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HomeMy WebLinkAboutMulti-Modal Program - PRELIMINARYRESOLUTION 2009-338 ADOPTED DOC ID: 4954 THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 2009-338 WAS ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON APRIL 21, 2009: WHEREAS, a Project for the installation of flashing school zone signage for the Mattituck- Cutchogue School District with speed indicator signs, P.I.N. #OMA140.30A (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 of Southold 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 of the Prqject. NOW, THEREFORE, the Town Board of the Town of Southold, duly convened be it RESOLVED that the Town Board of the Town of Southold hereby approves the above subject Project; and it is further RESOLVED that the Town Board of the Town of Southold hereby authorizes the Town of Southold to pay in the first instance 100% of the federal and non-federal share of the cost of the installation of the flashing beacon work for the Project or portions thereof; and it is further RESOLVED that the sm of $95,000 is hereby appropriated from the Traffic Control Budget in the General Fund and made available to cover the cost of participation in the above phase of the Project; and it is further RESOLVED that in the event the full federal and non-federal share costs of the Project exceeds the amount appropriated above, the Town of Southold shall convene as soon as possible to appropriate said excess amount immediately upon the notification by the New York State Resolution 2009-338 Board Meeting of April 21, 2009 Department of Transportation thereof; and it is further RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs Supervisor Scott A. Russell to execute all necessary Agreements, certifications or reimbursement requests for Federal Aid and/or Multi-Modal Program Funding on behalf of the Town of Southold with the New York State Department of Transportation 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 filed with the New York State Commissioner of Transportation by attaching it to any necessary Agreement 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 between the Town of Southold and the State of New York; and it is further RESOLVED that this Resolution shall take effect immediately. Elizabeth A. Neville Southold Town Clerk RESULT: ADOPTED[UNANIMOUS] MOVER: Louisa P. Evans, Justice SECONDER: Thomas H. Wickham, Councilman AYES: Ruland, Orlando, Krupski Jr., Wickham, Evans, Russell Updated: 4/21/2009 11:35 AM by Lynne Krauza Page 2 Universal Multi-Modal Capital Project Agreement (UnivMM)) Town of Southold: PROJECT ID NUMBER:OMA140.30A BIN: MULTI-MODAL PROGRAM CAPITAL PROJECT AGREEMENT COMPTROLLER'S CONTRACT NO. D0275116 THIS AGREEMENT made this I day of ~ ¢~.~ , 200~, is by and between: the New York State Department of Transportation ("NYSDOT"), having its principal office at 50 Wolf Road, Albany. New York 12232 and the Town of Southold, with offices at P.O. 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 bddge capital project(s), as more fully described for the purposes of this contract in Schedule(s) A hereof Install Flashing school zone signage for the Mattituck School District. The amount of NYSDOT'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. WITNESSETH: 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 NYSDOT 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 layoul 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 Check here if State-administered Federal Aid applicable (Cannot apply to aviation or to provide the non- federal matching share of highway/bridge mode 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, NYSDOT 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 Universal Multi-Modal Capitol Project Agreement (UnivMM)) Town of Southold: PROJECT ID NUMBER:OMA140.30A BIN: 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: · Agreement Form - this document titled "Multi-Modal Program Capital Project Agreement"; · Schedule "A" - Project Description, Funding and Development Schedule; · Schedule "B" - Scope of Work · EXHIBIT A - Work Requirements · EXHIBIT B - Record Keeping Guidelines · EXHIBIT C (as applicable) - Consultant Selection Procedures · Appendix "A" - New York State Required Contract Previsions · Local Resolution(s) - duly adopted municipal or, as applicable, corporate resolution(s) 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 therefore. 1.1 For State administered Federal Aid projects (not applicable to airporfs, aviation facilities or road, highway, parkway or bridge projects) that include federal funding under this Agreement, the Agreement shall also include: · Appendix "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 cetegodes 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 Useful Life of Preject. Sponsor warrants that the useful life of the project is not less than ten (10) years. 2.2 Operation and Maintenance of Project. Upon Project completion, sPonsor will operate and maintain the Project at no expense to NYSDOT and, during the useful life of the Project according to federal guidelines, Sponsor shall not discontinue operation of the Project without the prior written approval of NYSDOT. 2.3 Disposition or Encumbrance of Preject. Sponsor will not dispose of or encumber the Project or cause the Project to be withdrawn from public service during its useful life without the prior approval of NYSDOT, which approval is reserved for the purposes of assuring compliance with: (1) NYSDOT 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. 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. MunicipalDeposit. Where work is performed by consultant or construction contract entered by NYSDOT, 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. Universal Multi-Modal Capital Project Agreement (UnivMM)J Town of Southold: PROJECT ID NUMBER:OMA140.30A BIN: 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 5.2 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 pementage designated in Schedule A 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. Multi-ModalAid. NYSDOT will: (a) for Multi-Modal Program 1 ("MM#1" in Schedule A) funding, request Thruway Authority reimbursement to the Sponsor or, for State administered State highway system projects to NYSDOT; and/or, (b) for Multi-Modal Program 2 & 4 ("MM#2" and "MM#4" 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 5.2.2 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). 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 Description in Schedule A. Sponsor may also use State-aid 5.2.2 hereunder for the reimbursement of salaries and wages to employees of Sponsor for carwing out the Project; fees to consultants and 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 Authority of the State of New York (DASNY) obligations issued to finance the Multi-Modal program. 5.3 Other Slate-Aid. Subject to the terms of applicable appropriations and statutes associated with State-aid for the Project provided through this Agreement, NYSDOT 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. 3 Universal Multi-Modal Capital Projecl Agreement (UnivMM)) Town of Southold: PROJECT ID NUMBER:OMAI40.30A BIN: 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 of duly completed payment requests and Certifications in a form approved by NYSDOT, including such information, as NYSDOT 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 the 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 Administration or Federal Aviation Administration. These payments shall be made as moneys become available therefor. 6.3 Sponsor Certifications. The Sponsor will certify in each payment request that: (i) Project work was performed in accordance with the 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 request does not duplicate reimbursement of costs and services received from other sources. Records and Accounts. Sponsor shall maintain accurate records and accounts of all financial transactions ~vhich shall show in detail all income and all expenditures, including but not limited to, payments for Eligible Costs. Such records and accounts shall include, without limitation, property, personnel and financial records, cash receipts and disbursements journal and general subsidiary ledgers. All records and accounts shall be 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 right to 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. 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 Officers) 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 necessary for the accomplishment of the Project. In such event, Sponsor shall disclose such relationship to NYSDOT and shall obtain prior written approval therefor from NYSDOT. 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 NYSDOT 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 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 maintenance and operation of the Project facilities and equipment for the purpose of providing safe and efficient transportation Universal Multi-Modal Capital Project Agreement (UnivMM)) Town of Southold: PROJECT ID NUMBER:OMA140.30A BIN: 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 NYSDOT. 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. Inspectibn and Audit. Sponsor shall permit the authorized representative of NYSDOT and/or the New York 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 14.2 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. 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 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 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 of 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 tod, 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 Transfer of Contract. Sponsor agrees not to assign, transfer, convey, sublet or otherwise 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 NYSDOT 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 for any right or privilege applicable to an officer or employee of the State, including, but not limited to, Workers' Compensation coverage, Unemployment Insurance benefits, Social Security or Retirement membership or credit. Universal Multi-Modal Capital Project Agreemenl (UnivMM)) Town of Southold: PROJECT ID NUMBER:OMA140.30A BIN: 18. Di~qua~i~cati~nandDamages~fthesp~ns~rfai~st~c~mp~yc~mp~ete~ywithany~fthetermsandc~nditi~ns contained within this agreement, including, but not limited to paragraphs 2, 11 and 16, in their entirety at any time, the project shall be disqualified. If the project is disqualified the Sponsor must refund all funds received under this agreement to NYSDOT, and also pay to NYSDOT a liquidated damage fee of 5% of the total funds received under this agreement. 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 to the Project and phase(s) established in any duly executed and approved supplemental Schedule(s) A as of the date of such supplemental Schedule(s) A. This agreement shall remain in effect so long as 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 availabilities. 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 itself be construed to lapse this agreement, provided any necessary federal or State appropriations or other funding authorizations therefor are eventually enacted. 20. Appendix A, standard previsions for all New York State Contracts, is attached hereto and is hereby made a part of this agreement as if set forth fully herein. Jniversal Mu ti-Modal Capital Project Agreement lUnivMMproj.doc) MUNICIPALITY: PROJECT ID NUMBER: 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:__~~~__~ TITLE: _.~c4,, ~) f~,/~ O' ~..F (D~ DATE: ~- i ~ 0 ~ D oa75-1G NY.< DEF ~RTMFNT OF TRANSPORYAT BY: f dation D AT E: ~_.j~j..y__~ ~j ~ Agency ¢ ~i~ifJ~alJ~'n:'l'n ~ to the acceptance of this contrac] I also cerlily thai original copies of this signarure page will oe oHachea to aJJ other exact copies of ibis contract. Sponsor ACKNOWLEDGMENT STATE OF NEW YORK ) COUNTYOF ._~ CJL~-~O ~,~ ~ ) BY: For the NY$ to Section On th,s /" day to me known, who being by m~dL~ sworn dM depose and say th~ he/she resides at - that he/s~e is the --~_-~]jZ~_~ U t~ F ~ of the Sponsor described in and which executed the above instrument; that he/she was authorized/to e~ecute the document on behalf of said Sponsor pursuant to a resolution whicl~ was duly adopted on ~7 / [~ ? and to which a certified copy is attached and made a part hereof. LINDA J COOPER , NOTARY PUBLIC, State of New Yot~ NO. 01CO4822563, Suitolk Count Term Expires December 31, APPROVED DEPT. OF JUN t 0 ~lotary Pub~i~ APPRO~- ..... '-~n,'~: r UENERAL BY: / JUN O1 211119 NYS fAttorney General ~SSOC~A~ XCr~6~y ........ UNIVERSAL MULTI-MODAL PROJECT Multi-Modal Project Agreement - Schedule A Instruction: One Schedule may be used for all Phases Project Commencement Date: 11/08 OSC Contract # D027516 Project Completion Date: 12/13 Page 1 of 2 AGREEMENT PURPOSE: r~x MAIN (Master) Agreement [] SUPPLEMENTAL Agreement or Schedule AGREEMENT COVERS (Check all boxes that apply as shown in area below): [] Multi-Modal (MM) Program #1 (MM#l) [] MM#2 [] MM#3 X MM#4 [] Multi-Modal Program #1, 2, 3 or 4 & other State Funding [] Multi-Modal Program #1, 2, 3 or 4 & Federal Aid [] Multi-Modal Program #1,2, 3 or 4 & other State Funding & Federal Aid PROJECT TYPE (Check only one box below): [] Rail [] Port [] Aviation []State System Highway/Bridge X Local Highway/Bridge [] Fixed Ferry Facility PROJECT ID NUMBER:OMA140.30A MULTI-MODAL ID NUMBER: 4 Project: Install flashing school zone signage for the Mattituck School District Location: Mattituck Project Owner/Operating & Maintenance Responsibility: Town of Southold Type of Organization: X Municipality [] Railroad Corporation [] Business Corporation [] Public Authority [] Not-for-Profit Corporation [] Transportation Corporation [] Educational Corporation [] Partnership [] Proprietorship [] Other (list): [] Tax-exempt Check Project Phases Covered by this Agreement: [] P.E./Design [] ROW Incidentals [] Acquisition X Construction, C/I, & C/S List all APPLICABLE 6 or 9-digit PIN Fiscal Shares eligible for Multi-Modal funding (e.g., 123456.121; 123456.122): Work Type(s): other- install flashing school zone 7 speed indicator signs A. Legislatively Approved Multi-Modal Funding in Memorandum of Understanding Reference or, if DESCRIPTION Maximum Authorized applicable, List Project Multi-Modal Funding Amount Identification Number Install flashing school zone signage for the Mattituck OMA140.30A School District, with speed indicator signs $95,000 TOTAL $95,000 Multi-Modal Project Agreement - Schedule A Page 2 of 2 P.. Summary of Approved Multi-Modal & Other Eligible Costs UNDER THIS CONTRACT Number List Eligible FEDERAL AID STATE OTHER STATE LOCAL TOTALS Funding Funding MULTI-MODAL Funding Funding Share(s) (If Applicable) Funds (If Applicable) (If Applicable) by applicable Project ID Number or PIN UU~4 $ $95,000 $ $ $95,000 TOTAL ELIGIBLE $ $95,000 $ $ $95,000 COSTS C. Summary of Project Costs NOT Under this Contract #, if any (For Information Purposes Only) List any List any List Name of Fund List any other other SOURCE Type other FEDERAL Funding or (e.g., Other MM1, MM2, Fiscal Share(s) MM3, MM4, 100% Local STATE or by Expenditure, Other State Funding NON-STATE TOTALS Project ID Source (e.g. Member Item, Amounts (Local) CHIPS, etc.), Public Funding Number or PIN Authority, Private, Utility, (If applicable) Other Federal Aid Category?) Amounts $ TOTAL Other Costs: $ $ D. TOTAL PROJECT COST SUMMARY (all Section "B" + "C" funding listed above TOTAL FEDERAL AID (if applicable) TOTAL MULTI-MODAL STATE SHARE(S) TOTAL LOCAL SHARE TOTAL OTHER AID (including any other State Aid) TOTAL FUNDING (all sources) I$ I $95,000 I $ Footnotes: · For Airport/aviation projects, attach Project Location Map. Project is: [] part of an approved airport layout plan, OR [] consistent with an approved airport layout plan $95,000 SCHEDULE B: Construction Project Type Phases, Subphasesrrasks, and Allocation of Responsibility Page 1 of 4 Instructions: Enter an mX" 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 appropriate column to indicate a task allocated to Non-State Labor Forces or a Locally Administered Contract. Allocation of Responsibility PHASE/SUBPHASE NYS DOT MUNICIPALITY __ Al. Preliminary Engineering ("PE") Phase 1. Scopin.q: Prepare and distribute all required project reports, including an Expanded Project Proposal (EPP) or Scoping Summary Memorandum (SSM), as appropriate. 2. Perform data collection and analysis for design, including traffic counts and forecasts, accident data, land use and development analysis and forecasts. 3. Preliminary Desiqn: Prepare and distribute Design Report/Design Approval Document (DAD), including environmental analysis/assessments, and other reports required to demonstrate the completion of specific design subphases or tasks and/or to secure the approval/authorization to proceed. 4. Review and Circulate all project reports, plans, and other project data to obtain the necessary review, approval, and/or other input and actions required of other NYSDOT units and external agencies. 5. Obtain aerial photography and photogrammetric mapping. 6. Perform all surveys for mapping and design. 7. Detailed Desi.qn: Perform all project design, including preparation of plan sheets, cross- sections, profiles, detail sheets, specialty items, shop drawings, and other items required in accordance with the Highway Design Manual, all Highway Design (including pavement evaluations, taking and analyzing cores; design of pavement mixes and applications procedures), preparation of any necessary bridge 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 criteria will apply to rail work. 8. Perform landscape design (including erosion control). 9. Design environmental mitigation, where appropriate, in connection with: Noise readings, projections, air quality monitoring, emissions projections, hazardous waste, asbestos, determination of need for cultural resources survey. 10. Prepare demolition contracts, utility relocation plans/contracts, and any other plans and/or contract documents required to advance, separately, any portions of the project which may be more apprepriately progressed separately and independently. 11. Compile PS&E package, including all plans, proposals, specifications, estimates, notes, special contract requirements, and any other contract documents necessary to advance the project to construction. 12. Conduct any required soils and other geological investigations. Allocation of Responsibility PHASE/SUBPHASE NYS DOT MUNICIPALITY 13. Obtain utility information, including identifying the locations and types of utilities within the project area, the ownership of these utilities, and prepare utility relocation plans and agreements, including completion 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. $. Army Corps of Engineers, Wetlands (including identification and delineation of wetlands), SPDES, NYSDOT Highway Work Permits, and any permits or other approvals required to comply with local laws, such as zoning ordinances, historic districts, tax assessment and special districts. 15. Prepare and execute any required agreements, including: -- Railroad force account -- Maintenance agreements for sidewalks, lighting, signals, betterments. -- Betterment Agreements -- Utility Work Agreements for any necessary Utility Relocations of Privately-owned Utilities. 16. Provide overall supervision/oversight of design to assure conformitywith Federal and State design standards or conditions, including final approval of PS&E by NYSDOT A2. Right-of-Way (ROW) Incidentals 1. Prepare ARM or other mapping, showing preliminary taking lines. 2. Prepare Right-of-Way(ROW) mapping. 3. Obtain abstracts of title and certify those having an interest in right-of-way to be acquired. 4. Secure Appraisals and perform Appraisal Review. 5. Establish an amount representing just compensation. 6. Determine whether any ~de minimus" or other exemption from public hearing that would 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 A1 of this Schedule B. 7. Conduct any public hearings and/or informational meetings as may be required by the 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 meetings. 8. Prepare a Table of Right-of-Way Acquisitions for inclusion in the Design Report. 9. Prepare relocation plans, if required. 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 Preperty Acquisition PolicyAct of 1970, as amended. NYSDOT will monitor the right-of-way activities for compliance.) 1. Perform all Right-of-Way (ROW) Acquisition work, including negotiations with property Allocation of Responsibility PHASE/SUBPHASE NYS DOT MUNICIPALrEY owners, acquisition of properties and accompanying legal work, payments to and/or deposits on behalf of property owners; Prepare, publish, and pay for any required legal notices; and all other actions necessary to secure title to, possession of, and entry to required properties. If NYSDOT is to acquire property on behalf of the Municipality, the Municipality agrees to accept 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 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 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. 3. Conduct condemnation proceedings, court, and any other legal actions required to acquire properties. 4. Monitor all ROW Acquisition work and activities, including review and processing of payments to property owners. 5. Provide right-of-way Clearance Certificate at appropriate time prior to construction. 6. Conduct property management activities, including establishment and collection of 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 activities in a manner consistent with applicable Federal, State and local requirements including, as applicable, the development of any ancillary uses, establishment and collection of rent, property maintenance and any other related activities. C. Construction ©, Supervision (C/S) and Inspection (C/I) Phase 1. Advertise contract lettings and distribute contract documents to prospective bidders. 2. Conduct all contract lettings, including receipt, opening, and analysis of bids, 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 may be required. 4. Compile and submit Contract Award Documentation Package. 5. Review and approve any proposed subcontractors, vendors, or suppliers. Allocation of Responsibility PHASE/SUBPHASE NYS DOT MUNICrPALITY 6. Conduct and control all construction activities in accordance with the plans and proposal for the project. Maintain accurate, up-to-date project records and files, including all diaries and logs, to provide a detailed chronology of project construction activities. Procure or provide ail 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 contractor 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 requirements 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 re-design the project or any portion of the project that may be required because of conditions encountered during construction. 9. Administer construction contract, including the review and approval of all contractor 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 work. 11. Administer all construction contract claims, disputes or litigation. 12. Perform final inspection of the completed work to determine and verify final quantities, 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. IBIT A 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 regulations relative to the development of the project including those for projects which may have a significant effect on the environment (e.g. the National 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 in a form acceptable to NYSDOT. Contract work with any person, firm, corporation or agency, either governmental or private, to accomplish the Project will be in accordance with applicable State and Federal law. The contract 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. Plans, Specifications and Estimates FOR CONSTRUCTION PROJECTS As may be required by NYSDOT and for all federal-aid projects: (i) 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 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 contract. 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 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. 4. As required by law, contract procurements shall be based on competitive bidding, and shall be subject to the approval of NYSDOT, in the following manner: As may be required by NYSDOT and for all federal-aid projects, prior to advertising for bids, one copy each of the proposed contract, 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 to the approval of 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 advedising for bids. 2. Certification of all bids received with tabulation of up to six lowest. 3. Copy of the proposal signed by the bidder selected for award of the contract. 4. If the award is not to be made to the lowest bidder, a statement of explanation. 5. Bid amount broken down by fiscal shares. 6. Competitive bidding statement. 7. Recommendations for award. 8. Analysis of Iow bid, including identification of unbalanced bids. 9. Certification of quantities of items bid 25% or greater over the estimate. 10. Non-collusive Bidding Certification. 11. Bidder Debarment History Certification. 12. For contracts over $500,000 or as otherwise required: · Schedule of proposed DBE participation; and · NYS Uniform Contracting Questionnaire (CCA-1). EXHIBIT B Record Keeping Guidelines The following are the record keeping requirements for State reimbursement of Multi-Modal Funding-eligible Project costs: 1. Project Account Cosf 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 supportinq 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. Eligible Project Costs. Eligible Project Costs shall consist of costs within the Project Account Cost Classifications that are approved by 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 suppoded 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. 5. 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. 6. 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. EXHIBIT C Consultant Selection Procedures UnleSs alternative procedures are approved by NYSDOT, the municipality/Sponsor will employ the following procedures for the selection of any consultant to perform work on their project. The procedures listed below apply to the procurement of professional services. As shown, differentiations are made at certain stages between architectural/engineering/land surveying (collectively referred to as "NE") services, and other ("non-NE") professional services. In addition, the procedures outlined for NE services only apply to those services with a total dollar value greater than $25,000. For NE services valued less than $25,000, the non-NE procedures may be followed. If there is a question as to which procedure is applicable for a given project, the municipality/Sponsor should contact the Local Consultant Selection Coordinator, Contract Management Bureau, NYSDOT, for guidance prior to the initiation of procurement activities. For illustrative purposes, the procedures below assign functional responsibilities and titles for the various steps. The municipality/Sponsor may substitute their own functional equivalents for these titles, but no substantive changes in the procedure may be made without prior written approval from NYSDOT. ACTION/TASK PERFORMED BY ACTION/TASK Municipality/Sponsor Requiring Consultant Assign a Project Manager (PM) to coordinate and oversee all procurement and consultant activities. Project Manager 2. Prepare a service contract requirement package. The package should include the following: (a) a scope of services describing in detail the services to be performed; (b) a schedule for completion of critical tasks in the project; (c) an estimate of the value of the services to be provided, including anticipated staff hours, overhead, profit, and non-salary costs; (d) all other technical data that may be included in the solicitation for professional services, such as minimum qualifications or requirements, maps, plans, etc. Designate at least three (3) individuals to serve on a consultant selection committee. Committee members should be familiar with the project and/or knowledgeable in the field of professional services being solicited. 4. Assign a contract number to the assigned contract, (if available, this can be the Project Identification Number (PIN) assigned to the project by NYSDOT). Project Manager Project Manager and Selection Committee Project Manager Contact NYSDOT to discuss proposed procurement methodology to insure that proper procedures are understood for the type of services to be procured. Discuss desirable qualifications of consultant, and establish selection criteria to be utilized in the evaluation of consultant proposals or Expressions of Interest (EOl's). Establish relative weights for each criteria based upon its relative importance to the committee. Examples of commonly used selection criteria include: experience of firm with similar projects; experience of proposed staff with similar projects; experience with municipality/Sponsor; reasonableness of proposed approach and schedule; familiarity with area; etc. COST AND PRICING IS NOT ALLOWED AS A SELECTION CONSIDERATION FOR NE PROCUREMENTS WITH A VALUE OVER $25,000. COST AND PRICING INFORMATION CAN BE UTILIZED FOR NON-NE PROCUREMENTS AND FOR NE PROCUREMENTS WITH A CONTRACT VALUE LESS THAN $25,000. Establish Disadvantaged Business Enterprise (DBE) participation goals, if appropriate. FOR NE PROJECTS Prepare a Request for Qualifications (RFQ) package to be sent to all prospective consultants. The RFQ must include the following: (a) a project identification number and indication that the project is federally funded; (b) a statement of the work to be performed; (c) the anticipated project schedule; (d) an estimate of the total project cost; (e) selection criteria, listed in order of decreasing importance (do NOT include criteria weights); (f) DBE requirements, if any; (g) material to be submitted in the Expression of Interest and desired format of submission; (h) number of copies of EOI to be sent, EOI due date, and address where EOl's should be mailed; (i) name, address, and phone number of contact person; (j) any additional project information that may be useful to the consultants in their EOI preparation (ie: availability of plans or maps for inspection, time and date of any planned site tours, etc.); (k) a statement indicating that responding firms must be licensed to practice engineering in New York State. THERE MUST NOT BE ANY REQUEST FOR COST OR PRICING INFORMATION IN THE RFQ. FOR NON-NE PROJECTS Prepare a Request for Proposals (RFP) package to be sent to all prospective consultants. The RFP must include the following: (a) a project identification number and indication that the project is federally funded; (b) a statement of the work to be performed; (c) the anticipated project schedule; (d) an estimate of the total project cost; (e) selection criteria, listed in order of decreasing importance (do NOT include criteria weights); (f) DBE requirements, if any; (g) material to be submitted in the proposal and desired format of submission; (h) number of copies of proposals to be sent, proposal due date, and address where EOl's should be mailed; (i) name, address, and phone number of contact person; (j) any additional project information that may be useful to the consultants in their proposal preparation (ie: availability of plans or maps for inspection, time and date of 'any planned site tours, etc.); (k) a cost proposal consisting of a lump sum/specific hourly rate for performing the work as outlined in the RFP. Each cost proposal should contain the following elements: (1) Salaries - A salary schedule listing descriptive job tiUes for the staff to be assigned to the project and their present hourly rates; (2) Non-Salary Costs - A direct non-salary cost schedule shall list all out-of-pocket expenses expected to be incurred during the performance of the project. Travel, meals, and lodging shall be limited to the prevailing maximum rates as established by the NYS Comptroller, (available from NYSDOT Contract Management Bureau); (3) Cost Summary- A final schedule that summarizes the direct labor, overhead rate, fixed fee (profit), and direct non- salary costs for the project. Project Manager Make all necessary arrangements for advertisement of the RFQ/RFP. Advertisements must be for one day in the New York State Contract Reporter, except for projects located in the metropolitan New York City area, which must be advertised in the New York State Contract Reporter AND/OR the New York City Record. It is at the municipality/Sponsor's discretion whether to advertise in local newspapers or publications in addition to the required publications. If the RFQ/RFP is of short length (less than two pages), the entire request can be placed in the advertisement. Proposers will respond directly to the advertisement to the municipality/Sponsor with their EOl's or proposals. If the RFQ/RFP is contains more information than is practical to place in an advedisement, the advertisement should ask for interested firms to submit a one page Letter of Interest (LOI) to the municipality/Sponsor. Firms sending a LOI in response to the advertisement will then be sent a copy of the RFOJRFP when available. Advertisements requesting LOl's should centain the following information: (a) a project identification number; (b) an indication that the project is federally funded; (c) a brief description of the project scope; (d) an estimate of total project cost; (e) anticipated project start and completion dates; (f) name, address, and phone number of contact person; (g) LOI due date with a statement informing interested firms that those submitting an LOI will receive a copy of the RFQ/RFP when it is available. 10. Issue RFQ/RFP to all responding firms (if requesting Letters of Interest) and any other firms that otherwise request a copy. No copies should be distributed prior to the advertised due date of the LOl's. 11. Respond to questions from prospective proposers regarding clarifications, omissions, etc. 12. If as a result of such questions any part of the RFP/RFQ requiras clarification, change, or augmentation, issue an addendum to the RFP/RFQ to ALL respondents and, if necessary, extend the response deadline appropriately. 13. If applicable, coordinate site visits for prospective proposers. Arrange for appropriate safety personnel to be present as necessary (ie: flaggers). 14. Make available any plans, maps, reports, and other written material pertinent to the project referred to in the RFP/RFQ for viewing by all interested proposers. 15. Receive all proposals/EOl's and review for proper format and completeness. 16. 17. Prepare scoresheets for use by selection committee in their evaluation of proposals/EOl's. Scoresheets should list all evaluation criteria and summarize the applicable scoring methodology. Generally, scoring should be on a scale of 0 -10 for each e'zaluation factor,, using whole numbers only. Distribute scoresheets and one copy of each proposal/EOI for each firm to all committee members and establish a date for the selection committee to meet and discuss their reviews and scores. Selection Committee 18. FOR NE PROJECTS Each committee member individually reviews each Expression of Interest received and assigns scores for each selection factor. Upon completion of all reviews, returns scoresheets to Project Manager for tabulation of rankings. 18. FOR OTHER PROJECTS Each committee member individually reviews each proposal received and assigns scores for each selection factor. Upon completion of all reviews, returns scaresheets to Project Manager for tabulation of rankings Project Manager 19. Tabulates scores from all committee members (multiplying scores by their factor weights) Summarizes composite scores in rank order and returns a summary of scoring to committee members for discussion at committee meeting. 19. Tabulates scores from all committee members. (multiplying scores by factor weights). Summarizes composite scores in rank order and returns a summary of scores to committee members for discussion at committee meeting. Also, summarizes pricing information' for all firms and distributes to committee members Selection Committee 20. FOR NE PROJECTS Each committee member reviews their scores and the overall rankings. Committee meets to discuss the scores for the top ranked firms. Members should discuss the strengths and weaknesses of each of the top firms, and revise their scores as appropriate as a result of discussions. At the conclusion of the meeting, all final scores are returned to the Project Manager for tabulation. 20. FOR OTHER PROJECTS Each committee member reviews their scores and the overall rankings. Committee meets to identify those firms that are technically qualified to perform project work. Those firms that are determined to be qualified have their cost information reviewed. Discussions should be held amongst the committee members to determine which firm(s) offer the best combination of technical merit and cost. Members have the opportunity to revise their scores as a result of discussions. Project Manager ¸21. Tabulates final scores, Contacts NYS Department of Transportation for approval of recommended firm (go to step 24) OR invites top ranked firms to prepare oral presentations. Firms should be provided with a list of questions that they will be expected to answer at the oral presentation as well as the factors the committee will be using to evaluate their presentations, The use of oral presentations is optional for all projects and at the discretion ol the locality/Sponsor. 21, Contacts NYS Department of Transportation for approval of recommended firm (go to step 24) OR invites top ranked firms to prepare oral presentations, firms should be provided with a list of questions that they will be expected to answer at the oral presentation as well as the factors the committee will be using to evaluate their presentations. The use of oral presentations is optional for all projects and at the discretion of the locality/Sponsor. Selection Committee (if ore/presentations are to be held) 22, Attends oral presentations and evaluates each firm based on the predetermined factors. Committee members should take written notes for each firm, highlighting the relative strengths and weaknesses of each firm in terms of the evaluation factors. 22. Attends oral presentations and evaluates each firm based on the predetermined factors, Committee members should take written notes for each firm, highlighting the relative strengths and weaknesses of each firm in terms of the evaluation factors and cost considerations. Project Manager (if oral presentations were held) 23. Summarizes committee comments and recommendation. Project Manager 24. Contacts winning firm to initiate contract negotiations and infqrms all other proposers that they have not been selected. E*xhbt C6,96 AP P END I X A (For ALL Agreements) v 24 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 part 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 funds appropriated and available for this contract. 2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without the previous consent, in writing, of the State and any attempts to assign the contract without the State's wdtten consent are null and void. The Contractor may, however, assign its right to receive payment without the State's prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance Law. 3. COMPTROLLER'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), if this contract exceeds $15,000 (or the minimum 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 has been approved by the State Comptroller and tiled 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. 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 dudng the life of this contract for the benetit 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 madtal 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 distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin: (a) discriminate in hiring against any New Yo~k 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 detined 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 qualitied and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent violation. 6. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, v 25 except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor Department in accordance with the Labor Law. 7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor affirms, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Contractor further affirms that, at the time Contractor submitted its bid, an authorized and responsible person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf. 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 any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affiliates of Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the contract's execution, such contract, amendment or modification thereto shall be rendered forfeit and void. The Contractor shall so notify the State Comptroller within five (5) business days of such conviction, determination or disposition of appeal (2NYCRR 105.4). 9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory fights of set-off. These rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any Other contract with any State department or agency, including any contract for a term commencing pdor to the term of this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto. The State shall exercise its set-off dghts in accordance with normal State practices including, in cases of set-off pursuant to an audit, the finalization of such audit by the State agency, its representatives, or the State Comptroller. 10. RECORDS. The Contract°r 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 yea r 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 from public disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided that: (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's right to discovery in any pending or future litigation. 11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION. (a) FEDERAL EMPLOYER IDENTIFICATION NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. All invoices or New York State standard vouchers submitted for payment for the sale of goods or services or the lease of real or personal property to a New York State agency must include the payee's identification number, i.e., the seller's or lessor's identification number. The number is either the payee's Federal employer identification number or Federal social security number, or both such numbers when the payee has both such numbers. Failure to include this number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or New York State standard voucher, must give the reason or reasons why the payee does not have such number or numbers. ~ 26 (b) PRIVACY NOTIFICATION. (1) The authodtyto request the above personal information from a seiler 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 ad ministered 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 pumhasing 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 contract 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 contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend oi- does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or (iii) a wdtten agreement in excess of $100,000.00 whereby the owner of a State assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then: (a) The Contractor will not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability or marital status, and will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination. Affirmative action shall mean recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or termination and rates of 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 written 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 status and that such union or representative will affirmatively cooperate in the implementation of the contractor's obligations herein; and (c) the Contractor shall state, in all solicitations or advertisements for employees, that, in the performance of the State contract, ali qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national odgin, sex, age, disability or marital status. Contractor will include the provisions of "a", "b", and "c" above, in every subcontract over $25,000.00 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the '~/Vork") except where the Work is for the beneficial use of the Contractor. Section 312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii) employment outside New York State; or (iii) banking services, insurance policies or the sale of securities. The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of th is section. The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful rules and regulations of the Empire State Development Corporation's Division of Minority and Women's 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 shall control. ~ 27 '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 1 I-A of the State Finance Law to the extent required by law. 16. NO ARBITRATION. Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of competent jurisdiction of the State of New York. '17. SERVICE OF PROCESS. In addition to the methods of service allowed by the Stata Civil Practice Law & Rules ("CPLR"), Contractor hereby consents to service of process upon it by registered or certified mail, retum 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 refused or undeliverable. Contractor must promptly notify the State, in writing, of each and every change of address to which service of process con be made. Service by the State to the last known address shall be sufficient. Contractor will have thirty (30) calendar days after service hereunder is complete in which to respond: 18. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and warrants that all wood produc~ to be used under this contract award will be in accordance with, but not limited to, the specificotions and provisions of State Finance Law §165. (Use of Tropicol Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted, by the State or any governmental agency or politicol subdivision or public benefit corporation. Qualificotion for an exemption under this law will be the responsibility of the contractor to establish to meet with the approval of the State. In addition, when any portion of this contract involving the 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 specificotions and previsions regarding use of tropical hardwoods as detailed in §165 State Finance Law. Any 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 with the approval of the State. 19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES (NON-FEDERAL AID NEW YORK STATE CONTRACTS). In accordance with the MacBdde Fair Employment Principles (Chapter 807 of the Laws of 1992), the Contractor hereby stipulates that the Contractor either (a) has no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBdde Fair Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of compliance with such principles. 20. OMNIBUS PROCUREMENT ACT OF 1992 (NON-FEDERAL AID NEW YORK STATE CONTRACTS). It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts. Information on the availability of New York State subcontractors and suppliers is available from: NYS Department of Economic Development Division for Small Business 30 South Pearl St - 7th Floor Albany, New York 12245 Telephone: 518-292-5220 v 28 A directory of certified minodty and women-owned business enterprises is available from: NYS Department of Economic Development Division of Minority and Women's Business Development 30 South Pead St -- 2nd Floor Albany, New York 12245 http://www.empire.state.ny.us The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that whenever the total bid amount is greater than $1 million: (a) The Contractor has made reasonable efforts t~) encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minodty and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State; (b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L 92-261 ), as amended; (c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements. The Contractor agrees to document these efforts and to provide said documentation to the State upon request; and (d) The Contractor acknowledges notice that the State may seek to obtain offset credits from foreign countries as a result of this contract and agrees to cooperate with the State in these efforts. 21. RECIPROCITY AND SANCTIONS PROVISIONS {NON-FEDERAL AID NEW YORK STATE CONTRACTS). Bidders are hereby notified that if their principal place of business is located in a country, nation, province, state or political subdivision that penalizes New York State vendors, and if the goods or services they offer will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana and Hawaii. Contact NYS Department of Economic Development for a current list of jurisdictions subject to this provision. 22. 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 known, the names and addresses of each subcontractor and a list of all manufacturing plants to be utilized by the bidder. v 29 NYS DEPARTMENT OF TRANSPORTATION Multi-Modal (MM) #2 or fi4 Sponsor's Project Payment Request UnivFiN 421mm (10/0~ PAYEE ID# NYS Contract No. Request Sequence # _ For "Payee ID': Municipalities uae OSC Municipal Code; Nco-Municipal#tee use their Federal Employer ID Number (FEIN). IMPORTANT: List PIN~s) for individual project(s) on reverse side for each reimbursement requested I Multi-Modal Program Fund Source (check one that applies): __ MM #2 __ MM #4 PAYEE INVOICE #: Payee/Project Sponsor/Owner Name: Work Period Covered (for this estimate) FROM / __ / __ TO / / Street Address City State __NY__ Zip Code 1. Total work reported on previous payment requests (See Column "B" on reverse side) Work reported on this payment request (See Column "A" on reverse side) 3, Total work reported to date (See Column "C" on reverse side) 4. Adjustments (for NYSDOT use only) Reason Current Completion Date __/__ / MIR Date / / (completed by NYSDOT for approved M~A.P.) Original MM Contract Amount: $ Current MM Contract Amount: $ Project Sponsor Prepares NYSDOT Uss Only 5. Previous payments 6. Payment requested or processed PROJECT SPONSOR CERTII~ICATION I, , do hereby certify that I em the of (Name) (Title) , Project Sponsor for the work referred to in the foregoing payment request; that I am the person in whose name the foregoing account against the State of New Yo~k ia rendered; that the labor, materials, expenses or services charged for were actually delivered, incurred or rendered and that the prices charged are just and reasonable; that the expenses detailed heroin were actually Incun'ed; that the services specified were actually rendered aa charged; and further, that no pementage or compensation has been paid or premised to be paid to any manager, trustee, officer or employee of said agency, corporation, institution, department, board, commission or relafed person by reason of the claimant having been allowed to sell to, incur expense for, or render services thereto also, to the best cf my knowledge and belief, no manager, truslee, officer or employee of said agency, corporation, institution, department, board, commission or related person has or has had any interest directly or indirectly in said arficie, materials, expenses or services; that no part of the foregoing account has bean paid, and that the above statement iS true and correct. I specifically certify that the project costs herein identified (see individual PIN-specific amount(s) listed on reverse side) meet all Multi-Modal (MM) funding eligibility requirements under the subject contract and eligible fund source, which include: (1) that the service life of each individual project ks ten (10) or more years, (2) that project work was performed in accordance with the State Environmental Quality Review Act (SEQRA), (3) for highway & bridge mode projects, that (al MM funding is not used for the mandated non-Federal matching share of a Federally funded Highway or Bridge project, (b) the amount of MM funds requested is and shall be no greeter than prior unreimbursed municipal project expenditures for work completed or materials incorporated in a qualifying project(s), and (c) that the amount of municipal funds appropriated for transportation capital projects is not and shall not be reduced because of the MM funding, (4) for any Airport or aviation faciifiy type, that Federal funding is not available to the Project, but the Project is consistent with an approved airport layout plan. I further certify that the total amount claimed herein is for unreimbursed capital project monies which were expended on or after April 1, 2000 (for MM#2) or April 1, 2005 (for MM#4) as authorized by Section 14-k of the Highway Law. [DATE SIGNATURE ( ' )TELEPHONE NO, CERTIFICATION BY NYS DEPT. OF TRANSPORTATION I, , do hereby certify that I am the and (Name) (Title) have reviewed the payment request and to the best of my knowledge find them to be acceptable statements of the expenditures made and of the amount of payment due. When necessary, the project has been inspected for assurance that the work and material used are in reasonable conformity to approved plans and specifications. DATE SIGNATURE TELEPHONE NO. STANLEY GEE ACTING COMMISSIONER STATE OF NEW YORK DEPARTMENT OF TRANSPORTATION ALBANY, N.Y. 12232 David A. Paterson GOVERNOR June 25,2009 Ms. Lynne Krauza Town of Southold 54375 Route 25 P.O. box 1179 Southold, NY 11971-0959 Dear Ms. Krauza: JUN 2 9 2009 This is to advise you that the Multi-Modal 4 Program (MM4) project(s) identified in Schedule A(s) of the attached contract agreement has (have) been fully executed and approved by the State Comptroller, and the reimbursement processes can begin. A standard MM4 Sponsor's Payment Request form ("FIN421mm") has been enclosed with your Contract Agreement(s). At this time, you may complete, and begin to submit, a payment request form for any eligible expenditures that have been made. Submission of your cempleted form to your NYSDOT Regional Office MM4 representative will enable you to obtain reimbursement for these expenditures. You may duplicate or otherwise reproduce this form as often as needed, as a two sided document. Reimbursements may not exceed the approved or actual eligible MM4 project costs, whichever is less. Eligible local cost disbursements made on or after April 1, 2005 which are associated with approved MM4 projects will qualify for reimbursement by the State Comptroller. I will be the prime contact person for the MM4 Program in the Region 10 office, and may be reached at: (631)952-6189. The address is: Veronica Wilgeroth New York State Department of Transportation Planning & Program Management, Rm. 4-A3 250 Veterans Memodal Highway Hauppauge, NY 11788 Very truly yours, Veronica Wilgeroth Municipal Assistance Unit