all its Federally
aided construction contracts and subcontracts thereunder the provisions that are contained in Form FHWA-
1273 (available from NYSDOT or electronically at
http:l/www.fl~wa.dot.,qovllllpregramadminlcontractsl1273.htm).
In addition to the referenced requirements, the attention of Municipality or Sponsor hereunder is directed to the
following requirements and information:
Non DiscriminationlEEOIDBEIMBE Requirements
The Municipality or Sponsor and its contractors agree to comply with Executive Order 1 '1246, entitled "Equal
Employment Opportunity" and Department of Transportation regulations (49CFR Parts 21,23, 25, 26 and 27)
and the following:
Non Discrimination. No pemon shall, on the ground of race, color, creed, national origin, sex, age or
handicap, be excluded from padicipation in, or denied the benefits of or be subject to discrimination
under the Project funded through this Agreement..
Equal Em ployment Opportunity. In connection with the execution of this Agreement, the Municipality's
or Sponsor's contractors or subcontractors shall not discriminate against any employee or applicant
for employment because of race, religion, age, color, sex or national origin. Such contractors shall
take affirmative actions to ensure that applicants are employed, and that employees are treated
during their employment, without regard to their race, religion, color, sex, national origin or age. Such
actions shall include, but not be limited to, the following: employment, upgrading, demotion or
transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship.
Disadvantaged Business Enterprises. In connection with the performance of this Agreement, the
Municipality or Sponsor shall cause its contractors to cooperate with the State in meeting its
commitments and goals with regard to the maximum utilization of disadvantaged business enterprises
and will use its best efforts to ensure that disadvantaged business enterprises will have the maximum
practicable opportunity to compete for subcontract work under this Agreement. Also, in this
connection the Municipality or Sponsor shall cause its contractors to undertake such actions as may
be necessary to corn ply with Section 105(f) of the Surface Transportation Assistance Act of 1982, as
implemented in 49CFR Part 23.
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