HomeMy WebLinkAboutNYSDOT/Brushes Creek ELIZABETH A. NEVILLE
TOWN CLERK
REGISTR.~R OF VITAL STATISTICS
MARRIAGE OFFICER
RECORDS MANAGEMENT OFFICER
FREEDOM OF INFOR~IATION OFPICER
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
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 735 OF 2004
WAS ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD
ON OCTOBER 5, 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
WHEREAS, the Town Board has previously approved the above subject- project;
WHEREAS, the Town Board has previously authorized and paid 100% of the federal and non-
federal share of the cost of $638,727.74 for the Project or portions thereof; and
NOW, THEREFORE, it is hereby
RESOLVED, that the Town Board of the Town of Southold hereby authorizes and directs
Supervisor Joshua Y. Horton to execute all necessary Agreements~ certifications or
reimbursement requests for Federal Aid and/or Multi-Modal Program FundinV on behalf
of the Town of Southold with NYSDOT in connection with thc 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 between the Town of Southold and the State
of New York.
Elizabeth A. Neville
Southold Town Clerk
ELIZABETH A. NEVILLE
TOWN CLERK
REGISTI~d~ OF VITAL STATISTICS
MARRIAGE OFFICER
RECORDS MANAGEMENT OFFICER
FREEDOM OF INFORMATION OFFICER
.L
Town Hail, 53095 Main Road
P.O. Box 1179
Southold, New York 11971
Fax (631) 765-6145
Telephone (631) 765-1800
southoidtown.north fork.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
Ene.
JOSEPH H. BOARDle~N
COMMISSIONER
STATE OF NEW YORK
DEPARTMENT OF TRANSPORTATION
ALBANY, N.Y. 12232
GEORGE E. PATAIG
GOVERNOR
Mr. John Cushman
Town of Southold
P.O. Box 1179
Southold, NY 11971
Dear Mr. Cushman:
August 23, 2004
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 e~ecution 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 cgpies, th_~-_n .~i_an~ dat.~e, and notaize each co~3v 0n 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 signato~.
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 #G 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 pr_pr_~oject(s) which were completed on or after April 1, 2002 will qualify for reimbursement by the
~a~e Comptroller. r
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, _ .
Mada Tarnarkin
Local Programs
Multi-Modal f~3 Program
Project Information Sheet
Project ID*: S4133
Name of Municipality or Organization Initiating Project:
2.) Project Title
Replacement of Bridge. Brushes Creek Bridge
4.) ProJect Owner Name : Town of Southold
5.) Municipal or Organization Contact:
Name~Titie: Jetties McJ~aJlon ..
Organization: Town of Southold.
Address: Town Hall, PO Box 1179
City~S~ata~Zip: SouthoId. NY 11971
6.) ProJectLecation: . ~)~con|c E~a.v Blvd.
From Mile Pout(or other Reference Point):
7.) Project Description ~Scope:
3.) Maximum MMP #3 Reimbursement:
E-mail Address (if any): James. McMahon0Town, ~;outheld.
NY.US
f Rr'id_~e) Route\Name( ifappllcable):
To:
~eplace ~)rirh~_~ c.lvArt nvAr Rr[J~h;,¢
COST SUMMARY ESTIMATES Beginning Ending
Date Data
PROJECT PHASE Fe~leral Aid State MM #3 Fund Other State Funds Local Funds MM/YY MM/YY
,150.000 ~ $219,650 I
Sul~rvi~on~lnsP~Cflon
TOTAL:
$150~000 ~200,000 ~219,650
9.)
__Other (Pi®a~[~ ®~plainl:
Eligible Project Type (Please check one):
__Bddge Rehabillaeon
10.) VERIFICATION STATEMENT: In addition to representing this project with the specific information provided above, attached also is
documentation to be used for the purpose of enabling NYSDO'I"s required funding approval review in accordance with the requirements of
the New Yod( State Environmental Quality Review Act (SEQRA). I further certify that this project's completion date washvlll be on or
after April 1, 2002.
Signature of responeible Local Official
Please print name and tltle: Martin &iclnr_ r')n?H-y Supervisor ~31) 765-1889
NAME TITLE TELEPHOHE
Universal Mulli-Modol Capital Projec! Agreemenl (Univ/ViMproJ.wpd)
MUNICIPALITY: Tayto of Southold
PROJECT ID NUMBER: S4133, BIN:
MULTI-MODAL PROGRAlq CAPITAL PROJECT
COMPTROLLER'S CONTRACT NO.
THIS AGREEMENT made this day of ,20_, is by and between:
the New York Slate Department of Transportation J"NYSDOT'), having ils principal office at 50 Wolf Road,
Albany, New York 12232
and
the Town of Soufhold Jibe Sponsor;, Grantee),
with offices at Town Hall, PO Box 1179, Southold, NY 11971.
to provide for the funding, construction, reconstruction, improvement, reconditioning and preservation of a project
or projects within the Multi-Modal Programs, consisting of rail passenger facility and equipment, rail freight facility,
certain port facility; fixed ferry facility, municipal and pdvate airport and aviation facility, and State, county, town,
city, and village road, highway, parkway and bridge capital projectls), as more fully described for the purposes of
this contract in ScheduleJs) A hereof (the "Project"). The amount of N¥SDOI"s funding pursuant to this Agreement
shall be limited to Project Eligible Costs actually incurred, in no event to exceed the amount(s) identified in
Schedule A for funding by NYSDOT.
WITNE$SETH:
WHEREAS, Transportation Law §14-k .establishes the Multi-Modal Programs, that provide Thruway Authority or
Dormitory Authority of lhe 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 aulhorization 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 sewice life of lhe 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 - that 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 MultLModal Capital Project Agreement (UnivMMl:~oj.wpd)
MUNICIPALITY: Town o~ Southold
PROJECT ID NUMBER: $4133, BIN:
~Check it State-administered Federal Aid'applicable
[Cannot apply to aviation or to provide the non-federal share of highway/bridge projects]:
WHEREAS, the United States has provided for the apportionment of federal-aid funds to the State for
the purpose of carrying out federal-aid projects;, and
WHEREAS, N¥SDOT is authorized to provide such federal aid to the Sponsor or use such federal aid for
the 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
Agreement":
JlSchedule "'A"- Project Description, Funding
and Development Schedule:
ISchedule "B'" - Scope of Work
IEXHIBIT A - Work Requirements
~EXHIBIT B - Record Keeping Guidelines
~EXHIBIT C (as applicable) - Consultant
Selection Procedures
·Appendix '"A" - New York State Required
Contract Provisions
JResolutionls) - duly a~lopted municipal or, as
applicable, corporate resolutionJs) authorizing
the appropriate official of the Sponsor to
execute this Agreement on behalf of the
Sponsor and appropriating or otherwise
providing the Project funding required
therefor.
1.1 For State administered Federal Aid
projects (not applicable fo airports, aviation
facilities or road, highway, parkway or bridge
projects} that include federal funding under
this Agreement, the Agreement shall also
include:
IAppendix "B" (as applicable) Requirements for
Federally Aided Transportalion 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 requirements.
Sponsor shall perform its work in accordance with the
Work Requirements set forth in Exhibit A annexed hereto.
2.1 Operation and Maintenance of Project.
Upon Project completion, Sponsor will operate
and maintain the Project at no expense to
N¥SDOT and, during the useful life of the Project.
according to federal guidelines, Sponsor shall not
discontinue operation of the Project without the
prior w~itten approval of N¥SDOT.
2.2 Disposition or Encumbrance of Project.
Sponsor will not dispose of or encumber the
Project ar cause the Project to be withdrawn from
public service during its useful life without the prior
approval of N¥$DOT, which approval is reserved
for the purposes at assuring compliance with: (1)
N¥SDOT or Sponsor assurances or certifications to
a Federal agency in connection with federal
2
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 lax-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 amounl of lhe 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 nbt 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, N¥SDOT 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 Project Agreement (UnivMMproj.wpcl)
MUNICIPALITY: Town al $oulhold
PROJECT ID NUMBER: 54t~, BIN:
of federal aid participating costs incurred in
connection with the work covered by this
Agreement, subject to the limitations set forth 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 Mulfi"Modal Aid. Multi-Modal Aid.
NYSDOT will: (a) for Multi-Modal Program 1 ("MMPI'
in Schedule A) funding, request Thruway Aulhority
reimbursement to the Sponsor or, for State
administered State highway system projects to
NYSDOT; and/or, Jb) for Multi"Modal Program 2
("MMP2" in Schedule A) funding, NYSDOT will
reimburse to the Sponsor from State monies in the
first instance, and request corresponding Thruway
Authority reimbursement to NYSDOT; and/or, (c) for
Multi"Modal Program 3 ("MMP3" in Schedule A)
funding, request Dormitory Authority of the State
of New York (DASNY) reimbursement to the
Sponsor or, for State administered State highway
system projects to NYSDOT for the Multi"Modal
share of participating Project costs incurred in
connection with the work covered by this
Agreement, subject to the amounts thereof and
limitations set forth on Schedule A. Only "Eligible
Project Costs"" (as defined in Multi-Modal Program
criteria issued by NYSDOT) 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 eaqh mode by NYSDOT;
and, lb) 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 JSEQRAJ.
5.2.2 State Aid-Eligible Costs. State Aid-
Eligible Project costs include costs of
acquisition, construction, repair,
reconstruction, renovation, equipmenl and
other related costs as set forth in the
Project Description in Schedule A. Sponsor
may also use State-aid hereunder for the
reimbursement of salaries and wages lo
employees of Sponsor for carrying out the
Project; fees to consultants and
3
professionals retained by Sponsor for
planning and performing the Pro(ecl,
and such other costs and expenses
directly related lo 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 interesl, issuance costs
or reserves in connection with lhe
issuance of debt by Sponsor lo fund
the Project, but may repay principal
indebtedness incurred 1o 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 Authority of lhe
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 stalules
associated with State-aid for the Project
provided through this Agreemenl, NYSDOTWIll
reimburse eligible Project costs from such
other Slate-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 fudher or other reimbursement eligibility
requirements or restrictions that impose in
connection with the applicable other State-
aid funding source or program authorization.
6. Payment of 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 to NYSDOT
upon Project completion, on the basis
of work accomplished and, subject to
applicable retainage, the submission
Universal Multi-Modal Capital Project Agreement (UnivMMl::~.wpd)
MUNICIPALITY: Town of Southold
PROJECT ID NUMBER: S4133, BIN:
of duly completed payment requests and
certifications in a form approved by
N¥SDOT, including such information as
N¥SDOT deems necessary to assure
compliance with the program
requirements and this Agreement.
6.2 Periodic Reimbursement. If the
Sponsor and NYSDOT 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 lhe Sponsor
in accordance with NYSDOT requirements,
and based on costs incurred as disclosed
by the records thereof, 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 Adminisfrafion o~
Federal Aviation Adminisfrafion. These
payments shall be made as moneys
become available therefo[.
6.3 SponsorCedificofions. TheSponsorwfll
certify in each payment request that: (i)
Project work was performed in
accordance with lhe State Environmental
Quality Review Act (SEQRA}; (ii) Project
work was performed in accordance with
the design and contractual requirements
of Sponsor and Sponsor's design
professional; and (iii) such payment
requesl does not duplicate reimbursemenl
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 delail all income and all
expenditures, including bul not limited to, payments for
Eligible Costs. Such records and accounts shall include,
without limitation, properly, personnel and financial
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 suppoded 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 Stole of New York and any other
authorized representatives of lhe State of New York
shall have the right to examine all records and
accounts relating fo 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 Stale Officers and Employees and Party
Officers) and General Municipal Law ~806 (Code of
Ethics) as related fo lhe expenditure of the Multi-
Modal Funding made hereunder, no member of
Sponsor's governing body, its officers or employees, or
any member of lhe 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 necessary for the accomplishment of the
Project, In such event, Sponsor shall disclose such
relationship to N¥SDOT and shall obtain prior written
approval therefor from NYSDOT.
9. NYSDOT Performance Review. NYSDOT may
review the Sponsor's performance of this agreement
in such manner and at such times as NYSDOT shall
determine, and such review may include field visits by
NYSDOT representatives 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 things, of ascertaining the
quality and quantity of Sponsor's performance of the
Project, its use and operation.
10. Notice of Governmentol Audit. Sponsor shall
notify NYSDOI' of any audit by any governmental
agency of any projects, operations or reports of
Sponsor within five (5) days of receiving information
relating thereto.
! 1. Project Maintenance and Operation. Upon
Project completion the Sponsor shall provide for the
Universal Multi-Modof Capital Project Agreement (UnivMM~oj.wpd)
MUNICIPALITY: .Town of Southold
PROJECT ID NUMBER: S4133. BIN:
maintenance and operation of the Project facilities and
equipment for the purpose of providing safe and efficient
tronsporlation operations. The maintenance schedule
shall remain in effect for a period of at least I0 years from
Project completion and shall not be terminated without
prior written authorization from NYSDOT.
12. State Recovery of Ineligible Reimbursements.
NYSDOT shall be entitled to recover from the Sponsor any
moneys paid to the Sponsor pursuant to lhis Agreement
which are subsequently determined fo be ineligible for
applicable Federal Aid or Multi-Modal Aid hereunder.
13. inspection and Audit. Sponsor shall permit the
authorized representative of NYSDOT and/or the State
Comptroller to inspecl and audit all books, records and
accounts of Sponsor pertaining 1o the Project under this
Agreement. Sponsor shall maintain records relating to Ibis
Agreement in accordance with lhe Records requirements
of Appendix A.
14. Contract Executory
14.1 This Agreement shall be deemed executory
only to lhe extent of money available to the State
for ifs pen'ormance and no liability on account
thereof shall be incurred by lhe 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 nol renewed,
continued or reenacted, as to funds encumbered
or available and 1o the extent of such
encumbrances or availabilities, this agreement
shall remain in effecl for the duralion of such
encumbrances or availabilities. Although the
liquidily of encumbrances or lhe availabilily of
funds may be affected by budgetary 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. Sponsor's continued
performance during such a budgetary hiatus
cannot, by itself, obligate the State to making
expenditures without appropriations.
15.
Sponsor Liability.
15.1 If the Sponsor performs work under this
ogreemenl with its own forces, it shall be
responsible for oll damage fo person or
property arising from any oct or negligence
performed by or on behalf of the Sponsor, its
officers, agents, servants or employees,
contractors, subcontractors or olhers in
connection therewith. The Sponsor
specifically agrees that its ogenls or
empJoyees, shall possess the experience,
knowledge and character necessary to
quality them individually for the particular
duties lhey perform.
15.2 The Sponsor shall indemnity and save
harmless NYSDOT and 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 lhe Sponsor, ils officers, agents,
servants, employees, conlractors,
subcontractors or others under this
agreement. Negligent perfomnance of
service, within the meaning at Ibis section shall
include, in addition 1o negligence founded
upon tort, negligence based upon the
Sponsor's failure to meel professional
slandards and resulting in obvious or patent
errors in lhe progression of its work.
16. No Assignment of Transfer of Contract.
Sponsor agrees not to assign, transfer, convey, sublet
or otherwise dispose of this contract or any part
thereof, or of its righJ, title or interest therein, of its
power to execute such contract to any entity, public
or privale, without the previous written consent of
NYSDOT first having been oblained.
17. Independent Conlractor. 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 for 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 ProJecl Agreement JUnlvMMp~ej.WlXt)
MUNICIPALITY: Town of Soulhold
PROJECT ID NUMBER: S4133. BIN:
benefits, Social Secudty or Retirement membership or
credit.
18. Appendix A, standard provisions for all New York
State Contracts, is attached hereto and is hereby made a
pad of this agreement as if set forth fully herein.
19. Term of Agreement. As to the Project and phase(s)
described in Schedule(s) A executed herewith, this
agreement takes effect as of the date of this Master
Agreement as first above written. This agreement takes
effect as fo the Project and phase(s) established in any
duly executed and approved supplemental ScheduleJs) A
as of the date of such supplemental ScheduleJs) A. This
agreement 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 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
availab~ities. Although the liquidity of encumbrances or
the availability of funds may be affected by budgetary
hiatuses, a federal or State budgetary hiatus will not by
ilself be construed to lapse this agreement, provided any
necessary federal or Slate appropriations or other funding
authorizations therefor are eventually enacted.
6
Universal Multi-Modal Capital Project Agreement (UnivMMproj.wpd)
MUNICIPALITY: Town of Southolc~
PRO J ECT ID N UMBER: _~_4~.~ 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 dote first
written above.
Sponsor/
BY: ~Joshua Y. Horton
TITLE/ Southold Town Supervisor
DAlfE: October 22, 200~,
N¥~ DEp,~RTMENT OF TRANSPORTATION
BY:.
for the Commissioner of Transpodation
DATE:
Agency Cediflcation: In addition to the acceptance of
this contract I also certify that original copies of this
signature page will be aHached to all other exact copies
of this contract.
APPROVED:
BY:
For the Comptroller pursuant
to Section 112, State Finance Law
APPROVED AS TO FORM:
BY:
NYS Attomey General
Sponsor ACKNOWLEDGMENT
STATE OF NEW YORK J
COUNTY OF Suffolk
Onthis 22ndday October ,200~l, before me personally came Joshua V. Horton
, to me known, who being by me duly swom did depose and say the heJ-./~e resides at Greenport, NY
that he/eiee is the S u pervi sor of the Spopsor described in and which executed the above instrument;
that he/~',~ was authorized to execute the document on behalf of said~Sponsor pursuant to a resolution which was duly adopted on
October 5. 200/I. and to which a cedified copy is bttached and made a pad hereof.
NOTARY PI~BLIC
LINDA J COOPER
NOTARY PUBLIC, State of New York
NO. 01 C04822553, Suffolk County
Term Expires December 31,20 ,~
7
... Multi-Modal Project Agreement - Schedule A
Instruction: One Schedule may be used for all Phases
Project Commencement Date: 4/112001
Page 1 of 2
OSC Municipal Contract #
Project Completion Date: 1/3tl04
A.G. REEMENT 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 (MMPI) [] Multi-Modal ~ (MMP2) · Multi-Modal ~3 * (MMP3 *)
· When MMV3 funds are administered under this Contract Agreement, any MMPI &/or MMP2 funds listed are For Information Purnose~ 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:
I-]State System Highway/Bridge · Local Highway/Bridge
MULTI-MODAL IDENTIFICATION NUMBER: S4133
Project: Replacement of Bridge, Brushes Creek Bridge
Location: Peconic Bay Boulevard (Bridge)
Project Owner/Operating & Maintenance Responsibility: Town of Southold
Type of Organization):
· Municipaflty [] 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 'Construction, C/I, & C/S
List all APPUCASLE 6 or 9-digit PIN Fiscal Sharas eligible for Multi-Modal funding (e.g., 123456.t21; 123456.122):
Work Type(s): Bridge Replacement
Reference or, If
applicable, Mat Project
Identification Number
S4133
DESCRIPTION
Replacement of Bridge, Brushes Creek Bridge
TOTAL
Maximum Authorized
Multi-Modal Funding
Amount
Pa~e 2of 2
B. SUMMARY OF ELIGIBLE STATE MULTI-MODAL PROGRAM COSTS
List Eligible TOTAL FEDERAL STATE LOCAL TOTALS
Fiscal Share(s) ELIGIBLE Participating MULTI MODAL MATCHING
(by PIN if applicable) COSTS ' SHARE @ % FUNDING SHARE
(IF APPLICABLE
-MPZMS2223.30A* $150,000' $150,000' I;150,000'
-MMP3 S4133'*: $150,0o0 $o
see fool~otes below $150,000 IH 50,000
TOTAL MULTI-
MODAL $300,000 $0 $300,000 $0 3300,000
ELIGIBLE COSTS
C, Summary of NON- MULTI-MODAL PROGRAM Costs, if any
List Applicable Fund Other TOTALS
SOURCE Federal or
List any other (e.g., 100% Loca; NON-STATE
Fiscal Share(s) Expenditure, Other Agency, FUNDED
(by PIN, if applicable) Authority, Pdvate, Utility, OTHER STATE FUNDED
Federal Aid type) AMOUNTS AMOUNTS
-OLIP06.001*** Legislative Initiative*** $ 50,000*** $ 50,000*'*
see foolnote below
Local Funds $219,650 $219,650
TOTAL Other Costs: $ $269,650
D. ESTIMATED LOCAL DEPOSIT REQUIRED (if NYSDOTAdministered Project or work): NIA
E. TOTAL PROJECT COST SUMMARY for this Phase (all sources)
TOTAL TOTAL TOTAL TOTAL TOTAL FUNDING
FEDERAL AID MULTI-MODAL LOCAL OTHER AID (all sources)
(if applicable) STATE SHARE(S) SHARE (including any
other State Aid)
MMP2: $150,000'
$0 $219,650 $50,000'** $569,650
MMP3: $150,000'*
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 1 of 4
Instructions: Enter an "X" to indicate the appropriate Phase, then assign the responsibility for each applicable Subphase task by
entering an "X" in either the NYSDOT column to allocate the task to State Labor Forces or a State Contract, or enter an "X" in the
other aoorooriate column to indicate a task allocated to Non-State Labor Forces or a Locally Administered Contract.
Allocation of Responsibili(y
PHASE/SUBPHASE
NYS DOT MUNlaPAUIY
X Al. Preliminary Engineerin§ ("PE") Phase
1. Soooina: Prepare and distribute all required project reports, including an Expanded Project X
Proposal (EPP) or $oopino Summary Memorandum (SSM), as appropriate.
2. Perform data collection and analysis for design, including traffic counts and forecasts, X
accident data, land usa and development analysis and forecasts.
3. Preliminary Desian: Prepare and distribute Design Repo~Design Approval Document X
(DAD), including environmental analysis/assessments, and other reports required to
demonstrate the completion of specific design subphasas or tasks and/or to secure the
approval/authorization to proceed.
4. Review and Circulate 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 extemal agencies.
5. Obtain aerial photography and photogrammetric mapping. X
6. Perform all sun~eys for mapping and design. X
7. Detailed Design: 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 bridge site date 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 criteria 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 resoumes 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 pro~lressed 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 Respo~sibillty
PHASE/$UBPHASE
NYS DOT MUa~PAU1Y
12. Conduct any required soils and other geological investigations. X
'1:3. 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, includin9 completion of Form HC-140, titled Preliminary Utility Work Agreement.
14. Determine the need and apply for any required permits, Including U. S. Coast Guard, U. $. X
Army Corps of Engineers, Wetlands (including identification and delinealJon of wetlands),
SPDE$, NY$DOT Highway Work Permits, and any permits or other approvals required to
comply with local laws, such as zoning ordinances, historic districts, tax assessment and
Special districts.
15. Prepare and execute any required agreements, including: X
- Railroad for~e account
- Maintenance agreements for sidewalks, lighting, signals, betterments.
- Betterment Agreements
- Utility Work Agreements for any necessary Utility Relocations of Privately-owned
Utilities.
16. Provide overall supervision/oversight of design to essure conformity with Federal and State X
design standards or conditions, including final approval of PS&E by NYSDOT
X A2. Right-of-Way (ROW) Incidentals
1. Prepare ARM or other mapping, showing preliminary taking lines. X
2. Prepare Right-of-Way (ROW) mapping. X
3. Obtain abstracts of title and certify those having an Interest In right-of-way to be X
acquired.
4. Secure Appraisals and perform Appraisal Review. X
5. Establish an amount representing just compensation. X
6. Determine whether any 'de minimus' or other exemption from public heating that would X
otherwise be required by the Eminent Domain Procedure Law is applicable. If NYSDOT is
responsible for acquiring the right-of-way, this determination may bo performed by
NYSDOT only if NYSDOT ts responsible for tho Preliminary Engineering Phase under
Phase Al of this Sohaduts B.
7. Conduct any public hearings and/or informational meetings as may be required by the X
Eminent Domain Procedures Law, and are not exempt from hearing requirements per
paragraph A2-6 above, including the provision of stenographic services, preparation and
distribution of transcripts, and response to issues raised at such meetin~ls.
8. Prepare a Table of Right-of-Way Acquisitions for inclusion in the Design Report. X
g. Prepare relocation plans, if required. X
Allocation of Responsibility
PHASE/SUBPHASE
NY$ DOT MUN~O~AU/Y
X B. Right of Way (ROW) Acquisition (for a Federal-aided pm]ecL 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. NYSDOT will monitor the ri~lht-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; Prapars, publish, and pay for any required legal notices; and all
other actions necessary to secure tiffs to, possession of, and entry to required properties. If
NYSDOT is to acquire property on behalf of the Municipality, the Municipality agrees fo accept
delivery of title to any and all permanent property dghts acquired for the project (other than any
rights of way acquired for a reverse betterment or other project InvoMng 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 NYSDOT 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 seffiements; 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 actions required to acquire X
properties.
4. Monitor all ROW Acquisition work and activities, including review and processing of X
payments to property 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
otherwise 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 usaa, satabllshment and
collection of rent, property 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
Allocation of Responsibility
PHASE/$UBPHASE
NY$ DOT MUNK:mAU'n'
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
ma}, 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-data project records and files, including all diaries 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 Cor~'~_"_!
Inspection reqs. of
such as bituminous concrete, Portland cement concrete, structural steel, concrete by contmc~'
structural elements and/or their components to be used In a federal aid project will be NYSDOT and subs.
performed by, and according to the requlrementa of, NYSDOT. The Municipality shall
make or require provision for such materials Inspection In any contract or subcontract
that Includes matarlals that are subject to Inspection and approval In accordance with
the applicable NYSDOT design and construction standards assoclatsd with the federal
aid project.
8. Design and/or re-design the project or any portion of the project that may be required X
because of conditions encountered during construction.
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 final acceptance of the project by NYSDOT.
EXHIBIT A
Work Requirements
The work of the project shall be performed in accordance with the following requirements:
1. The Sponsor shall comply with all applicable statutes,
permits, ordinances, rules and regulalions relative to the
development of the project including those for projects
which may have a significant effect on the environment
(e.g. the National Environmental Policy Act ("NEPA") and
State Environmenlal Quality Review Act, significant effect
on agricultural distiicts (Agriculture and Markets Law, Adicle
25AA), the preservation of historic structures, lhe quality of
water and polential for flood hazards and losses
(Environmental Conservation Law, Articles 8 and 36) and
certify such compliance in 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 to advedising for bids, one copy
each of the proposed contract, plans,
specifications and all related bidding documents
shall be submitted 1o NYSDOT for approval. The
bid invitation and the contract to be let shall
contain a statemenl that the contracl will be
awarded by the Sponsor subject to the approval
of NYSDOT.
2. Contract work with any person, firm, corporation or
agency, either governmental or private, to accomplish lhe
Project will be in accordance with applicable State and
Federal law. The contract between the Sponsor and ils
contractor(s) musl comply in every way with applicable
laws, rules, regulations. NYSDOT shall not be a party to any
such lhird party contract.
3. Plans, Specifications and Estimates FOR CONSTRUCTION
PROJECTS
aa
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 to
be designed and constructed, in accordance with
standards agreed to by NYSDOT under lhe
supervision of a professional engineer, or archilect
or olher professional as agreed to by NYSDOT.
Construction supervision work shall be performed
by lhe Sponsor or by contracl.
bo
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 receipl
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 State
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 with NYSDOT.
Adverfisemenl for competitively bid projects must
be placed in newspapers, bulletins, lrade journals
and/or minority publications for a minimum of
three weeks to insure free and open competition,
unless a differenl 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 labulation of up to six lowest.
3. Copy of the proposal signed by the
bidder selected for award of the
contract.
4. If the award is not to be made to
the lowest bidder, a statement of
explanation.
5. Bid.amount broken down by fiscal
shares.
6. Competitive bidding statement.
7. Recommendations for award.
8. Analysis of Iow bid, including
identification of unbalanced bids.
9. Certification of quantities of items
bid 25% or greater over the
estimate.
10. Non-collusive Bidding Ceditication.
11. Bidder Debarment History
Certification.
12, For contracts over $500,00O or as
otherwise required:
· Schedule of proposed DI~E
participation; and
· NYS Uniform Contracting
Questionnaire (CCA- I ).
4. As required by law, contract procurements shall be
based on competitive bidding, and shall be subject to the
EXHIBIT B
Record Keeping Guidelines
The following are the record keeping requirements for State reimbursement of Multi-Modal Funding-eligible Project
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 knowh 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 lend;
(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 supportin~l 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.
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, including 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 Projoct Costs. Eligible Project Costs
shall consist of costs within the Project Account
Cost Classifications that are approved by
8
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SAMPLE RESOLUTION BY MUNICIPALITY
(Multi Modal Program P[oject)
RESOLUTION NUMBER:
Authorizing the implementation, and funding in lhe firsl instance of the State Multi-Modal
Program-aid [and State administered federal program-aid] eligible costs, of a capital project,
and appropriating funds lherefor.
WHEREAS, a Project for the , P.I.N.
(the Project") is eligible for funding [under 11tie 23 U.S. Code, as amended, and ] New York
Slate's Multi-Modal Program administered by lhe NYS Department of Transpodation ("NYSDOT'); and
WHEREAS, the of desires to advance the Project by making a commitment of
advance funding of lhe non-local share and funding of the full local share of the costs of the Project; and
NOW, THEREFORE, the
Board, duly convened does hereby
RESOLVE, thai the
further
Board hereby approves the above-subject project; and it 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 it is further
of to pay in
.work for the Project
I~ESOLVED, that the sum of is hereby appropriated from
[or, appropriated pursuant to ] and made available to cover the cosl of
participation in lhe above phase of the Project; and il is further
· RESOLVED, that in the event the full federal and non-federal share costs of the pro/ecl exceeds the
amount appropriated above, th~ of shall convene as soon as possible 1o
appropriate said excess amount immediately upon the notification by the thereof,
and il 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 lhe of wilh
NYSDOT in connection with the advancement or approval of the Project and providing for the
administration of the Project and the municipalily's firsl inslance 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 filed with the New York State Commissioner of
Transportation by attaching il 1o any necessary Agreement in connection wilh the Project. and it is fudher
RESOLVED, this Resolution shall take effect immediately.
RESOLVED, that a Certified Copy of this Resolution be filed with the Commissioner of Transportation
of the State of New York by attaching il 1o any required and/or appropriate Agreements executed in
connection v~ith the project between and the State of New York; and it is further
RESOLVED, that this Resolulion 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 lranscripf of said original Resolution and of the whole thereof, as duly adopted
by said at a meeting duly called and held at lhe on
by the required and necessary vote of the members fo approve the Resolution.
WITNESS My Hand and the Official Seal of
,2000.
, New York, this day of
{Clerk, )
Clauses for NY$ Contracts A~end~x A
STANDARD CLAUSES FOR NYS CONTRACTS
The parties to the attached contract, license, lease, amendment or other agreement of any kind
(hereinafier, "the contract" or "this contract") agree to be bound by the following clauses which are
hereby made a part of the con~'act (the word "Contractor" herein refers to any party other then the State,
whether a contractor, licenser, licensee, lessor, lessee or any other par~y):
1. EXECUTORY CLAUSE. In accordance with Section 41 of the State Finance Law, the State shall have
no liability under this contract to the Conuactor or to anyone else beyond funds appropriated and available
for this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this
contract may not be assigned by the Contractor or its fight, title or interest therein assigned, transferred,
conveyed, sublet or otherwise disposed of without the previous consent, in writing, of the State and any
attempts to assign the contract without the State's written consent are null and void. The Contractor may,
however, assign its right to receive payment without the State's prior vaitten consent unless this cuntract
concerns Certificates of participation pursuant to Article 5-A of the State Finance Law.
3. COMPTROLLER'S APPROVAL. In accordance with Section 112 of the State Finance Law (or, if this
contract is with the State University or City University of New York, Section 355 or Section 6218 of the
Education Law), it'this contract exceeds $15,000 (or the rnlnim~m thresholds agreed to by the Office of the
State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any amount to
a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to give
something other than money 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 hns been approved by the State
Compu'oller and filed in his office. Comptroller's approval of contracts let by the Office of General Services is
required when such contracts exceed $30,000 (State Finance Law Section 163.6.a).
4. WORKERSt COMPENSATION BENEFI'IS. 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-DISCRlblINATION REQUIREMENTS. To the extent ~qnired by Article 15 of the Executive
Law (also known as the H~man Rights Law) and all other Stute and Federal statutory and constitutional non-
discrimination provisions, the Contractor will not discriminate against any employee or applicant for
employment because of raee, creed, color, sex, national origin, sexual orientation, age, disability, genetic
predisposition or carrier 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 manufacture, sale or disln'bntion 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 not its subcontractors shall,
by reason o£raee, 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 sem4ee conUact as
defined in Section 230 of the Labor Law, then, in accordance with 8eclion 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 Co) discriminate against or intimidate any employee hired for the performance of work under this cun~xact.
Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239
as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or
subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Labor
Law or a building service contract covered by Aa'ticle 9 thereof, neither Contractor's employees nor the
.. 'A-30
. Standard Clauses for NY$ Contraots 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 end as set forth in prevailing wage and
supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors
must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the
premium rates for overtime pay, as deten~ed by the State Labor Department in accordance with the Labor
Law.
7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordence 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 a~ived at independently and without collusion aimed at restricting.
competition. Contractor further warrants that, at the time Contractor submitted its bid, an authorized and
responsible person executed end delivered to the State a non-eollnsive biddIng certification on Contructofs
behalf.
8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-f of the Labor Law
and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a
material condition of the contract, that neither the Contractor nor eny substantially owned or affiliated pe~on,
faro, partnership or corporation has participated, is participating, or shall participate in an international
boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or
regulations thereunder. If such Contractor, or any of the afer~tid affiliates of Contractor, is convicted or is
othetwisu 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 con,s'aces
execution, such conh"aet, 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 statutoc~' fights of set-off.
These rights shall include, but not be limited to, the State's option to withhold for the proposes 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 con,ct with any State deperlment or agency, including any contract for a term
commencing prior to the term of this conU'act, pins eny amounts due end 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--offpursuant 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,
docomenis, accounts and other evidance directly pertinent to performance under this contract (hereinaltcr,
collectively, "thc 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 alter final payment, whichever is later. The
State Comptroller, the Atterncy 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 thc Records during normal
business hours at en office of the Contractor within thc 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 eny
of the Records which are exempt fi.om disclosure under Section 87 of the Public Officers Law (the "Statute")
provided that: (i) the Contractor shall timely inform en appropriate State official, in writing, that said records
should not be disclosed; end (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, thc State's right to discovery in eny pending or future litigation.
11. IDENTIFYING INFORblATION AND PRIVACY NOTiglCATION. (a) FEDERAL EMPLOYER
IDEI~fIFICATION NUMBER and/or FEDERAL SOCIAL SECURI'I~ NUMBER. All invoices or New
York State standard vouchers submiffed for payment for th~ sale of goods or services or the lease of real or
~A-31
Standard Clauses for NY$ Contracts A~pe~d4~ A
personal property to a New York State agency must include the payee's identification number, i.e., the sellcPs
or lessors identification number. The number is either the payee's Federal employer identification number or
Fede~l social ~eenrity number, or both such numbers when the payee has both such numbers. Failure to
include this number or nttmbers may delay payment. Where the payee does not have such number or numbers,
the payee, on i~ 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, end the authority to maintain such information, is
found in Section 5 of the State T0x 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 end others who have been delinquent in filing tax returns or may have uaderstated their
tax liabilities end to generally identify persons affected by the taxes administered by the Commissioner of
Taxation end Finence. The information will be used for tax administration purposes end for eny other purpose
authorized by law.
(2) The personal information is requested by the purchasing unit of the agency conUacting to purchase the
goods or services or lease the renl'or pe~onal property covered by ~ con~'act 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, Albeny, New York 12236.
12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN. In accordance
with Section 312 of the Executive Law, if this contract is: (i) a written agnmment or purchase order
instrument, providing for a total expenditure in excess of $25,000.00, whereby a conUacfing agency is
commiued to expend or does expend funds in return for labor, services, supplies, equipment, materials or any
combination of the foregoing, to be performed for, or rendered or furnished to the contracting agency;, or (h') a
written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend or does
expend funds for the acquisition, consm~ction, demolition, replacement, major repair or renovation of real
property and improvements thereon; or (iii) a written agreement in excess of $100,000.00 whereby the owner
cfa 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 improvement~ thereon
for such project' then:
(a) The Conh'actor will not discriminate against employees or applicants for employment because of race,
creed, color, national origin, sex, age, disability or marital .status, end will undertake or continue existing
programs of affirmative action to ensure that minority group members and women are afforded equal
employment opportunities without discrimination. Affunmtive action shall meen recruitment' employment,
job assignment, promotion, upgradings, demotion, transfer, layoff, or termination end rates of pay or other
forms of compensation;
(b) at the request of the conttucting agency, the Contractor shall request each emp, loyment agency, labor
union, or authorized representative of workers with which it has a collective bargaining or other agreement or
understanding, to furnish a written statement that such employment agency, labor union or representative will
not discriminate on the basis of race, creed, color, national orion; sex, age, disability or marital status and that
such union or representative will affirmatively cooperate in the implementation of the con~ractofs obligations
herein; and
(c) the Contractor shall state, in all solicitations or advertisements for employees, that, in the performance of
the State conWact, all qualified applicents will be afforded equal employment opportunities without
discrimination because of race, creed, color, national origin, sex, age, disability or marital status.
Contractor will include the provisions of "a", "b", and "c" above, in every subcoatnct over $25,000.00 for the
construction, demolition, replacement' major repair, movation, pla..f.~ or design of real propezty end
improvements thereon (the "Work") except wbe~ the Work is for the beneficial use of th~ Contractor. Section
312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii) employment outside New
York State; or (iii) banking services, insurance policies or the sale of securities. The State shall consider
.. ~A-32
Standard Clauses for NY$ Contracts A~endix A
compliance by a cona'ector or subcontractor with the requirements of any federal law concerning equal
employment opportunity which effectuates the purpesc of this section. The contracting agency shall detonnine
whether the imposition of the reqni~ments of the provisions hereof duplicate or conflict with any such federal
law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section
312 to the extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful
rules and regulations of the Empire State Development Corporation's Division of Minority- and
Women-owned Business Development (MWBD) pertaining hereto.
13. CONFLICTING TERMS. In the event of a conflict between the terms of the contract (including any and
all attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of this Appendix
A shah 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 11-A of the State Finance Law to the extent required by law.
16. NO ARBITRATION. Disputes involving this con~ract, including the breach or alleged breach thereof,
may not be submitted to binding arbitration (except where statuto~ily authorized), but must, instead, be heard
in a court of competent jurisdiction of thc State of New York.
17. SERVICE OF PROCESS. In addition to the methods of service allowed by the State C/vii Practice Law
& Rules ("CPLR"), Conlractor hereby consents to service of process upon it by registered or certified mail,
remm receipt requested. Service hereunder shall be complete upon Contractor's actual receipt of process or
upon the State's receipt of the return thca~eof by the United States Postal Service as refused or undeliverable.
Contractor must promptly notify thc State, in writing, of each and every chango of address to which service of
process can be made. Service by the State to the last known address shall be sufficient. Conlractor will have
thirty (30) calendar days alter service hereunder is complete in which to respond.
18. PROHIBITION ON PURCtIASE OF TROPICAL HARDWOODS. The Cona-actor 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 cmporation. Qualification for an exemption
under this law will be the responsibility of the contractor to establish to meet wi~h the approval of the State. In
addition, when any pot*inn of this contract involving thc use of woods, whether supply or installation, is to be
performed by any subcontractor, the prime Contractor will 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 Law. Any such use must meet with the approval
of the State; otho'wise, the bid may not be considered responsive. Under bidder certifications, proof of
qualification for exemption will be the respous~ility of the Contractor to meet with 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 fi.om 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 signlng a contract with the State), if known, thc names and addresses of
each subcontractor and a list of all manufacturing plants to be utilized by the bidder.
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1313
X
I
1,1,1
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 transportation projects in New York State
to which NYSDOT provides federal highway or transportation aid. Through thisAgreement, which provides or
is associated with such funding, NYSDOT delegates various elements of project and funding adminislrallon 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 er 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/Iocalpro~local.html). In addition, t he Municipality, Authority, Sponsor or
Project Manager designated under this Agreement with federal aid funding er project administration that
enters federally aided project constnJction contracts is requi~ed 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://www.fhwa.dot..qov////pro,qramadmin/contracts/1273.htm).
In addition to the referenced requirements, the attention of Municipality or Sponsor hereunder is directed to the
following requirements and information:
Non DiscriminationlEEOIDBE/MBE Requirements
The Municipality or Sponsor and its contractors agree to comply with Executive Order 11246, entitled "Equal
Employment Opportunity" and Department of Transportation regulations (49CFR Parts 21, 23, 25, 26 and 27)
and the following:
Non Discrimination. No person shall, on the ground of race, color, creed, national origin, sex, age er
handicap, be excluded from participation in, or denied the benefits of or be subject to discrimination
under the Project funded through this Agreement..
Equal Employment Opportunity. In connection with the execution of this Agreement, the Municipality's
er Sponsor's contractors or subcontractors shall not discriminate against any employee er 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 (x' age. Such
actions shall include, but not be limited to, the following: employment, upgrading, demotion er
transfer; recruitment or recruitment advertising; layoff or termination; rates of pay er other forms of
compensation; and selection for training, including apprenticeship.
Disadvanta,qed 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 com ply with Section 105(f) of the Surface Transpodation Assistance Act of 1982, as
implemented in 49CFR Part 23.
~A-35
In addition, the Municipality or Sponsor (also referred to as "recipients" below) shall cause Such contractom and subcontractors
to agree to abide by the statements in paragraphs (1) and (2) below. These statements are, by reference, made part of this
Agreement and must be included in all subsequent agreements between the Contractor and any subcontractor and in all
UMTA-assisted contracts between recipients or subrecipients and any contractor.
(1)
(2)
"Policy. It is the policy of the Department of Transportation that minodty business enterprises as defined in 49CDF
Part 23 shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part
with Federal funds under this agreement. Consequently, the MBE requirements of 49CFR Part 23 apply to this
Agreement."
"MSE Obligation. The recipient or its contractor agrees to ensure that minority business enterprises as defined in
49CFR Part 23 have the maximum opportunity to participate in the performance of contracts and subcontracts
financed in whole or in part with Federal funds provided under this agreement. In this regard, all recipients or
contractors shall take all necessary and reasonable steps in accordance with 49CFR Part 23 to ensure that minority
business enterprises have the maximum opportunity to compete for and perform contracts. Recipients and their
contractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of
DOT-assisted contracts."
Federal Single Audit Requirements
Non-Federal entities that expend $300,000 or more in a year in Federal awards from all sources ara required to comply with the
Federal Single Audit ACt provisions contained in U.S. Office of Management and Budget (OMB) Circular No. A-133,"Audits of
States, Local Governments, and Non-Profit Organizations". Non-Federal entities that expend Federal awards from a single
soume may provide a program specific audit, as defined in the Circular. Non-Federal entitles that expend less than $300,000 in
a year in Federal awards from all soumes are exempt from Federal audit requirements for that year, except as noted in
~.~52.215(a), but records must be available for review or audit by appropriate officials of the Federal agency, the New Yo~
State Department of Transportation, the New York State Comptroller's Office and the U.S. General Accounting Office (GAO)~
Non-Federal entities are required to submit a copy of all audits, as described above, within 30 days of issuance, to the Now
York State Department of Transportation, Contract Audit Bureau, 1220 Washington Avenue, Albany, NY 12232.
Catalog of Federal Domestic Assistance ("CFDA') Identification Number
OMB Circular A-133 as to Federal-aid recipients responsibilities regarding identification and accounting for awards and
expenditures by CFDA Number.
The municipal project sponsor is required to identify in its accounts all Federal awards received and expended, and the Federal
programs under which they were received. Federal program and award identification shall include, as applicable, the CFDA
title and number, award number and year, name of the Federal agency, and name of the pass-through entity.
The CFDA number for the Federal-aid Highway Planning and Construction program is 20.205.
.. ~A-36